Sustainable renovation of buildings

for sustainable neighbourhoods
Contract n° EJK4-C1-2ôôô-ôôô25

R is a pro-ect co1financed by the European Commission ;ithin the
programme Energy, Environment and Sustainable Aevelopment BCCity of
tomorro;DE, ;hich aim is to elaborate methods and tools destined to local
communities and their partners to help them in their urban rene;al pro-ects.
Participation by residents
and users: legal and
regulatory context
and recommendations
May 2003
Philippe OUTREQUIN, La Calade

1 1
5 5

Sustainable renovation of buildings
for sustainable neighbourhoods
Contract nJ EVK4 – CT – 2000 – 00025

Participation by residents and users:
legal and regulatory context
and recommendations

Mav 2ôô3


Philippe OUTRESUIN La Calade


Under major contribution for the national parts by:
Wavier CASANOVAS, Oriol CUSIDO - CAATB (Spain)
Céline MULLIER – La Calade (France)
Holger MARTIN, Kerstin HECKER – IOER (Germany)
Antonella GROSSI, Matteo GUALANDI, Sandra MATTAROZZI, Cinzia MAGA – ICIE (Italy)
Daniela GAAUTTI, Francesco CAPRINI – QUASCO - COPRAT (Italy)
Noem_ GRANADO, Albert CUCHI - ITeC (Spain)
Ove MORCK, Zahid SALEEM – CENERGIA (Denmark)
Jan ZIECK, AMBIT (Netherlands)

R is a pro-ect co1financed by the European Commission ;ithin the programme Energy, Environment and
Sustainable Aevelopment BCCity of tomorro;DE, ;hich aim is to elaborate methods and tools destined to local
communities and their partners to help them in their urban rene;al pro-ectsF

Participation by residents and users: legal and regulatory context, and recommendations (Deliverable 15) HSE
La Calade - CSTB

The objectives of the HQE²R project ................................................................................. 7
1.2 - The HQE
R approach and the expected project results ............................................. 8

I.1 - The legislative context.............................................................................................. 16
I.1.1 - The plan law...................................................................................................... 16
I.1.2 - The law of environment protection ................................................................... 17
I.1.3 - The law of open administration......................................................................... 18
I.1.4 - The urban regeneration law............................................................................... 18
I.2 - Local Agenda 21....................................................................................................... 19
I.2.1 - Albertslund ........................................................................................................ 19
I.2.2 - Stevns................................................................................................................. 19
I.2.3 - Haslev ................................................................................................................ 20
I.2.4 - Hillerød.............................................................................................................. 20
I.3 - National and local programmes................................................................................ 21
I.4 - Synthesis with respect to the 21 SD targets.............................................................. 22
I. 5 - Recommendations ................................................................................................... 23
II.1 - The legislative context ............................................................................................ 24
II.1.1 - The Bouchardeau Law (12th July 1983) .......................................................... 24
II.1.2 - The Barnier Law (2
February 1995).............................................................. 25
II.1.3 - The Voynet Law (25
June 1999).................................................................... 26
II.1.4 - The Chevenement Law (12
July 1999) .......................................................... 28
II.1.5 - Solidarity and urban renewal law (S.R.U.)(13
December 2000) ................... 28
II.1.6 - The proximity democracy law (27th February 2002) ...................................... 30
II.1.7 - Synthesis........................................................................................................... 32
II.2 - Local Agendas 21.................................................................................................... 32
II.2 - Local Agendas 21.................................................................................................... 33
II.2.1 - Presentation ...................................................................................................... 33
II.2.2 – The example of Autun (Saône-et-Loire) ......................................................... 33
II.2.3 - The example of Bouguenais (Loire-Atlantique) .............................................. 35
II.2.4 - The example of Romans-sur-Isere (Drome)..................................................... 36
II.2.5 - The example of Lille (Nord) ............................................................................ 37
II.3 - The national and local programmes of action........................................................ 38
II.3.1 – “Contrat de Ville” and “Grand Projet de Ville” (Great City Project, G.P.V.) 39
II.3.2 - Projects for urban development........................................................................ 40
II.3.3 - Local participation charter ............................................................................... 41
II.3.4 - The district’s participative instances ................................................................ 42
Participation by residents and users: legal and regulatory context, and recommendations (Deliverable 15) HSE
La Calade - CSTB
II.3.5 - The participative budgets ................................................................................. 49
II.3.6 - The principal obstacles encountered ................................................................ 50
II.4 – Recommendations .................................................................................................. 51
III.1 - Introduction............................................................................................................ 54
III.2 - Formal participation............................................................................................... 54
III.2.1 - Legal regulations for participation.................................................................. 54
III.2.2 - Implementation of the legal regulations ......................................................... 55
III.2.3 - Steps towards “real” participation .................................................................. 56
III.3 - Informal participation ............................................................................................ 57
III.3.1 - Participation.................................................................................................... 57
III.3.2 - Co-operation ................................................................................................... 59
III.3.3 - Problems ......................................................................................................... 59
III.4 – Local Agenda 21 ................................................................................................... 60
III.4.1 – National state of the art .................................................................................. 60
III.4.2 – LA 21 in Dresden........................................................................................... 61
III.5. Practice of participation in respect of the HQE
R targets for neighbourhood
sustainability..................................................................................................................... 62
III.6 - Recommendations.................................................................................................. 62
IV - ITALb 64
IV.1 - The legislative context........................................................................................... 64
IV.1.1 - LAW 1150/42................................................................................................. 64
IV.1.2 - LAW 167 (18
April 1962) ............................................................................ 64
IV.1.3 - DPCM 27
December 1988 ........................................................................... 64
IV.1.4. - LAW 241(7
August 1990) ........................................................................... 65
IV.1.5 - LAW 499/97 and Ministry of Public Works Decree 22
October 1997 ....... 66
IV.1.6 - DPR n.447 (20
October 1998) ...................................................................... 66
IV.1.7 - Legislative decree n.267 (18
August 2000).................................................. 67
IV.1.8 - Evaluation of the Italian legislative context towards participation ................ 67
IV.2 - Local Agenda 21: the example of Biella Province ................................................ 68
IV.2.1 - Case studies .................................................................................................... 68
IV.2.2 - Period of implementation: .............................................................................. 68
IV.2.3 - Objectives ....................................................................................................... 68
IV.2.4 - Actors involved............................................................................................... 68
IV.2.5 - Laws concerned .............................................................................................. 69
IV.2.6 - General description......................................................................................... 69
IV.2.7 - SD Target concerned ...................................................................................... 69
IV.2.8 - Procedures envisaged for participation........................................................... 69
IV.2.9 - Limits.............................................................................................................. 71
IV.2.10 - Prospects ....................................................................................................... 71
IV.2.11 - Results / fall-out from the action compared with initial
objectives/actions/instruments used: ............................................................................ 72
IV.3 - The national or local programmes: opportunities and best practice in Italy.......... 72
IV.3.1 - The “Savonarola Quarter” Neighbourhood Contract (Padua) ........................ 72
IV.3.2 - Neighbourhood contract for S.Eusebio (Cinisello Balsamo ) ........................ 76
IV.3.3 - Urban Rehabilitation Programme (PRU) at “Acilia-Dragona” (Rome) ......... 80
IV.3 - Barriers to the participation in Italy....................................................................... 82
IV.4 - Recommendations.................................................................................................. 82

Participation by residents and users: legal and regulatory context, and recommendations (Deliverable 15) HSE
La Calade - CSTB
V. 1 - Legislative context ................................................................................................. 84
V. 2 - Local initiatives and Agenda 21............................................................................. 85
V.2.1 Synthesis of local initiatives / The Leidsche Rijn approach .............................. 85
V.2.2 A representative case: the Thermie-plus approach in the City of Utrecht ......... 87
V.2.3 Agenda 21 in the Netherlands: the Apeldoorn and Zoetermeer case................ 91
V. 3 - Recommendations.................................................................................................. 92
VI.1 - The legislative context........................................................................................... 94
VI.1.1 - Introduction..................................................................................................... 94
VI.1.2 - The participation of inhabitants in the municipal general plan ...................... 94
VI.1.3 - Two ways / motives of participation .............................................................. 95
VI.1.4 - Two moments of participation........................................................................ 95
VI.1.5 - The new Catalan law of urbanism 2/2002 ...................................................... 96
VI.2 - The Local Agenda 21............................................................................................. 97
VI.2.1 - What is an Agenda 21?................................................................................... 97
VI.2.2 - Description about an Agenda 21. The pattern of Manresa as an example ..... 97
VI.2.3 - The participation progress in an Agenda 21 - The pattern of Barcelona as an
example ...................................................................................................................... 102
VI.3 – Recommendations............................................................................................... 106
VII.1 - National situation: Legislation and Guidance in the UK ................................... 107
VII.1.1 - The culture of local governance in the UK................................................. 107
VII.1.2 - Participation in planning ............................................................................. 107
VII.1.3 - Sustainable development strategy ............................................................... 108
VII.1.4 - Sustainable development and participation................................................. 108
VII.1.5 - Participation in local government................................................................ 109
VII.1.6 - Participation in regeneration ....................................................................... 109
VII.2 - Examples of LA21 in the UK............................................................................. 110
Bristol : Local Agenda 21 strategy for the city of Bristol .......................................... 110
VII.3 - Participation in relation to the HQE
R targets for Sustainable Development.... 112
VII.3.1 - Planning....................................................................................................... 112
VII.3.2 - Regeneration................................................................................................ 112
VII.4 - Recommendations .............................................................................................. 113
VII.4.1 Planning......................................................................................................... 113
VII.4.2 Regeneration.................................................................................................. 113

II.1 – Enabling participation through awareness raising and learning........................... 118
II.2 – Participation as a continuous process ................................................................... 119
II.3 – Institutional change to allow participation to influence policy at the neighbourhood
and city level .................................................................................................................. 119
II.4 – To agree upon participation rules ......................................................................... 120
II.5 – To make participation a knowledge acquisition process ...................................... 121
II.6 – Participation versus individualism?...................................................................... 122
Participation by residents and users: legal and regulatory context, and recommendations (Deliverable 15) HSE
La Calade - CSTB

Participation by residents and users: legal and regulatory context, and recommendations (Deliverable 15) HSE
La Calade - CSTB
The participation of inhabitants in the management of the city, of neighbourhoods, of built spaces, etc.,
seems to be a fundamental element of democracy. Urban planning laws, sustainable development
projects and social action programmes constantly refer to inhabitants' participation. But the practice is
often far from the intentions. Participation and all its versions – consultation, empowerment – are
often overused words.
It is true that participation requires an act of will on the part of decision-makers, town councillors or
building owners, rules defining its limits and a culture. Participation is continual learning and also
consists of a process of acquiring knowledge and culture, the culture of those with whom we share or
we negotiate.
The sustainable development approach and resident participation require training and educational
procedures. Urban renewal projects have to engage with educational approaches, in advance of the
projects and alongside them. Sharing in the analysis of the region concerned is a particularly important
step which aims to define common short-, medium-, and long-term issues and priorities. It is then
possible to base the definition of plans for action on a truly integrated and participatory process.
This deliverable describes the procedures for improving participation by residents and other users: the
main legal provisions, local agenda 21, national and local programmes (such as an Urban Policy) and
the practices in each country; it then presents recommendations for the countries involved in the
project, and a European synthesis.


GHe refuse lDidée quDil y a dDun cKté la lumière et de lDautre les ténèbres, lDhomme et la
femme, moi et lDautre, le bien et le malF He cherche un lieu oM ces contradictions puissent Ntre
résoluesF CDest une quNte sans illusion O
1 Qurale, Qahmoud Aar;ich, édition Actes Sud

“Sustainable Renovation of Buildings for Sustainable Neighbourhoods” or HQE²R is a project
partly funded by the European Commission under the Fifth Framework R&D Programme.
The project started in September 2001 and will continue until the end of March 2004.
Co-ordinated by the CSTB (Centre Scientifique et Technique du Bâtiment), France, it
combines research and demonstration aspects with the co-operation of 10 European research
partners and demonstration partners (local authorities or social buildingowners) working upon
14 neighbourhoods
The objective of the project is to develop a neh methodology or approach together hith
the necessary methods and tools to promote sustainable development and the quality of
life at the urban neighbourhood level. HQE²R aims at providing decision aid tools for
municipalities and their local partners, focussing on neighbourhood inhabitants’ and users’
concerns. With its integrated approach, it aims at providing a framework, which can be
generally applied to European cities. The project uses case studies as neighbourhood models

I refuse the idea that there is a side for the light and another one for the darkness, the man and the woman, me and the
others, the good and the bad ones. I look for a place where contradictions can be solved. That is a quest without illusion.
See the list of the partners in Appendix or at the end
Participation by residents and users: legal and regulatory context, and recommendations (Deliverable 15) HSE
La Calade - CSTB
for which the tools are elaborated and in which the approach or the different tools can be
The elements taken into account in the development of this approach towards sustainable development
and its tools are:
• Improvements in the quality of the buildings and non built elements, which are
closely linked with needs expressed by the actors concerned (users), especially as regard
improvements in comfort and reductions in the costs-in-use and maintenance of
residential and non-residential buildings (energy savings, reduced water consumption,
optimisation of the use of raw materials).
• Improvements in the quality of life through urban development, which respects the
environment: reduced urban sprawl, more effective use of public spaces, and the creation
of cycle-ways, pedestrian areas and green spaces. Developing coherence and synergy
between the neighbourhood levels and the conurbation. Encouraging work in partnership
and building the capacity of the local community to achieve meaningful participation.
• Controlling costs and applying management methods, hhich alloh all categories of
actors to share expenses.
• Controlling urban sprahl and commuting by managing the economy and
environmental impact of space use and also by managing mobility and the use of public
transport at the scales of the neighbourhood, the town and the conurbation.
The aim of HQE
R project is thus to alloh local authorities to implement regeneration
action plans in their neighbourhoods and renovation of their buildings tohards
sustainable development. It is a question of providing operational tools for a concrete
analysis and evaluation, which are open to public (and private) debate and to action.

1.2 - THE HSE
Today cities are being rebuilt, buildings are being rehabilitated, and neighbourhoods
revitalised. To assure sustainability, this regeneration must go beyond technical solutions,
taking social trends, changes in behaviour, environmental and economic development into
To define concrete action plans, sustainable development requires an iterative way of
achieving a decision, because of the necessity of taking the various principles of sustainable
development into account all together at once. As the market law only takes into account
economic factors, and principally only in the short-term, sustainable development requires
sustainable development principles: the integration of the long-term, global impact of
decisions on environmental and social factors, with less hierarchical forms of participation
than usual market practices.
R methodological framehork for sustainable neighbourhood analysis and
development is structured as an ideal regeneration neighbourhood projects into 4 phases: a
decision phase, an analysis phase - identifying priorities, definition, discussion, an
assessment of scenarios phase and finally the setting up of the action plan for the
The methodological framework is furthermore based on ô sustainable development principles
at the city scale, and then a system of 21 sustainable development targets under 5 main
objectives (see the list next page) and backed up by a set of 51 key issues with their 61
indicators for the neighbourhood and its buildings (ISDIS svstem).
Participation by residents and users: legal and regulatory context, and recommendations (Deliverable 15) HSE
La Calade - CSTB

R project results are specific tools for local communities and for their local
partners (see also the diagram below):
- The choice of 6 sustainable development principles at the scale of the city and a
definition of sustainability for the neighbourhood scale.
- The definition of an overall methodological framework with 5 main global
sustainable development (SD) objectives, their 21 targets, 51 key issues or sub
targets and then 61 indisputable indicators at the neighbourhood and building
scales (the ISDIS system).
- A shared SD diagnosis method for SD (with an integrated analytical grid for the
previous inventory) adapted to the neighbourhood scale.
- Evaluation tools for scenarios or neighbourhood projects as decision aid tools for
assessing different scenarios before the final action plan for the neighbourhood is
chosen (3 models with the support of 3 analytical grids):
3 models:
- INDI (INDicators Impacts) a model of sustainable regeneration impact using
indicators and allowing the development of different environmental and
sustainable development profiles
- ENVI (ENVironmental Impact)
- ASCOT (Assessment of Sustainable Construction l Technology Cost), a
model of global cost of energy efficient technologies from an environmental point of view at the
building scale.
- Recommendations for improving participation in neighbourhood regeneration projects.
- Recommendations for taking SD into account in urban planning documents (for each
partner country).
2. Strategic decision
for sustainable
regeneration of the
7. Evaluation of
the scenarios
against SD
targets (INDI,
6. Generation of
(to identify options
for SD action)
4. Shared SD
diagnosis of the
3. Inventory based on the
21 targets and the
integrated SD indicators
system (ISDIS)
Participation of residents and users
Partnership (public / private)
Local Governance
12. Monitoring and
evaluation of the
project : SD
8. Action plan for
the neighbourhood
9. Urban planning
regulations including
SD recommendations
11. Projects upon
the neighbourhood
with SD
10. Projects for
Sustainable Buildings
(new & existing) with
SD specifications
5. Strategic
priorities for the
neighbourhood and
definition of
objectives for SD
1. Identification of
problems (social,
environmental, technical)
that need actions
Source: HQE²R Project ( SD: Sustainable Development
2. Strategic decision
for sustainable
regeneration of the
7. Evaluation of
the scenarios
against SD
targets (INDI,
6. Generation of
(to identify options
for SD action)
4. Shared SD
diagnosis of the
3. Inventory based on the
21 targets and the
integrated SD indicators
system (ISDIS)
Participation of residents and users
Partnership (public / private)
Local Governance
12. Monitoring and
evaluation of the
project : SD
8. Action plan for
the neighbourhood
9. Urban planning
regulations including
SD recommendations
11. Projects upon
the neighbourhood
with SD
10. Projects for
Sustainable Buildings
(new & existing) with
SD specifications
5. Strategic
priorities for the
neighbourhood and
definition of
objectives for SD
1. Identification of
problems (social,
environmental, technical)
that need actions
Source: HQE²R Project ( SD: Sustainable Development
Participation by residents and users: legal and regulatory context, and recommendations (Deliverable 15) HSE
La Calade - CSTB
- Recommendations for specifying sustainable development in the building process
- Recommendations for specifying sustainable development for non built elements
- Indicators for the different phases of a project state indicators, pressure indicators
and then monitoring indicators.

Elaboration of
assessment and
monitoring indicators
for projects and
regarding SD
Recommandations to
integrate SD in urban
planning documents
Elaboration of decision aid tools
to evaluate scenarios or potential
urban planning projects (“design
contract” for example)
Source: HQE
R project ( * See the scheme «The shared SD di agnosis method for setting priorities»
Choice of 5 SD
objectives, 21 SD
targets, 51 SD key
issues and indicators (at
the neighbourhood and
buildings scales): the
ISDID system
Elaboration of decision aid tools
to evaluate scenarios or potential
urban planning projects (“design
contract” for example)
Recommendations to improve
and to promote inhabitants’ and
users’ participation:
- to identify and collect their needs
- to improve procedures and
Development of a shared SD
diagnosis method enabli ng the
identification of territorial SD
Definition of 6 SD
principles at the
city scale
an approach with methods and tools
for sustainable neighbourhood regeneration
for briefing
documents taking
into account SD for
new and existi ng
- Recommendations
for non – built
SD Sustainable Development
Participation by residents and users: legal and regulatory context, and recommendations (Deliverable 15) HSE
La Calade - CSTB

The Rio Declaration on Environment and Development, adopted unanimously by 178 States
represented in 1992, evokes in one of its 27 principles the participation of citizens as a fundamental
aspect of sustainable development.

The Tenth principle is indeed so stated: Cthe best ;ay to consider environmental questions is to
ensure the participation of all the citizens concerned, at the appropriate levelF At the national level,
each individual must have access to information relative to the environment held by public
authorities, including information relative to dangerous substances and activities in their
communities, and be able to participate to the decision processF The states must facilitate and
encourage the public in becoming more concerned and participating by putting information at their
disposalF An excessive access to -udiciary and administrative actions, namely legal redress and
appeals, must be ensuredFD

R programme is directly concerned with the participation methods in use in each of the
countries involved in the process since the rehabilitations beginning nowadays have to take greatly
into account social dynamics, as major components of sustainable development (with the usual
modifications, the taking into account of the Environment and the economical development). The
involvement of inhabitants and users in the life of their districts and of their cities benefits indeed
greatly to local social dynamics.
The participation of inhabitants is also recommended for several reasons:
- the crisis of the elective democracy (usually observed throughout the Western countries),
confronting politicians was such that the latter’s answer was to give the right to decide in local
affairs back to electors (Alain Juppé’s speech at the French National Assembly in February
2001). The expected plan is that an increased participation of inhabitants in local affairs would
be a lever for an increase in the elections participation rate and would give politics greater
- the complexity of decisions: a renewed city is no longer the city which expands;
developments are more and more carried out in collaboration with inhabitants and directly
influence their daily life as well as the users of the city; the renewed city can modify customs
and the way of living, implying a compulsory increase in the inhabitants’ participation;
- the multiplication of legal appeals, made possible by laws and texts dealing with the
assessment of the public benefit
, arousing greater caution of the elected representatives and
requiring a better participation of the people concerned.

It then appears important to know the methods of putting in practice participation of each of the
countries intervening in the HSE
R project. Each country, i.e. Germany, Denmark, Spain, France,
Italy, the Netherlands and Great Britain, will present here in the first instance the existing lahs
evoking participation, secondly the Local Agendas 21 put in place and finally the national and
local programmes favouring the association of inhabitants to local decisions.
We will then take interest here in lahs, Local Agendas 21 and national and local programmes
existing and evoking participation of inhabitants and users to city policies, their applications as well
as the participation procedures they imply or suggest will be describe and we will try to situate them
on a scale of participation.

Nicole Questiaux, L’utilité publique aujourd’hui, Conseil d’Etat, La Documentation Française, 1999
Participation by residents and users: legal and regulatory context, and recommendations (Deliverable 15) HSE
La Calade - CSTB
As with many considerations of participation in public affairs, our approach starts with Arnsteinms
Ladder of Citizen Participation (1971). The ladder was designed with specific reference to
American federal social programmes, and it describes eight levels of participation, starting with
manipulation by the authorities, and progressing to citizen control:
8. Citizen control
7. Delegated power
6. Partnership
5. Placation
4. Consultation
3. Information
2. Therapy
1. Manipulation

The two bottom rungs are described as non-participation, they represent a situation where the
authorities deliberately manipulate citizens, or attempt to modify attitudes and behaviour. Rungs 3 to 5
represent ‘degrees of tokenism’, where there is exchange of information, but no obligation on the part
of the authorities to respond actively. Included here is the one-way transmission of information
through leaflets and reports; consultation where dialogue is initiated, where feedback from the
community may or may not be taken on board; and ‘placation’ which may involve co-opting a citizen
onto an advisory board, without giving them decision making power. ‘Degrees of citizen power’ are
described by rungs 6 to 8, where citizens have increasing levels of influence and responsibility.
The concept of different levels and types of participation is useful in a number of ways. It provides a
structure for thinking about what types of participation are feasible, desirable and effective in different
circumstances. It also helps us to think about participation in a European context, where different
political, cultural and legislative contexts result in a very broad spectrum of practice. Arnstein’s ladder
is a useful starting point from which to adapt a participation scale relevant for European
neighbourhood regeneration schemes. Burns et al (1994)
propose a ‘Ladder of Citizen
Empowerment’, within the context of British local government. They raise some important issues that
will help us to analyse the participation context in our partner countries and case studies. The first is to
consider different spheres of citizen participation, within which people might engage with and hope to
influence the public authorities:
1. The individual sphere, access to and quality of services delivered to the individual or household
2. The sub1local sphere of the estate, neighbourhood, programme, site or facility
3. The sphere of local government administration
4. The sphere of national government (Burns et al, p. 158)

We should note that a citizen might gain considerable power within sphere 2, for example, without
being able to influence policy in sphere 3, the local authority. Likewise, a citizen might be excluded
from local decision-making in spheres 2 and 3, whilst exerting some influence at level 4 through a
national lobbying organisation. Participation at the neighbourhood level, in sphere 2 is the most
relevant to our project, however we should bear in mind that many important decisions about
neighbourhood regeneration will occur in sphere 3. Burns et al (p. 160) also break down the different
areas of decision-making to which local groups and individuals might be given access:
1. Uperational practices; issues relating to the quality and delivery of public services.
2. Expenditure decisions; relating to budgets delegated to the local level, or major capital budgets at
the local authority level.

Arnstein, S.R. (1971) A ladder of citizen's participation. Journal of the American Institute of Planners,
35: 216-224
Burns, D., Hambleton, R. & Hoggett, P. (1994), The Politics of Aecentralisation, London, Macmillan

Participation by residents and users: legal and regulatory context, and recommendations (Deliverable 15) HSE
La Calade - CSTB
3. Policy maWing; The strategic objectives of a service, facility or neighbourhood.
These areas are clearly interconnected. Citizens’ influence over operational and expenditure issues
will always be constrained if they have no access to strategic policy-making. As with the spheres of
participation described above, groups and individuals might gain access to one area while being
excluded from another. We might argue that the HQE
R shared diagnosis aims to involve residents in
strategic objective setting for their neighbourhood.
Burns et al also raise the important point that the rungs on the ladder of participation are not
equidistant. Referring to Arnstein’s ladder, it may be relatively easy to climb from rung 1 to 5, even in
the absence of significant institutional change or community capacity building. To move through the
upper rungs would require much more time, and both institutional change and community capacity
would be preconditions. Bearing this in mind, we propose the following scale of participation to be
tested at the neighbourhood level, the definitions for the terms we have chosen are set out below
(starting with the bottom of the scale):

- Coercion: Residents are given no access to decision making. Information is withheld, or used
to direct behaviour according to the interests of the local authority. Equates to ‘manipulation’
and ‘therapy’ in the Arnstein ladder.
- Information: Information is transmitted to the recipients of a service or redevelopment to
keep them up to date with decisions. There is no dialogue and residents have no access to
decision making.
- Ahareness raising: Information is given to residents with the aim of helping them to
understand the issues and objectives of the regeneration programme from the point of view of
the local authority. In the case of a sustainable development project (e.g. recycling or energy
conservation), this might include education about the purpose and relevance of the initiative
they are being asked to co-operate with. Residents do not have access to decision-making,
although the presentation of good quality information is a pre-requisite of developing
- Consultation: Residents’ opinions are sought to inform the decision makers, who might take
these views into consideration, but are under no obligation to do so. Typical forms of
consultation include questionnaires and public meeting. The contribution that consultation can
make to participation is entirely dependent upon the weight given to responses by the
authorities, it can thus be very disempowering for residents. A frequent problem is that
consultation occurs too late in the regeneration process to affect major decisions. Early
consultation thus has greater potential.
- Empoherment: Empowerment of individuals and groups within a neighbourhood is a
precondition of effective participation. Communities cannot take an active part in their own
governance if they lack the skills, knowledge and organisational capacity to do so.
Development in this area is often referred to as ‘community capacity building’. This point on
the scale of participation might thus be seen as a developmental one which helps communities
to advance towards the higher levels of participation. Equally important is the institutional
change within local authorities that is necessary to enable them to respect and respond to an
expanded governance role for neighbourhood residents.
- Co-operation: The upper portion of our participation sale is divided into three sections, which
equate with the ‘partnership’, ‘delegated power’ and ‘citizen control’ rungs of Arnstein’s
ladder. Participation at this level is characterised by the involvement of citizens in both
process and decision. A key principle is that the local authority should always be clear about
the scope and limits of a participatory process; which decisions or budgets are open for
discussion, or can be managed by residents and which cannot.
- Partnership: residents are involved in on-going joint working, as distinct from one-off or
periodic consultation. Project development is transparent and open to resident representatives
throughout. Decisions are negotiated between partners.
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- Delegated poher, or joint management: Local politicians delegate a specific area of
responsibility to residents, accepting that they will be tied by decisions taken outside of their
control. The participatory budget of Porto Alegre is a well-known example of this mode of
- Self-management: A project, service, budget or property (e.g. a social housing block or
estate) is managed directly and independently by the community.

This scale of participation will be used to help analyse the national regulatory contexts presented in
this deliverable, and the HQE
R case studies presented in other documents. Through this analysis, we
will also test the applicability of this categorisation to neighbourhood regeneration across Europe. We
would reiterate the point that the different levels of the scale are not equidistant. Progression from
coercion to consultation might occur relatively easily; progress through this part of the scale would
require the investment of time and money on the part of the local authority, but would not necessarily
require significant institutional change. The achievement of empowerment and forms of co-operation
require both institutional change and the existence of organisational and individual capacity within the
Our ultimate goal in analysing national structures and local case studies with the aid of this scale is to
provide advice to decision makers at the local government level. We must therefore raise questions
about how the scale might be used. Two very different possibilities present themselves. On one hand
we might argue that to increase participation and redistribute power is an ethical choice, therefore
regeneration projects should always aspire to reach the top of the scale. On the other hand, the scale
might be seen as a menu, from which the level of participation could be chosen which was most suited
to a given situation. To address this question, we must ask a further question; what is participation for?
Stoker (in Hambleton et al 1997
), analyses the range of different motivations for participation. The
first is the instrumentalist view; citizens will engage in a participatory process if they believe it will
help them to defend their interests and achieve their goals. Participation thus requires a degree of
confidence in the process and its sponsor (usually local government), and is likely to be sporadic in
response to relevant issues. For local government, an instrumentalist view would be the use of
participation to find better solutions for regeneration challenges, and to enhance the legitimacy of
decision making. The other perspective is a participatory one; expressing a belief that democracy
requires high levels of citizen participation. Participation is seen not as ‘a matter of instrumental
calculation but is rather about a concern for the collective, the community of which the person is a
part’, (Stoker, p 164). This point of view also sees participation as having value in developing the
skills and capacities of individuals and community organisations. Morrissey (2000
p.62) argues that
the instrumentalist view is becoming outdated:

‘the more traditional ‘top-down’ meaning of citizen participation – that citizens’ involvement can lead
to successful projects – is being replaced by a ‘bottom-up’ concept of participation that promotes real
change and empowerment in the communities. The goal is to redress the inequitable distribution of
resources and power that underlie poverty and distress.’

Clearly, an instrumentalist view of participation would lead a local council to interpret the scale of
participation as a range of options, and to choose an approach according to their goals. By contrast, a
participatory view would see participation as an end in itself and the local council would aim to climb
up the scale as a way of developing a healthy local democracy. The lesson to be drawn from these
contrasting viewpoints is perhaps that local councils should aim for the highest point on the
participation scale that is possible in a given set of circumstances. A local council may wish to

Hambleton, R., Davis, H., Skelcher, C., Clarke, M., Taylor, M., Young, K., Rao, N., and Stoker, G. (1997),
Ne; Perspectives on Yocal Zovernance, York, York Publishing Services.
Morrissey, J. (2000), Indicators of citizen participation: lessons from learning teams in rural EZ/EC
communities, Community Aevelopment Hournal, Vol 35 No.1 pp. 59-74.
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promote tenant involvement in the management of public housing, for example. In some countries, it
may be possible to consider transferring ownership to a tenant-controlled trust, whereas in others
national laws may prevent this. Where a local council is considering relatively minor physical
improvements, such as re-decorating a public building, well managed consultation might be more
appropriate and efficient than a more advanced form of participation.
This report aims at analysing the role of the population participation (residents and users) in the
different regulations and national programmes in regards to urban planning and urban
renehal, and suggesting some recommendations and best practices in order to improve the levels
of participation, convinced that it is a crucial issue to ensure the democracy and the sustainability in

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In an urban political description directed to the Parliament in May 2001 by the Danish Urban and
Resident Ministry of the past government it was clarified that the objective of the government was to
make development of the towns present for everyone and that the residents gain an real influence on
environment that affect their city.
Development of towns, residents and buildings shall be expanded with outset in participation from an
active citizen involvement.
In the central laws about urban regeneration rules about citizen involvement/participation are included.
The Plan Law implies that the municipalities as part of the elaboration of a municipality plan publish a
plan strategy. The plan strategy can be utilised for the communication with residents, users and the
superior authorities.
The Law of Urban Regeneration implies a high degree of citizen participation. In the large areas that
have been improved by urban regeneration many municipalities have obtained experiences with using
open co-operation with the residents and others for evolving the progresses of the towns.
Moreover the international convention about the environmental rights of the citizens has also been
implemented in the Danish Law.
I.1.1 - The plan lah
The purpose of the Plan Law is to assure that the planning unites the social interests in the use of area
and contributes to protect the nature and the environment of the country, so the social development
can take place on a sustainable base in respect for living conditions for human beings and for the
preservation of animal and plant life.

Special law aims are:
1. From a planning and social economic general view an appropriate development in whole country
and in the individual counties and municipality shall take place.
2. Valuable buildings, urban environments and landscapes shall be created and maintained.
3. The open coasts shall continuously constitute an important nature and landscape resource.
4. The pollution of air, water and earth and noise inconveniences shall be prevented.
5. Participation: The general public shall as much as possible be involved in the planning.

The Plan Law divides the responsibility for the planning in Denmark between the Environment
Ministry, The Greater Copenhagen Development Council, county councils and municipality
committees. The current Plan Law was activated in 1992 but is based on planning experiences and law
from several decades ago.
In the period from 2
World War till 1980ies the cities and new built area have grown considerably.
In the same period of time the Danish planning tradition has developed strongly as well. Till the
middle of the 70ies the town growth was regulated by town development committee, which in some
special town development planes lay out zones for new town growth. Municipalities developed a
distribution planning for the cities and several places in the country region planes were created

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The number of municipalities and counties were reduced significant at the municipal dividing reform
in 1970. An important part of the activities of the public sector are placed under the responsibilities of
the municipal committee and county council. Because of the municipal reform the Parliament could
accept new plan laws in the beginning of 1970ies that established the current plan system. The Plan
Law from 1992 is a compilation and modernisation of the laws from 1970.
The ground rules of sustainable development with outset in preservation and development of the local
environmental qualities has replaced the more growth oriented planning of earlier decades.
Participation procedures
As a governing principle the citizens shall be involved in the planning process, before a new plan is
approved. Therefore a new plan proposal and its presumptions have to be publicized before it may be
approved by the authority. At least 8 weeks must be allowed for citizens to comment, protest or bring
in new ideas. If the proposal involves larger changes in region- or municipal plans a debate has to be
held before the authorities are allowed to develop a concrete proposal. By changes in the regional
plans the main questions has to be described and for the municipal plans an overall strategy has to be
presented. The rule of at least 8 weeks for debate, protests etc. also applies for new local area plans or
changes to existing plans. Also after the final approval of a local area plan by the town council it has
to publicized. This happens trough public websites, presentation at the local library and a possibility to
read the plan at the town hall.
It is emphasised that the requirements for participation in the plan law are minimum requirements.

I.1.2 - The lah of environment protection
The law (most recently update in 2001) will participate in protection of nature and environment so the
civilisation development can take place on a sustainable base in respect of living conditions for human
beings and for preservation of animal and vegetarian life.
The purpose of the law is:
1. To prevent and oppose the pollution of air, water, earth and subsoil and vibration and noise
2. To provide hygienic grounded rules that are significant for the environment and for human beings.
3. To restrain use and spill of raw materials and other resources.
4. To promote use of unpolluted technology.
5. To promote reuse and restrain problems in connection with waste removal.

The law includes:
1. All corporations that by sending out solid, liquid or gas materials, by sending out micro organisms
that can damage environment and health, or by producing waste that can lead to pollution of air,
water, earth and subsoil.
2. Vibration and noise.
3. Products or goods that in connection with preparation, use, transportation or removal can lead to
4. Means of transport and other mobile plants that can lead to pollution.
5. Draft animals, vermin and other relations that can lead to hygienic difficulties or significant
disadvantages for the surroundings.

The law includes as well corporation that concerns risk taking processes and storing of materials with
dangerous properties so that stoppages or accidents can lead to near danger for pollution as mentioned
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Participation procedures
The law requires publicizing of decisions with 4 weeks to file complaints.

I.1.3 - The lah of open administration
The law of open administration (of 1985) covers all public authorities: governmental, county,
municipal and besides energy supply companies, especially:
1. Electricity providing companies that produce, transmit or distribute electricity of 500 volt or
2. Societies, institutions, unions etc, that run natural gas supply company.
3. Collective heat supply plants that are included in the law of heat supply and have a capacity of
more than 10 MJ/s.
Participation procedures
The participation aspect of this law is that according to this law anyone can demand to be informed
about and allowed to read documents that are entered to or established by an administration authority
as a part of administrative case work in connection with work carried out by the authority.

I.1.4 - The urban regeneration lah
According to this law it is expected from the municipal council to participate in:
1. Creating properly functioning city areas and improvement of general living conditions by a overall
contribution directed to residences, buildings, free spaces, residence social and area related
2. Creating properly functioning residences and residence areas by repairing and recreating
residences that are seriously worn out, establishment of free spaces and fitting in of new build.
3. Obviating seriously worn out residences.
4. Promoting ecological, resource and environment related and proper architectural solutions in the
urban regeneration.
5. Participation: Including residents and owners in planning and implementation.
6. Giving the municipals an opportunity for goal oriented urban regeneration effort by choosing the
most appropriate decision type and support form.
Participation procedures
The general plan law requirements to participation apply. However, a special chapter on holistic
neighbourhood regeneration has been added to urban regeneration law (in 1998) with higher ambitions
for participation of the citizens. The formal requirement of 8 weeks to present complaint, comments or
suggestions are still the legal requirement, but in many cases experiments with different ways to
improve the participation has been carried out. Recently, some of these experiments have been
evaluated and the results presented, see ref. 4. The main conclusions from this report are briefly

Urban development is categorised according to the nature of the development, that is: (1)
improvement of existing situation or (2) reshaping and urban growth and two phases: (A) the
concept/idea development phase and (B) actual action/project development phase. Generally the most
positive experiences has been found to be with participation in the concept/idea development phase for
urban improvement project. Partnership methods seem to be more suitable for urban reshaping and
growth areas.
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Denmark’s local authorities, which include 14 counties and 275 municipalities, have a decisive role in
local Agenda 21. They have initiated a partnership with the general public to carry out what was
pledged at the Earth Summit. All Denmark’s counties and 70% of the municipalities are working on
various projects under the auspices of local Agenda 21, and the ideas are spreading like wildfire. The
municipality or county often functions as a sparring partner, adviser and co-ordinator for the citizens,
organisations and companies that initiate local Agenda 21 activities. Many municipalities have created
an environmental centre or an Agenda 21 centre or employed an Agenda 21 co-ordinator, often under
the division of technical services in the municipality or county. People can contact their municipality
or county if they have ideas for local Agenda 21 initiatives.
The Ministry of Environment and Energy, the National Association of Local Authorities in Denmark
and the Association of County Councils in Denmark have been partners since 1994 in a joint campaign
on local Agenda 21. They have held courses and conferences and published reports, brochures and
other written material. In addition, they issue a newsletter about six times per year.
Some examples from best practises concerning local Agenda 21 from different municipals are brought
up below.
I.2.1 - Albertslund
The municipality of Albertslund is very popular for their local Agenda 21 planes. This includes
especially citizen participation.
Agenda Centre Albertslund (ACA) is a local environment centre in Albertslund Municipality with 5-6
regular workers. The most important job for ACA is to support the environment work in the many
different resident areas. This is partly done by forming local Agenda plans.
ACA has installed solar cells and do consultant works, organise courses, urban ecological tours and
make presentations in Denmark and abroad.
There is a general wish in the resident areas to do something about their waste handling and ACA will
therefore employ waste workers.
ACA has been participating in the following work:
• Hiring waste workers
• Establishing a recycle yard and a recycle shop
• Offering courses for property employee and volunteers at the recycle yards
• Offering the resident areas guidance to use of environment friendly built materials in connection
with renovation
I.2.2 - Stevns
In summer 1999 municipal of Stevns decided to assure proper participation by including more than
ever before residents in future planning. The municipal wanted to make a municipal plan, Plan $P,
where the development of the municipal plan should be integrated with an Agenda 21 plan.
The municipal wanted this Plan 21 process to be transferred from technical administration to the
residents which should take place through an arrangement of a [uture \orWshop. The municipal
launched at the beginning this process as a public hearing. Later on the public hearing was suited to
the Future Workshop. The municipal called this the Stevns-model for participation.
65 of Stevns residents listed themselves at the Future Workshop but only 50 of them were selected.
CASA was responsible for selection of participants and for opinion poll of attitude and engagement of
the participants before and after the arrangement of the Future Workshop.
The Future Workshop was arranged on a course premises from Friday to Saturday. The main theme
was Aevelopment of the [uture in Stevns but beside that there were no themes decided in advance. The
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participants chose them themselves and it happened without the interruption from politicians and
experts. Only the mayor was allowed to make a short welcome speech.
On this weekend the 50 residents managed their eight self chosen themes that covered a very wide
field. Some of the themes were:
• Securing the tax foundation.
• The strengthening of local responsibility and initiative.
• Transportation.
• Residence and business politics.
• Development of a green profile for the municipal.

The test shall be marked as being a success. The report shows among other things the great joy the
participants showed for the idea about Future Workshop. Many of the participants indicated the value
of the new network that was created at the workshop. The network will in the future lead to that
different activities in the future will be bounded together in a new way. At the same time the Future
Workshop has been effective in increasing the interests of the participants for local questions. Even
those who in the beginning had shown scepticism have joined new work groups.
Hereby the municipality has obtained what it wished for and found a method for citizen participation
in the planing process.
According to the CASA report the disadvantage of the Stevns model is that there is no representative
section of the population in the Future Workshop.
On the other side this selection means that the notified persons have energy for the general
development in Stevns.

I.2.3 - Haslev
In the municipality of Haslev participation is adopted as an important issue as the co-operation
between residents and municipality is highly developed. The town council set aside each year 50.000
dkr for an Agenda 21 pool which is administrated by the Agenda 21 group chosen by the residents.
The board contains of a volunteer, unpaid and non political circle. The object of the board is to work
for implementation of the goals set on the RIO Conference 1992 for local Agenda 21 operation.
The municipality has also hired a worker who works with Agenda 21 in the municipality and inspires
the residents to work with Agenda 21. The Agenda 21 worker has prepared Green Accounts for the
institutions of the municipality and participated in making traffic and environment action planes in the
Moreover there have been established “The Nutritional Group under Agenda 21 in Haslev”. The group
supports the fact that Haslev municipality is making a food politic. In the suggestion it is suggested to
buy ecological products and that the goods are produced locally.
Further more “Vegetable Box” has been initiated that weekly brings out ecological fruits and
vegetables to houses.

I.2.4 - Hillernd
The municipality of Hillerød started in 1996 working with Agenda 21. The municipality of Hillerød
has during all the years worked with Agenda 21 in relation to the people and the companies of the
municipality and Agenda 21 internally in the municipality. During the past years the work basically
has been placed internally in relation to the local authority organisation and the many institutions of
the municipality. The reason why the Agenda 21 work basically has been placed internally is that
Hillerød municipality want to demonstrate themselves as a good example.
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Since 1996 several Agenda 21 projects have been accomplished. E.G. there environment and bicycle
campaigns, support to private initiatives and participation in environment forum for companies.
Internally in the municipality there have been a lot of work with environment management and a great
environment project named “Green Institution” has been started.
All these projects have on their own each way participated in promoting a sustainable development in
Hillerød Municipality.
In June 1996 the Hillerød city council decided to work actively with Agenda 21 and the first projects
were started.
In the past years Agenda 21 work has resolved:
• Support to those citizen groups that want to participate and work with Agenda 21 projects
• A project about ecological food in the local authority institutions
• More projects about the introduction of environment management in local authority institutions
and departments
• Working in the environment conditions in political decisions
• Adoption of a green purchase policy
• Introduction of green account for Hillerød Municipality
• Several citizen oriented campaigns about among others traffic and pesticides
• Activities for business community e.g. through Frederiksborg Environment Forum
• And much more

In 1999 the city council decided for a superior environment policy for whole municipality. At the
same time the city council decided for an environment plan where concrete goals have been set out for
the environment work in the municipality till year 2003.

Denmark has a long tradition of advanced work on environment and development, and Denmark has
achieved much in carrying out Agenda 21.
The Municipality of Albertslund was one of the first in Denmark that opened an Agenda 21 centre,
and the Municipality has made substantial progress in reducing resource consumption and negative
environmental effects. For example, all municipal divisions and institutions have prepared
environmental action plans, and all child care centres serve organic food. The Municipality uses no
pesticides, and many businesses meet and exchange ideas in the Albertslund Environmental Forum for
Trade and Industry.
In the Municipality of Slagelse, a Green Family movement co-operated with the Municipality to start
an organic supermarket.
The Ikast Environmental Council was created as a network for associations, businesses, institutions
and individuals involved in and participating environmental work in Ikast. Similar to other areas of
Denmark, the Council has employed an environmental guide to promote activities.
The Municipalities of Vejle, Kolding, Horsens, Fredericia and Middelfart, Vejle County and 200
businesses co-operate in the Green Network on improving the environmental performance of
businesses. Work is focused on each individual business and on creating networks related to the
environment. The Green Network has helped to initiate the Environmental Forum Denmark, a nation-
wide network of 50 local environmental networks.
Storstrøm County and agricultural organisations co-operate in reducing the leaching of nutrients and
pesticides, tending natural areas and protecting the wetlands around the Tubæk River. All 150 farmers
in the area are being offered consultation and instruction in environmental and resource management.
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Many other municipalities and counties are taking initiatives. For active participation networks are
being created between public authorities, organisations, businesses and grassroots associations
These are some of the effects of local Agenda 21 in Denmark. The United Nations will be
comprehensively reviewing Agenda 21 implementation in 2002.

The Environmental Protection Agency campaign about the environmental rights of the
In 1995 the European environment ministers met in a Pan-European Environment Minister Conference
named “Environment for Europe” in Sofia and decided some direction lines for environmental rights
for the citizens.
As follow-up on Sofia Conference a workgroup was decided that was able to prepare a convention of
environmental rights of the citizens, which was a judicial binding agreement between the member
countries from Europe and North America.
The superior goal with the convention is to assure the rights of the citizens for participation on
environmental area. The convention covers countries from Atlantic Ocean in west to Central Asia in
Three main areas is covered by the convention:
1. Access to information
2. Access to participate in decisions
3. Access to complain and get decisions proved by the law-courts
The convention was signed by representatives of the countries by the fourth Environment Minister
Conference held in Aarhus the 23
– 25
June 1998 where more than 50 environment ministers from
all over Europe participated. The convention came into force when 16 countries had ratified, which
happened in October 2001.

The Environment Ministry tried in autumn 2001 to initiate two experiments about citizen participation
in environment policy, the collecting of used batteries and efforts to avoid dangerous materials in
general. Hereby the Environment Ministry obtained concrete suggestions to how the future collection
of batteries can take place easiest possible. Moreover the plan of abolishing the environment damaging
materials before 2020 was supported by several people.
The background for the two projects of the Environment Ministry was the Aarhus Convention about
the citizens environmental rights and a general wish for dialogue with the world about environmental
Both projects shows that there is great engagement from the citizens if their input is taken seriously.

With respect to the 21 SD targets defined in the HQE²R project most emphasis has been on the
environmental issues 1-4 and 6 of “To preserve and valorise Heritage”, and on “To improve
Environmental Quality”, especially to improve air quality - target 10 and to reduce noise pollution –
target 11, and of course also an the emphasis has been on the social aspects, target 20-21 of “To
reinforce Social Life”. The general aim of the Urban Regeneration Law covers the targets 16-19 of “to
improve the Integration”.

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From the proceeding chapters it appears that the environmental legislation, the plan law and the law
with respect to the implementation of Agenda 21 in Denmark and the national and local programmes
all support the principle of participation. On the basis participation has been an element in many
planning processes and urban renovation projects over the past decade. The experience shows that in
reality participation in planning processes has been rather limited, whereas it has been quite significant
in many urban renewal projects. One problem that has been identified is that there is a risk in the urban
renewal processes that the important decisions are taken in closed fora, or by a few active citizens.
Another way of stating this problem is that it is difficult to engage the weaker citizens.

As many experiences are gathered in the many different urban renewal project it could be very useful
to initiate a collection of these experiences followed by an evaluation with respect to the efficiency of
the different methods and tools used to engage the citizens in participating in the projects. The result
will then be a guideline with a set of evaluated tools to be used in future projects.

One particular problem that could need additional attention is the decision processes when a
neighbourhood is above a certain size. For those it can be difficult to develop a specific
neighbourhood identity. Work to develop democratic decision processes for larger, maybe even
complex (with many different interest groups) neighbourhoods could be initiated.

1. Planloven i praksis, Miljøministeriet, 2002.
2. Agger, A. et al., Borgerdeltagelse og –inddragelse i byomdannelsen, SBI-Meddelelese no. 126,
3. Larsen, J.N., Borgerdeltagelse i kvarterløft, By- og Byg Dokumentation 008, 2001.
4. Byudvikling i 8 kommuner – partnerskaber og borgerinddragelse, Erhvervs- og Boligstyrelsen,

For further information, please contact:

!"Ministry of Environment and Energy
Spatial Planning Department
Højbro Plads 4, DK-1200 Copenhagen K, Denmark
Telephone +45 33 92 76 00, Telefax +45 33 32 22 27

!"National Association of Local Authorities in Denmark
Department of Technical and Environmental Services
Gyldenløvesgade 11, DK-1600 Copenhagen K
Telephone +45 33 70 33 70, Telefax +45 33 70 30 60

!"Association of County Councils in Denmark
Dampfærgevej 22, Postbox 2593, DK-2100 Copenhagen Ø
Telephone +45 35 12 27 88

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How do current laws favour the participation of inhabitants and how does this participation operate ?
II.1.1 - The Aouchardeau Lah (12th July 1983)
II.1.1.1 - Description
The Bouchardeau
law is relative to the democratisation of the public enquiries and to the
protection of the environment.
It stipulates that the realisation of developments and horks operated by public or private people
must be preceded by a public enquiry when, because of their nature, their consistence or the character
of the areas in question, these operations are susceptible of affecting the environment. The
thresholds and the technical criteria defining these questions can be modulated in order to take into
account the sensitivity of the surrounding environment and the areas benefiting, in the name of the
environment, from a legislative or statutory protection.
II.1.1.2 - 1he participation procedures
The Aouchardeau lah organises for the first time the possibility of an exchange betheen the
administration and the public on the theme of the insertion of a project, public or private, in its
The object of the enquiry is to inform the public and to record the appreciations, suggestions and
counter-propositions after the study on the impact, in order for the competent authority to dispose of
all the necessary elements for its information.
At least fifteen days prior to the opening of the enquiry and during its process, the competent authority
brings to the publicms knohledge, by all appropriate displaying means, namely in the area concerned
by the enquiry, and, according to the importance and nature of the project, by ways of written press
and audiovisual communication, the object of the enquiry, the names and qualities of the enquiry
commissary or of the members of the enquiry commission, the date of opening, the place and the
duration (one month minimum) of the enquiry.
The enquiry commissary must allow the public to acquire a complete knohledge of the project
during the whole duration of the enquiry and to bring forward their appreciations, suggestions and
counter-propositions. He can organise public meetings and with the consent of the competent
Similarly, the enquiry commissary stays available to all the people and associations’ representatives
requesting to be heard: all the citizens without exception can give their opinions, verbally or in
writing, for the whole duration of the enquiry.
Report and conclusion of the enquiry are not dissociable and are made public. The report must
present the counter-propositions produced during the enquiry.
II.1.1.3 - 1he limits
The procedure put in place for public enquiries is an occasional procedure linked to a particular
event. It does not necessarily go with a greater participation of the inhabitants to their commons’
Moreover, a public enquiry does not always bring together people from the same common: the
operations leading to the enquiry do not necessarily concern a municipality alone. It is then not always
an opportunity to bring people from a same city together in view of a communal dynamics.

Law n° 83-630.
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II.1.2 - The Aarnier Lah (2
February 1995)
II.1.2.1. Description
The Barnier
Law is relative to the reinforcement of the protection of the environment. Its Article 2
is completed by the application decree of 10
May 1996 relative to the consultation of the public and
the associations prior to development decisions.
For the greater development public operations of national interest of the state, of territorial
communities, of public establishments and of societies of mixed economy presenting a strong socio-
economic stake or having a significant impact on the environment, a public debate can be
organised about the objectives and the principal characteristics of the project during the phase of
their elaboration.
A “National Commission for Public Debate” (C.N.D.P) is then created, which, when requested,
consults the ministers concerned. This commission is in charge of organising a real democratic
debate. It consists, in equal proportions, of parliamentary and locally elected people, of members of
the State Council and of administrative and judiciary jurisdictions, of representatives of associations
protecting the environment operating on the whole national territory, of users’ representatives. The
debate file presents namely “a general description of the objectives and economical and social stakes,
an identification of the principal impacts on the environment and an estimation of the economical and
social costs of the project.”
The poher delegated to the enquiry commissaries is enlarged: they can decide to organise an
information and exchange meeting hith the public in the presence of the foreman.
II.1.2.2 - 1he participation procedures
The C.N.D.P. can take up a project in response of a particular request (from an association,…). If there
is no precise request, the debate is not set up.
The public debate is led on the basis of a file produced by a Commission President, who, once it is
completed, authorises its initiation: its duration cannot exceed four months unless the National
Commission prolongs it. After the debate, the president constitutes a balance sheet and publishes the
report. The public debate must be an open and pluralist debate, where the opportunity to obtain
information and to make one’s voice heard is given to all.
II.1.2.3 - 1he limits
Like for all public debate, the efficiency of the procedure depends on the information level of the
inhabitants about the project’s issues and especially to make possible coming to debate them
publicly. The public debate is really probative when it really allows the people concerned by the
project to express themselves.
This public debate formal appliance, written in the law, is not always sufficient to initiate a dialogue
between the authorities and the population. If it helps informing the inhabitants, it rarely leads to a
real participation to the elaboration of projects. One of the obstacles to an efficient participation of
the inhabitants is the fact that, very often, the decisions are already made and the studies
concerning the project already done before the debate takes place. It is the problem of the time at
which the debate should be held that arises here.
Moreover, experience has shown that mainly middle-class and upper-class people use these ways to
express their point of view: the poorest inhabitants remain in general away from these procedures.
This problem of partial participation of the recorded opinions is compounded by pressures, which may
be set by the different lobbies concerned by the project being debated.
The dialogue going well depends a lot on the initial attitude of the president: he must show very early
on he is willing to negotiate with the population. Mutual trust is indeed the first condition for
dialogue. Very difficult to establish in the rehabilitation context in which all sorts of problems arise
(re-housing inhabitants, change of way of life, financial, technical and administrative difficulty…),

Law n° 95-101.
Participation by residents and users: legal and regulatory context, and recommendations (Deliverable 15) HSE
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mutual trust must be consolidated all along the operation by effective proves of respect of their given
word by each side.

On the other hand, if issues with the project appear in the debate, the conclusion often leads to
throwing the ball back to the government, then in charge of realising new studies (Nice Harbour’s case
for instance
Finally, this type of participation is reduced to the range and duration of a given project. It is an
interesting process but a punctual one and therefore not really implying the inhabitants in the strictly
spoken city policies.
II.1.2.4 - 1he perspectives
To this day, five debates have been fully accomplished: construction of a harbour in deep water in Le
Havre, setting of very high voltage electricity cables between Marseille and Nice, construction of a
motorway between Metz and Nancy, design of a high speed train line between Lyon and Alsace and
creation of a third airport near Paris. During this time, the C.N.P.D. has taken up several new files:
motorway and railway surrounding Lyon by the west, expansion of Nice Harbour, Charlas dam,
Notre-Dame-des-Landes airport, very high voltage electricity cables between Lyon and Chambéry,
Rhone-Catalogne aqueduct, radioactive waste storage facility at Cadarache, very high voltage
electricity cables between Golfech and Cahors, modernisation of Orly airport and fast railway link
between Gare de l’Est and Charles de Gaulle airport in Paris. Finally, France Nature Environment
requested a public debate on the issues of road and railway links through the Alps.
The generalisation of the public debate procedure in France is very likely. The cost thresholds
allohing the C.N.D.P. to intervene are about to be diminished. The C.N.P.D. missions are going to
increase as well as its means of action; citizens are then on the road to greater consultation.

II.1.3 - The Voynet Lah (25
June 1999)
II.1.3.1 - Description
The Voynet
law is relative to the orientation for the development and sustainable development of
the territory (L.O.A.D.D.T.), modifying the 4
February 1995 law.
Several points are mentioned:
- the creation of oPaysp : Area gathering municipalities with the willing to have a common
development project;
- the conurbation projects : conurbation contract benefiting from State and Regional subsidies
to implement projects about urbanism, public transportation, economic activity, as well as the
improvement of social mix and the reduction of social exclusion factors;
- regional planning with the realisation of nine “collective services schemes” about the
following items: energy, education and research, culture, health, information and
communication, multi-modal schemes for collective transports of passengers and goods
transport services; these schemes should allow to “raise up and federate the dynamics and co-
operation of territories, guarantee and optimise the functioning of public services and integrate
objectives of sustainable development”.
- the setting of “Development Councilsp : civil society organisations to be consulted for any
agglomeration project. These councils must take into account the diversity of economic,
social, cultural and associative activities; therefore they consist of representatives from
diverse backgrounds. These councils are consulted as to the development of the

« Ya Réhabilitation urbaine O, Direction Générale de l’Urbanisme, de l’Habitat et de la Construction.
Aébat public sur le pro-et dDextension du Port de Nice (15 october 2001 – 15 january 2002) – Direction
Départementale de l’Equipement des Alpes-Maritimes
Law n° 99-553.
« Tout ce quDil faut savoir sur la loi ]oynet O, La Lettre de la Délégation à l’Aménagement du Territoire et à
l’Action Régionale, DATAR, Paris, Automn 1999
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II.1.3.2 - 1he participation procedures
The Article 1 should lead to a national policy of “[…] solidarity betheen citizens and population
integration”; it should be created on the first instance on a local level in order to then obtain cohesion
on a national and European level.
This law favours local development (Article 2) “on the initiative and participation of local doers”
on rural and urban territories.
The schemes of sport collective services (Article 24) ensure “information of the public on services”
and favour “social integration for the citizens”.
The Development Council must be the expression of the participative democracy of an area. It
contributes to the elaboration, the setting, the monitoring and the evaluation of the “territory project”.
“Power is not taken away from elected people, power is given to the people.” (Hervé Bernard,
representative of the Autunois Morvan County in the Auvergne/Bourgogne/Rhone Alpes Club)
“ Participative democracy is not a threat to representative democracy, it is possible to work with others
without questioning the functions and the powers of any.” (Jean-Pierre Dodet, Avallonnais
Development Committee).

II.1.3.3 - 1he limits
Development Council is often reduced by the fact that “it is difficult to involve business managers”.
This low participation complicates matters as to fully understanding the expectations of economic
stakeholders. In addition, the different actors often seem to lack economical knowledge.
II.1.3.4 - 1he perspectives
This appliance constitutes a minimum setting for the intervention of the inhabitants and of the
civil society on the agglomeration level. This implies that elected people must be imaginative in
order to conceive the tools on this territory level. It is however in their interest to emphasise the
necessity of organising the place of decision-makers and of the inhabitants at the agglomeration
level. It is then up to anyone to use the opportunity offered to propose suitable and innovative tools, as
it was done on a communal scale with, for instance, the creation of an economic and social council, of
a youngsters’ council or of a foreigners’ council…
However, the hay these consultative councils and these development councils are articulated is
still to be précised, namely with the role and the place of civil society and of inhabitants’ groups
depending on the objectives assigned to these structures.

II.1.3.5 - 1he example of the Development Council of Crand Lvon's urban

The Council of Greater Lyon’s urban community decided to put in place a Development Council
following the “Millenary 3” working group discussions led during three years. The objectives of this
Development Council is to “federate the energies, the lively forces, the good-hills of the many
local actors ready to intervenep
The Development Council, which should constitute a useful tool for the future of the agglomeration, is
a consultative instrument contributing to helping public decision through analysis, concerting and
debate, being attentive to society problems and stakes and being a permanent place for debate on
the agglomerationms future. A three year-hork plan put in order the problems to be examined.
The Council consists of members of right: all institutions nominate one person to represent them
and, beyond the institutions, amongst the members of right are qualified people (twelve people

« Avec le Conseil de Développement, le pays a son espace de démocratie participative » , Third cycle of
seminars, October 2000-April 2001, in Les Cahiers des Clubs, pp. V-VI.
« La Place des habitants dans la politique de la ville », Conseil National de la ville, February 2000.
Jacques Toledano, « Le Conseil de Développement de la Communauté urbaine du Grand Lyon : Une
agglomération compétitive et rassemblée : 21 priorités pour le XXI
siècle », 2001
Participation by residents and users: legal and regulatory context, and recommendations (Deliverable 15) HSE
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chosen outside the agglomeration); of active members recruited by an application call of all
volunteers (associations and citizens); of a President (President of Lyon urban Community), of a
directing committee (twenty people, of whom ten are elected amongst the members of right and the
other ten amongst the active members); and of a technical committee (competent technicians brought
forward by the members of right).
The Council is not formed once and for all. The mandate is of six years, non-renewable. It holds tho
meetings per year (choice of work programme and report on achieved work). Between these
meetings, it is organised in horking groups (at the start of the year at least one per strategic item of
the conurbation project). It is animated by the “prospective mission and agglomeration strategy”. A
horking budget is allocated every year and managed by this same mission.

II.1.4 - The Chevenement Lah (12
July 1999)
II.1.4.1 - Description
The Chevenement
Law is relative to the reinforcement and the simplification of inter-
municipality co-operation; it produces the tools in terms of municipal organisation and reinforces
territorial solidarity.
The major dispositions are made clear in this law : initiating to communal groupings in the form of
Agglomeration Communities, Urban Communities and Communal Communities and encouraging a
unique fiscal policy as for the Professional Tax.
II.1.4.2 - 1he participation procedures
One of the important axes of this law is the reinforcement of local democracy by the creation of
consultative committees. The communal council can create consultative committees on all the cases
of communal interest in order to make propositions and/or to be consulted by the president.
It consists of members designated (example: representatives of local associations), for one year by the
deliberating organ and on President’s proposals.

II.1.5 - Solidarity and urban renehal lah (S.R.U.)(13
December 2000)
II.1.5.1 - Description
The 1967 law on land use orientation was designed to support urban extension. It has led to a
functional logic called “zoning”. Thirty years after its promulgation, this law was reviewed and
corrected to be adapted to actual and future stakes.
This modification revolves around four objectives
- Creating dialogue and negotiation places to set up projects and a development strategy for
urban, per-urban and rural territories of a same region.
- Considering the treatment of public spaces, the landscape, the lighting, the fight against
pollution and the efforts tohards a quality environment as essential dimensions of
urbanism documents.
- Seeking coherence between space planning, moving around and housing and then avoiding
the production of juxtaposed documents.
- Favouring the definitions of principles and the objectives, concerting and democratic
actions rather than procedures and formalism.

Law n° 99-586.
Law Solidarité et renouvellement urbains – Ministère de l’Equipement, des Transports et du Logement –
Secrétariat d’Etat au Logement, December 2000.
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Hence, the S.R.U.
law introduces the Urbanism Local Plan (P.L.U.), which replaces the Land Use
Plan (P.O.S.), and the Territorial Coherence Scheme (S.Co.T.), which replaces the Directing
Scheme for Urban Improvement (S.D.) :
- The S.Co.T. produce strategic planning document which, at the conurbation level, will allow
to set into place sector policies as for urbanism, housing, moving around and commercial
equipments. They must be put in place to the scale of several municipalities and take into
account perimeters where municipalities are grouped together and as well as “Pays” and
conurbations and already existing planning documents. They precise the development and
urbanism objectives, taking into account housing, leisure, services and infrastructures
policies. They define the principal orientations in terms of moving around, fix the objectives
of coverage by collective transports and include a section on business and services. These
documents aim to federate the Housing Local Programmes (P.L.H.), the Urban Moving
Around Plans (P.D.U.) and the commercial development schemes. They must also contain
appreciations about the foreseeable incidences of these orientations on the environment.
- The P.L.U. is designed to ensure:
• the equilibrium between urban renewal, a mastering of the urban development and
rural space development on one hand and the preservation of spaces allocated to the
activities of agriculture and pertaining to forests and the protection of natural spaces
and of landscapes on the other hand, in accordance with the sustainable
development objectives;
• The diversity of urban functions and social mixing in urban and rural housing;
• An economical and balanced utilisation of natural, urban, suburban and rural
spaces, the management of necessary movements and road traffic and the
preservation of environmental quality.
II.1.5.2 - 1he participation procedures
Beside arising of the concept of Planning and Sustainable Development Project (P.A.D.D.)
, the
major change brought by the S.R.U. law is the participation of the inhabitants and associations to the
elaboration of the P.L.U. and of the S.Co.T., included in all phases and not only in the phase of public
enquiry to which are submitted these two urbanism tools.
An other aspect of the S.R.U. law also allows the setting of new instruments favouring the
participation of tenants in the social housing.
Citizens’ participation is reinforced by implying the obligation of previously empoherment in the
elaboration of the S.Co.T.s and of the P.L.U. Everyone is invited to express oneself: inhabitants,
local associations and people concerned, together with, particularly, representatives of the agricultural
The range of the public enquiry, to which urbanism documents are submitted from now on, reinforces
this participation of citizens. Indeed, under the land use orientation law, the procedure of anticipated
application for the S.D. and the P.O.S. brought the possibility that these documents could be opposed
before they had even been submitted to the public enquiry… The S.R.U. law suppressed this
The procedures of empowerment and public enquiry are then generalised and prior to any new rule.
The participation field is wide: participation must be achieved for the whole duration of the study. If
the municipality is free to define the participation modes, it must do so from the start, which is a
democratic guarantee. There is both a “civic relation” between elected people and the citizens and a
juridical relation: poor participation would lead to the cancellation of the urbanism documents.

Law n° 2000-1208.
See Deliverable 12 B^rbanism,^rban Plannign and Sustainable AevelopmentE
Rencontres Nationales de la Communication, Salon de l’Aveyron, Direction Générale de l’Urbanisme, de
l’Habitat et de la Construction, 26 november 2001
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For the elaboration of its P.L.U., the city of ISSY-LES-MOULINEAUX (Hauts-de-Seine) has for
instance put in place previous participation, where the population is associated to the project through
an evolving exhibition, followed by two successions of meetings in all eight neighbourhoods and with
the help of the District Committees, through a process of “feeling feedback” on the diagnostic
followed by the “progressive adhesion” to the propositions. In addition, other types of consultations
are also led: Economical and Social Council, citizen Panel of internet users…

II.1.5.3 - 1he limits
These new participation methods are still largely to be invented, especially so since the law does not
define them at all, the principal reason for this being that participation must be adapted to the project.
Given that this procedure did not exist within either the P.O.S. or the S.D., it still remains hesitating
and little developed; it is suitable today to wait a little more before critically judging concerting
practice in the context of the S.R.U. law.
It must be emphasised that the term “to associate”, used in the wording concerning the designation of
the people who can participate to the elaboration of urbanism documents expresses an implication
going from the association/information to the association/active participation via the
association/consultation… It seems that the obligation of an active participation is limited to the
State’s services. Indeed, the law foresees that other public people or consular organisations are to be
consulted… at their request… (a slight difference!). The constitution of a working group is then less
restrictive and the problems linked to quorums disappear…
In the absence of legislative and statutory dispositions defining precisely the participation
modalities, the “information on the project/remarks of the public” scheme seems so far to be
sufficient. As an example, a public exhibition which has enabled to collect observations taken into
account was estimated satisfactory.

II.1.6 - The proximity democracy lah (27th February 2002)
II.1.ô.1 - Description
The Law relative to proximity democracy
aims at :
- the larger association of citizens to local decisions,
- the reinforcement of locally elected people’s rights (namely these of opposition),
- the easier access to local mandates (namely by a better articulation of these mandates with
professional activity, a reinforcement of the training of locally elected people and the
improvement of conditions of carrying out the mandates),
- the assurance of transparency of the process of elaboration of the development and
equipments projects as well as the participation of the public to the elaboration of greater
The first title is relative to the creation of District Councils, to the extension of missions of
consultative commissions of local public services, to the reinforcement of the rights of deliberating
assemblies’ councillors and to the general information of the inhabitants as well as to the improvement
of duty exercising conditions for the members of the economical and regional social Councils.
As for the fourth title, it particularly concerns the participation of the public to the elaboration of the
greater projects.

Aes Plans Yocaux dD^rbanisme aux Agendas $P locaux, Cahier des charges, Issy-les-Moulineaux, Agence
Régionale de l’Environnement et des Nouvelles Energies - Ile de France.
Rencontre Nationales de la Communication, Salon de l’Aveyron, Direction Générale de l’Urbanisme, de
l’Habitat et de la Construction, 26 November 2001
Loi n° 2002-276.
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II.1.ô.2 - 1he participation procedures
The participation of the inhabitants to action and public debates will rely on the compulsory creation
of District Councils in towns of over 80,000 inhabitants in all the districts that constitute the town.
This creation is optional for towns of between 20,000 and 80,000 inhabitants. It is interesting to note
that these councils initially concerned all towns of over 20,000 inhabitants… but with such
requirements, the Senate feared a double denaturising of the municipalities (at the top, by inter-
communality and at the bottom, by districts). The local council will fix the number and the designation
modalities of the District Councils’ members, who could include inhabitants and associationsm
representatives and members of the local council. The Councils will elect their presidents and will
meet at least twice a year. They could be consulted about the setting of proximity equipments and the
definition of animation actions and will be allowed to take up any proposition from the Mayor.
They could also be consulted on the Mayor’s initiative about any question concerning the district and
associated with the elaboration, the setting and the evaluation of the actions concerning the district. It
is planned to allocate them “sufficient means of action”…
In other respects, in order to increase proximity services, the towns will be able to create specific
positions of district assistants and those of over 100,000 inhabitants will have to create Tohn-hall
annexes in the districts. The role of the assistants will be, in accordance with the law, to have
knowledge of “all question principally concerning the one or the several districts he is in charged of.
He will tend to the inhabitantsm information and will facilitate their participation to the districtms
The role of the consultative commissions of local public services is reinforced and their creation is
made compulsory in the town of over 10,000 inhabitants and the public establishments with inter-
communal cooperation of over 50,000 inhabitants. The National Commission for Public Debate
(C.N.D.P.) allows the inhabitants to benefit from information and association procedures.
Directives enable the respect of this regard for information and transparency.
Moreover, the public enquiry will be modified. A project statement (“declaration de projet”), by
which a territorial local authority recognises the character of general interest of its project, will be set
up. The creation of a project statement, which will be motivated and show the motives and
considerations on which its character of general interest or of public utility is based, follows then the
reinforcements of municipalities’ responsibilities and the greater transparency towards the public.

II.1.ô.3 - 1he limits
This law having just been accepted, it is difficult to express any opinion as to its rightness or its
appliance possibilities, even if the text seems interest worthy and a potential basis for effective
participation of the inhabitants to their municipalities’ politics.
It can already be thought that its efficiency will depend on the interpretation that every municipality
concerned will have of it: a municipality little inclined to make its inhabitants take part in its politics
could for instance set up District Councils without necessarily giving them sufficient importance for
them to really intervene and have a true power.
It appears however that the result is far from the ambition shohn initially and that very few of the
planned measure have been kept. The participation of the inhabitants to local life is in a way put into
the background. The Vaillant Law is after all a text more important for the elected people than for the

Rencontres Nationales de la Communication, Salon de l’Aveyron, Direction Générale de l’Urbanisme, de
l’Habitat et de la Construction, 26 November 2001.
La Lettre du cadre territorial n° 228, 1
March 2002.
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II.1.7 - Synthesis
If it cannot be denied that the political hill of elected people is essential for the citizens’ participation
to be efficient, legislating on this question could lead (even force) some local decision makers to make
their practices evolve.
Beyond a certain number of cities leading a true policy in this respect or experimenting forms of
participative democracy, every citizen must be allowed to claim his “right to be consulted”. For this
to happen, a minimum frame must be given by the legislator.

Ya Place des habitants dans la politique de la ville – Conseil National de la Ville, February 2000.





Increasing participation
Synthesis diagram
Situation of these lahs on a scale of governance steps
(according to the Lah text and not to the practice)
Proximity democraty Law (27
Voynet Law (25
June 1999)
Chevènement Law (12
Aarnier Law (2
February 1995)
Aouchardeau Lah (12
July 1983)
Solidarity and Urban Renehal Lah
December 2000)
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II.2.1 - Presentation
Four examples of Local Agendas 21 of three municipalities of medium size (from 16 000 to 33 000
inhabitants) and of one municipality of large size (of about 200 000 inhabitants) are presented in this
report and were chosen for the aspects linked to inhabitants’ participation, at different stages of the
Agendas 21 were inspired by the Agenda 21 of the Rio Conference (1992), giving priority to
information, participation and democratic initiative.

II.2.2 – The example of Autun (Saône-et-Loire)
II.2.2.1 Description
In Autun, the environment and the conditions of life are strong axes in municipal policies. In 1992,
the town elaborated a Municipal Plan for the Environment and, in 1997, an Urban Ecology
Charter. Then, in June 1999, the Agenda 21 project was presented to the Consultative Council on
the Environment and in March 2000 the city joined the Aalborg Charter and launched its Local
Agenda 21. On 15 February 2002, Autun’s Agenda 21 was transferred to the Community of Towns
of the Autunois.
In 1998, a wood-fired heating system (the largest wood district heating in France) was set up to
replace an oil-fired heating system : in so doing, Autun demonstrated its will to favour this source of
renewable energy; moreover, actions to raise people’s awareness of the need to save water and energy
were put in place.
No particular budget was allocated to the Local Agenda 21, except the salary of a young employee
(responsible for publishing and photocopying documents and organising meetings), subsidies from
and D.I.R.E.N.
for communication and initial assessments by an R&D company.
The Local Agenda 21 is drafted within working groups: the Uorkshops 21. They bring together
elected representatives, municipal services, associations, companies and citizens. The division of
Workshops 21 into 5 workshops was jointly defined (on 15 February 2002) during the public
presentation of the passage of the Local Agenda 21 from the Town of Autun to the Community of
Towns of the Autunois, enabling the broadening of themes tackled in Town of Autun’s approach into
3 working groups (“Equity”, “Lifestyle” and “Futurology”).
The title of the Workshops 21 was designed in such a way as to allow them to divide the fields of
competence of the newly created Community of Towns of the Autunois: “Transport and Movement”;
“Tourism and Economic Development”; “Education, Insertion and Solidarity”; “Habitat, Landscape
and Natural Environments”; “Sustainable Public Management, Sport and Culture”.
This division enables the discussion and rapid definition of the working axes, which will be more
easily integrated into the operation of the Community of Towns of the Autunois. These Workshops
will ensure the transversality of projects and abolish reductive thematic divisions of the
environmental, social or economic type. These divisions were more marked at the time of the launch
of the Agenda 21 in Autun. This experience helped the Community of Towns’ Local Agenda 21,
which therefore allowed the integration of the three environmental, social and economic criteria
without dividing them up.
The Folloh-Up Committee is also made up of 7 government representatives within the Community of
Towns of the Autunois: a Director, a Deputy responsible for roads, an Educational Affairs Manager, a
Local Agenda 21 mission assistant, as well as D.I.R.E.N., A.D.E.M.E. and the National Council of the
Town. It enables the Community Council to be informed and reach consensus on the proposals made

ADEME means Agency for the Environment and the Control of Energy
DIREN means Regional DIrection for the ENvironment
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in the Workshops 21. Finally, it should take care that the Workshops 21 are genuine tools of proposal
for citizens and partners of the Community Council, produce the appraisal of the first cycle of
Workshops 21 in May-June 2002 in achieving the transversality expressed in the 5 Workshops 21 and
organise the Local Agenda 21 approach throughout its duration to develop participative democracy. It
is a technical group, which enables the joint efforts of elected representatives, participants and
administrative services to concretise Workshop 21 debates. The projects selected by the Follow-Up
Committee will, if necessary, then be approved by the Community Council and included in a second
cycle of Workshops 21. This Committee met before the first workshop of 9 July 2002 in Autun.
All the projects emanating from consultation will have to obtain the necessary technical, economic,
political and financial validations of the Community of Towns of the Autunois and will have to be
accompanied by appropriate indicators.
(These indicators have not yet been elaborated, however).
II.2.2.2 1he participation procedures
Inhabitantsm participation was re-launched with the passage of the Local Agenda 21 from the Town
of Autun to the Community of Towns of the Autunois. On 18 April 2002, a press conference was
held to present the Local Agenda 21 Workshops 21 in the Community of Towns of the Autunois, in
order to invite the inhabitants to participate in the Uorkshops. Over 300 people (out of 19 towns
of 25,851 inhabitants in all) expressed their will to participate in the definition of the Local Agenda
21, by joining one of the five horkshops. Initially, the participants in the Workshops were mainly
people from associations, but inhabitants are playing an ever-increasing role. A third or two thirds of
these people were already participating in the Local Agenda 21 working groups of the Town of Autun.
The Community of Towns is in charge of organising the Local Agenda 21, which consists in defining
projects aimed at achieving sustainable development
. A mailing was sent to the 11,000 properties in
the Community of Towns of the Autunois to encourage more citizens to participate. On 15 February
2002, during the first Workshop meeting presented by the Community of Towns and the Consultative
Council for the Environment, the themes of the Autun Agenda 21 adopted by majority vote were
presented to the inhabitants of the 19 towns concerned. Between the end of May and the end of June
2002, two two-hour meetings took place, enabling the inhabitants to voice their opinion on the themes
of the 5 Workshops 21
. Then, as of September, a quarterly meeting will be used to implement
actions decided on in previous meetings for the entire Local Agenda 21 period.
Since the creation of the Local Agenda 21, the citizens have started to display increased awareness. As
far as concrete actions linked to Agenda 21 are concerned, for the time being, only a system of car-
pooling has been put in place, on the initiative of the inhabitants, which enables access to the
Workshops, as has the publication of reports on recycled paper
II.2.2.3 1he perspectives
Feedback on the first concerting became available at the end of May 2002.
We can note that it is difficult to motivate people living in conditions of isolation or social or
economic exclusion to come to the Workshop; this is also true of people who are not used to speaking
and expressing themselves in public.
Ideas emerged at the first meeting whilst, at the second meeting, the subject seems to have “come full
circle”. It is apparent therefore that it is important to maintain momentum and not to come back to
ideas expressed during previous meetings. The working axes chosen by the participants are then

Nicolas Spinnler and Ina Ranson, 25 April 2001 - “The sustainable energy policy of Autun“ pp.31-33 from the
book Towns and Sustainable Development, experiments in change, third edition - M.A.T.E. (December 2001)
18 May 2002 - GThe to;n of Autun 1 Yive, Qeeting, Yocal Agenda $P_ - in Le Journal de Saône-et-Loire
Each Workshop 21 report is submitted by a rapporteur and the person in charge of the Local Agenda 21.
However, since its creation, the Community of Towns of the Autunois has been using recycled paper, carrying
out selective sorting, has organised a conference on the greenhouse effect in partnership with the Regional
Observatory for the Environment in Burgundy and an exhibition on sustainable development during the
“Printemps de l’Environnement”.
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adopted, or not, by the Follow-Up Committee. If these projects are adopted, they will be brought up
again in the Workshops 21 to be fulfilled in practice.
Indicators will be defined and measured by participants in the Workshops, in order to evaluate the
state of progress of actions. A reading grid should also be devised in order to define the Agenda 21
project for the Community of Towns (Communauté de Communes).

II.2.3 - The example of Aouguenais (Loire-Atlantique)
II.2.3.1 Description
Bouguenais possesses a rural patrimony and the municipality wants to protect its natural spaces. The
city promotes then for itself an image ‘green’ for its vegetation and ‘blue’ for its aquatic environment
and wants to maintain its quality of life.
It launched the Pollen programme to promote rural spaces. Despite this fact, agricultural decline has
remained threatening and dangerous for the growth of the urbanised zone. The programme implies the
participation of the inhabitants and has led to concrete realisations in reclaiming the valley and
wetlands in respect of agricultural activities. Several studies have been conducted in collaboration with
various actors : the Farmers’ Association, the Conservation Movement for the Banks of the Loire, the
Deposit and Consignment Fund, the C.A.U.E., the D.R.A.C., the District, the Agency for Urban
Studies, the State, Europe and the town. Most of these studies were planned under the ‘development
of rural and natural areas scheme’ (in February 1996). Their themes varied from clearing banks of
undergrowth to putting a pedagogic group to work in the interests of landscape. What is interesting in
this project is the mobilisation of thought on the various themes tackled, and the participation in
theme days turning thoughts into concrete action. This participation gave birth to several
associations, one of which works on the theme of agricultural decline and another on the theme of
aquatic leisure activities.
The ‘fertile cities’ Charter, signed with seven other cities, the Agency for Urban Studies and the
Chamber of Agriculture, demonstrates a will to maintain peri-urban agriculture. In 1971, the
participation of the inhabitants was greater and favoured innovation in terms of municipal
management because the working-class population was larger (at the time of writing, it has become
middle-class). In 1980, the Environmental Commission, made up of elected representatives,
inhabitants and technicians, was created. Inhabitants were canvassed to form thematic groups,
together with some elected representatives and technicians. More than 150 people (out of a total of
16,000 inhabitants) became involved in these groups. An administrative council is in charge of
following up the programme, and summarising and drafting proposals. This council is made up of
group representatives, elected representatives, and officials. The involvement of the inhabitants varies,
however, from one group to another. A maximum number of inhabitants is desirable in ensuring that
the meetings go well, in order to promote participative democracy. These meetings took place once or
twice a month between 1996 and 2001 for the thematic groups, three times a year for the Organising
Committee and once a week for the steering group.
The budget devoted to the Pollen Programme was around 4 million euros. This budget helped,
amongst other things, to create major facilities (leisure base, dairy farm, etc.).
The Agenda 21 launched in 2001 aims to continue the development of the Pollen strategy, focused on
regaining natural and het areas, emphasising rural heritage and character and maintaining
agricultural activities.



“Prospective analysis of Yocal Agendas $P in [rance and Europe_, pp.67-72 – Scientific and Technical
Centre for the Construction Industry, February 2001.
Françoise Verchère - G The sustainable development approach of the to;n of `ouguenais BYoire AtlantiqueEG,
4 and 5 March 1999 – Regional Meeting on Sustainable Development, pp.15-16

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II.2.3.2 1he perspectives
At the present time, the consultation phase of the Local Agenda 21 concentrates on municipal
services. The Local Agenda 21 is a continuation of the Pollen Programme, which is now operating
more in a management-oriented phase. Certain thematic groups will continue with the Local Agenda
21. The Local Agenda 21 takes account of all of the town’s components (contrary to the Pollen
Programme, which was oriented more towards the rural environment), and wishes to reach a greater
number of people by broadening the range of themes proposed.
An initial presentation of the policy of the Local Agenda 21 should be take place before the municipal
office in autumn 2002.

II.2.4 - The example of Romans-sur-Isere (Drome)
II.2.4.1 Description
The will of the deputy-mayor of Romans, Henri Bertholet, was to launch a Local Agenda 21. The
Municipal Council approved the undertaking of this approach in March 1998.
The defined objective was to draw up a Local Agenda 21 constituting a progressive decision-making
tool, as well as a collection of ideas and recommendations for the use of the town’s protagonists and
those of the territory. The proposed action should take in various levels of responsibility and scale, on
the global front as well as the local.
Several sources of external support were lobbied (Regional Council). The editing proper of the “action
index cards” for Agenda 21 was entrusted to Association for Nature and the Environment – CPIE
[Permanent Centres of Initiatives for the Environment] of Romans. At the present time, the transversal
mission to organise services around Agenda 21 corresponds to 60% of the full time equivalent, with its
own budget of 15 245 euros per annum, not to mention the collaboration of other services.
II.2.4.2 1he participation procedures
The initiative followed rested on a systematic, step-by-step, association of all the protagonists in
the community (from citizens to decision-makers, hithout hierarchy). All stages of the project (from
the organising principles and thematic meetings to final approval) involved members of the forum (Cf.
The three main axes of sustainable development were set out in the constitution of the Forum 21, a
participative body previously initiated on thematic work.
A questionnaire was distributed to the members of the Forum, and the Town’s elected representatives
and technicians. The themes arising there from gave rise to the formation of various thematic
Uorkshops (“Workshops 21”), which met for a period of 7 months, in the form of weekly meetings
lasting 2 hours. The number of participants varied between 13 and 30 people (around 100 people in
total) across 8 Workshops, made up of citizens (via a broad appeal to the public) and associative and
union protagonists, or economic volunteers interested in the theme under discussion. Elected
representatives were also invited, as were interveners, municipal technicians and external
participants, canvassed on a volunteer basis in order to complete the information, answer specific
questions and fuel the debate.
A first round table allowed everyone to express his/her expectations and preoccupations concerning
the theme discussed. The technicians and specialists present gave details and then added to the points
being discussed, namely on the basis of data distributed to all participants and presenting the actions
taken by the city.
To broaden consultation, a specific questionnaire was simultaneously distributed to the population
(2,500 replies from a mailing of 10,000 copies).
In response to citizens’ preoccupations and in respect of the various interventions, proposals were
finally elaborated.
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The work report produced in the Workshop was presented in a plenary session with a global,
transversal view of the theme discussed in order to define and set priorities. A summary document in
each workshop was then drafted in respect of a specific structure. It presents the global and local
context, the preoccupations expressed in the workshop, the objectives of sustainable development in
accordance with Rio, possible actions to be scheduled and action proposals.
Based on this summary, fifty “action index cards” (CfF Appendix 3) were written up, corrected, and
approved within Agenda 21. The Agenda 21 was presented to the Municipal Council and approved in
December 2000.
For the phase which began in 2001, concerning the practical implementation of the Agenda 21, it
was decided to select priorities from the fifty or so action proposals (protection of water resources,
implementation of an environmental facilities management plan, realisation of a scheme to direct
developments of cycling facilities, installation of the selective collection of waste, ecological
management of green spaces, etc.).
The political hill to involve the population in implementing the Agenda through Forum 21, a body
open to all citizens of Romans, was re-asserted. Since the elaboration of the Local Agenda 21, a
mobilisation on the part of associations and individuals already made aware of the themes tackled in
the meetings was noted. The number of participants varies according to the subject, and it is not
always the same people who are interested.
Two Forums have already taken place: the first, in December 2002, tackling the theme of the
protection of water resources (after three meetings) and the second, in March 2002, on the cycle track
development scheme. A third Forum is planned for October 2002 on the subject of organic canteens.
Thematic working groups have been formed in Forum 21 according to need.

II.2.5 - The example of Lille (Nord)
II.2.5.1 Description
In 1994, the municipality decided to launch a transversal reflection on the environment between the
municipality’s various services.
The Mayor of Lille signed the Aalborg Charter in 1995. Then, the Local Plan of Action for the
Environment and Sustainable Development was adopted in the Municipal Council on 8 March 1999
(with 59 action index cards for the years 1999 and 2000). Lillems Agenda 21 has signed on 30 June
2000 between the City and its partners.
In 2001/2002, within the framework of its Local Agenda 21, and in order to explain its approach
favouring sustainable development, the city of Lille initiated reflections on the theme of Water aiming
to interest and mobilise Lille’s inhabitants in the preservation of this resource.
(Show the example in
its heritage, conduct wide-ranging technical actions, and reinforce its partner relations around this
theme). Two other themes were discussed, concerning air and green areas.
The process of the Local Agenda 21 developed along 6 axes implies consultation and a strong
partnership at all stages of the project in its elaboration, framework and evaluation.
Among the structures consulted, we can mention 10 District Councils, the City Consultation Council,
the City Children’s Council, the Extra-Municipal Commission on the Environment (around 350
people), the Municipal Services (which are progressively changing their behaviour), the Association
for Nature and the Environment and five working groups of around 60 people.
The themes of the Local Agenda 21 were proposed by the city and approved by its associative,
institutional and private partners, these subjects concerning nature in the city, the fight against
pollution, development of space, everyday life, awareness raising, training and consultation.

Christelle DARRAS - TIMMERMAN – Lille City Hall, Environment and Green Spaces Division,
Environment Department - GCase studya elaboration and implementation of the Agenda $P in YilleG, 23 May
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Thematic proposals emerged in the working groups put together. These have taken on a triple
function: they foster interaction, information and debate, make proposals concerning the development
of concrete actions and participate in the identification of actions in partnership. These groups have
been meeting for 2 hours four times a year since 1994.
Consultation is a process, which should lead to concrete actions, but the difficulty is to maintain the
presence of associations and bring inhabitants together in the long-term, which makes the approval
process hard going.
The participation of associations is important, whilst inhabitants who do not come from the associative
fabric are few in number in taking their place in the processes involved in the Local Agenda 21. The
involvement of associations, committees, and committed people is important. the City would like to
get the population more deeply involved and is looking for ways to do this in order to encourage
inhabitants to participate in the Local Agenda.
The City Hall has the will to organise a Forum with the population each year to communicate and
bring the people of Lille together. A Forum on the environment was held on 25 September 1999, with
the participation of 250 people. On 7 September 2002, the Municipal Forum organised the second
Forum with the objective, amongst others, of assessing the Agenda 21.
In addition, the wish of the City is to associate municipal services in order to obtain a common culture.
II.2.5.2 1he perspectives
The City of Lille has commissioned a consultant to elaborate a critical and prospective assessment of
its approach, and propose follow-up and evaluation tools. The folloh-up of actions is planned for the
beginning of the year 2003. At the present time, no consideration is being given either to monitoring
indicators or evaluation.

Analvsis of programmes and participation procedures

Local development in France appeared in rural places, in the centre of Brittany as early as 1965.
At a city level, this introduction was accomplished later, with as principal origin the creation of a
inter-ministries group, Housing and Social Life (H.V.S.), which relies on a text hritten on the 3

March 1977. The H.V.S. operations, meant to rehabilitate the large groups, try to associate actions on
the already existing buildings and actions on the cityms life. It is then already spoken of “concerted
social animation”: in the H.V.S. pre-files, local actors must prove that the inhabitants intervene in the
procedure; but the procedure quickly gets to its limits, with namely populationsm social and
economical life being neglected nonetheless, administration being somehhat heavy and locally
elected people and inhabitants themselves being indifferent.
An evaluation of this politics then gives birth in 1981 to the Social Development of Districts’
procedure (D.S.Q.), in which the part on inhabitants’ participation to rehabilitation operations must be
crucial. New objectives are set: action on economical and social problems must accompany action on
structures, the population must participate to projects’ elaboration and locally elected people must
intervene. A National Commission for Social Development of Districts is created, as well as Regional
Commissions and Local Commissions, in the cities concerned by the programme. The Mayor must
designate a «D.S.Q. project leader» in the districts. This procedure is the ancestor of the “Politique de
la Ville” (social policy of the municipality with a support of the national government) and of the
“Contrat de Ville (one of elements of the Politique de la Ville).
The Citiesm Inter-ministries Committee, in charge of coordinating the actions of the State, is created
in June 1984. Arises the need of a policy of hider range of action than that led at the districts’ scale,
which alone is not sufficient: the solution to some of the problems of “dangerous” districts can
sometimes only be found at city level and in its global policy. The Urban Social Development is put
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in place in 1988; it is integrated in the previous policy and furthers it. This creation is accompanied by
the setting of new wheels and ministerial and inter-ministerial committees, and in 1991 by the
creation of a Ministry of the City. This policy articulates around local programmes together with
national programmes. It is meant to be global, coordinated and contractual.

II.3.1 – oContrat de Villep and oGrand Projet de Villep (Great City
Project, G.P.V.)
II.3.1.1 Contrat de Jille
City Policy in France has been built up gradually from a policy for sectors in difficulty set up at the
beginning of the 80s. The actual policy articulates around the concepts of solidarity, fight against
exclusion and urban integration.
The City Contract, bounding the State and local authorities, following the city-inhabitants convention
(1992-1993) and generalised from 1994, constitutes the frame-contract of social and urban
development in favour of the city. It presents the main development strategy axes and defines the
main lines of actions to be followed in order to improve every-day life and prevent risks of social and
urban exclusion. Sealed for five years (1994-1999 then 2000-2006), it is made of:
- Programmes of action at the scale of the inter-communal perimeter, of the municipality or of a
district on the theme of transports, housing, employment, culture, insertion, security,
education and prevention.
- Programmes of proximity action on the territories having priority to solve problems with the
inhabitants’ every-day life: integration of all population to the life of the city and participation
of the inhabitants to the elaboration and the setting of the projects that concern them.
The ground-line concept of City Contract is therefore the participation of the inhabitants. It is the
“elaborating principle” of the City Policies: the first objective of the City Contract is the reintegration
of the districtms inhabitants in the life of the city. It is also the aim of the City Policies: there is a
will not to erase differences, not to reproduce a city-centre in all districts, but to do give back a sense
of solidarity between the inhabitants of the whole city. It is finally a “instrument” of the City Policies:
the management of actions by the inhabitants themselves enables them to participate actively to
actions instead of adopting an attitude of passive expectation in front of difficulties.
At the end of 1999, 214 City Contracts had been signed between the State and cities, associating over
750 commons and covering 1,300 districts.
The new generation of City Contracts (from 2000 to 2006), as well as of Great City Projects,
constitutes a laboratory to renovate local democracy and to call the totality of public policies. And the
actors of the European project HQE
R, the researchers involved in the project would wish to
participate to this local effort multiplied thank to tools elaborated for the local authorities and their
II.3.1.2 Crand Projet de Jille, Creat Citv Project
It is a global project of Urban Social Development aiming to reinsert one or several sectors in the
development dynamic of their agglomeration. It enables the setting of ambitious operations of
urban renehal aiming to amplify and make last the social and economical project conducted within
the City Contract frame by treating the socio-economical causes of marginalisation of districts in
difficulty and, simultaneously, by transforming their image and their status within the agglomeration.
The G.P.V. is totally integrated to the oContrat de Villep and completes and reinforces it. A large
enough mass effect must be obtained to improve effectively the every-day life conditions of the
inhabitants and to deeply show, in a lasting manner, the transformation of the image and perception of
the sector. The G.P.V. requires a strong articulation betheen social projects and urban projects.
Within a comprehensive approach, the different interventions of City Policies in terms of education,
employment, security… must be set up giving the priority to actions that have the greatest effect on
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the re-qualification of the sector. The conception of G.P.V. must conciliate interventions having a
rapid impact on the inhabitants’ every-day life and long-lasting actions.
II.3.1.3 Examples: Saint-Pol-sur-Mer and Echirolles
SAINT-POL-SUR-MER (Nord) is the poorest of the municipalities of the agglomeration concerned
by the Dunkirk G.P.V., which will enable to realise great investments for the revitalisation of business,
the rehabilitation of housing and the revision of circulation plans.
In Saint-Pol, these improvements on the quality of life require the active and citizen participation of
inhabitants. A leading experience of Urban Uork Uorkshops (A.T.U.) has started as early as 1997
and continues within the structure of the G.P.V.. This A.T.U. enables to work together elected people,
technicians and public users in order to “co-produce public spaces hith respect to a greater
transparency” (Jean Ysebaert, urbanist-architect). During regular meetings with the inhabitants,
technicians propose solutions to the problems identified; they then leave with a project later debated
with and improved, whose realisation is finally decided, or not, by the elected person in the municipal
council. Reports are systematically addressed to all inhabitants concerned.

ECHIROLLES (Isère) is an ancient “outskirt city” existing from now on as a city and participating
actively to the rising of the multi-polar Grenoble agglomeration. Echirolles’ urbanisation took place
alongside the agglomeration’s development. Hence, this common does not constitute globally a
homogeneously urban entity but a disparate group of sectors, hhich suffers from a lack of urban
For many years the city of Echirolles has been leading an active urban policy; it has federated its
different actions and perspectives within a City Project. Nowadays, alongside the development of its
new city-centre and the continuing actions on some sectors, the City Project’s priority is to make off
an enclave and to re-qualify the hest sector of the city.

In the frame of this project and in order to direct the developments to be realised, the common put in
place in the west sectors concerting Uorkshops in the first instance, and then Urban and Social
Public Uorkshops (A.P.U.S.). These Workshops are organised from the more collective interest of
the centrality to the more particular interests of every sector. The A.P.U.S.’ debates are then structured
around four workshops treating transversally the themes discussed in the concerting Workshops by
following a spatial plot (east-west exchange axes, articulation and development points, urban renewal
and north-south development poles). The propositions of inhabitants of the sectors to re-develop are so
collected and considered. The inhabitants hill be able to debate hith the elects and the
professionals hithin the A.P.U.S. these propositions on development and on neh collective

II.3.2 - Projects for urban development
Nowadays, urban development is integrated in the global development strategies including the
social, economic and environmental chapters, which blurs the limits of development action, which
must from now on become interested in other areas than ground transformation, equipment and urban
forms’ production. Reciprocally, doers working in other sectors of activity enter the development
arena and participate also to formulating of problems and to seeking solutions. At the present time,
there exists however no meeting instance to facilitate collective intelligence. ‘It must be noted in
particular the important need revealed by attempts of open concerting and of participation in

Annick Loréal – Yes Zrands Pro-ets de ]ille, un formidable outil pour relancer lDaménagement urbain – in Le
Moniteur, 27 juillet 2001, pp.22-25.
Aésenclavement et requalification du "uartier Uuest Yuireb]iscose (Contrat de Ville d’Agglomération.
2000/2006) – Synthèse des orientations, Ville d’Echirolles, november 1999
Comptes1rendus des Ateliers de concertation du "uartier Uuest – Mission Politique de la Ville – Vie des
Quartiers, Ville d’Echirolles, January-February 2001.
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terms of implying the inhabitants, the public users and more generally the citizens in the process
of urban projects.’

We are moving towards a new type of functioning, in which development becomes very dependent on
the efficiency of relations betheen the multiple actors.
However, the citizenship participation modes are not at all defined at the present time and the
implication of inhabitants in urban projects depends strongly on political wills and on the operators
engaged in these projects. There exists no obligation to collect and take into account of the
populationms opinion on urban development.
Amongst the actors of development, tho types of logic appear. Some still refer to a centralised vieh
of conception and to a hierarchical organisation of development, aiming to guarantee a high control
level and to ensure conformity of results at the will of one political person in charge. Others refer
rather to logic of regulating and animating, more than of directing. The organisation is then more
interactive and capable of liberating the initiatives of the principal actors, including the population:
the piloting consists then of strong components such as impulse, animating, actors’ mobilising. This
organisation, more systematic, implies maintaining a political regulation at all levels, because there
is a reaction from the operational level on strategy and reciprocally.
Espace Environment, Belgium pluralist organism of public interest working in Walloon region and in
France in the sectors of environment, urbanism, territory development, patrimony and eco-
consumption, has for instance constituted a competency for council, concerting and aid to
development. This structure develops horking methods favouring association and active
participation of all actors of life environment and gives itself the mission to inform and provide
advice, to accompany and help decisions, to mediate and concert. It also speaks of “integrated
management”, which establish itself for but mainly hith the inhabitants, which provides ideal
grounding for any urban development project. Space Environment invites commons and projects’
authors to more greatly imply the population in development projects and offers to ensure the
“participation” chapter of projects considered. This accompanying can be made either before the
elaboration of the development project in order to consider the inhabitants’ opinions and propositions
as soon as the project is conceived, which will then better answer the inhabitants’ expectations, or on
the basis of a - for project, the consultative approach then enabling to collect the observations and the
expectations of the citizens who react actively and to modify if necessary le project expressed.

II.3.3 - Local participation charter
Recognising the place of inhabitants in the elaboration, the follohing up and the evaluation of
City Contracts and G.P.V. renews the process of public decision. Public decision must, with respect
to the skills and responsibilities of elected people and administrations, take into account the
contribution of field professionals, inhabitants and administrations’ intermediary core.
Whether it is City Contracts or G.P.V.s, their setting requires adapting to this new logic and then to
for-see up-stream the modalities of collaboration between the different actors, including the
inhabitants. The basic principle remains the recognition of the three actors: the authorities,
technicians/professionals and inhabitants to create a debate, generate solutions and projects. Hence,
it is spoken of co-producing the decision and, up-stream, co-producing the rules that will found it.
To guarantee a change in depth in the decision processes, to organise a long - lasting common labour
and to ensure confidence and transparency, the Cities’ National Council recommends the elaboration
of a local participation Charter.

Yves Janvier, ingénieur conseil « Développement et aménagement » – ^n Système de production en mutation
- Structures et acteurs de l’aménagement – in Fabriquer la ville. Outils et méthodes : les aménageurs proposent,
April 2001, pp.137-147 – Direction Générale de l’Urbanisme de l’Habitat et de la Construction, janvier-février
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This charter, co-produced hith the inhabitants, must be consubstantial of the City Contract or of
other conventions and impose itself to all signing parts. It means involvement of all including
Constituting a dynamic instrument, it can be in a constant evolution. In the first instance, it states the
general principles necessary to associating the different doers concerned. It indicates how informing
all the doers will be organised and gives then precisely the rules organising the cooperation, the role
and the prerogatives of each one. It is the occasion for the Mayor to precise what is negotiable and
what is not and organises namely transparency on the constraints, the status and the role of the
administrative and technical people in charge, on the possibilities of collaborating with other doers
intervening in the city.
It must be discussed with all the inhabitants in the form of an assembly, a forum or within the frame of
communal consultative councils and/or of the agglomeration and with the partners of the contract or
the project, particularly the local State, namely within the Development Councils.
The inhabitants not being allowed to sign local conventions, this charter will constitute for them a
formal proof of involvement of all the other doers on the principles of common labour. It will be the
object of deliberation in communal councils: publicity, the possibilities of resort and the follow up-
evaluating modalities will have to be mentioned in the charter.

II.3.4 - The districtms participative instances
Many local protagonists are now wondering about participation tools. At the present time, the
District’s Councils, Committees, and Commissions are stages, mediators between municipalities,
public services and inhabitants.
II.3.4.1 1he district committee
!" Since 1990, well before the law on the democracy of proximity, the town of AMIENS
41 & 42

(Somme) has been encouraging the creation of District Committees in order to develop the
participation of inhabitants in the life of their neighbourhood.
Thenty-six District Committees, organised into 1,901 law associations, intervene throughout the
territory of the town. They are autonomous - no elected representatives are active members of the
District Committees - and bring inhabitants, associations and social and economical protagonists
The goal of the District Committees is develop consultation and the exercise of local democracy.
They collect and pass on the remarks and suggestions of the town’s inhabitants. They are consulted, if
not informed, by the Town and give a prior opinion on all municipal projects concerning the
neighbourhood. Finally, they can submit any proposal designed to improve life in their
A Charter, signed in 1994 and updated in 1999, regulates relations between the District Committees,
the Town and the Union of District Committees. The Union of District Committees, an association
whose board of directors is made up of representatives of thenty-six District Committees, is a sort
of federation of District Committees whose goal is to assist the District Committees in their
logistics, promote exchange and consultation between the Committees themselves and between the
Committees and the Town.
The Town kindly provides the Committees with premises and, by means of a public service
delegation, allocates financial means to assist in the operation of local democracy.
A public meeting, in the presence of the mayor, elected representatives, and department heads, is
organised around once every tho years in each neighbourhood, based on an agenda drahn up by the

Participative neighbourhood bodies, cd to;ns commit themselves – in Territoires n
. 373, p.40, December
Brigitte Pierre, 6 June 2002 – in litteram – Amiens Town Hall.
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Committee. All the inhabitants are invited and may express themselves on whatever subject they
Finally, the division of the Town into six sectors (six district mayors and a decentralised municipal
administration) is a means of reacting more rapidly to neighbourhood problems.

(Côtes-d’Armor), the most recent districts of working-class housing were
the first to constitute themselves in committees (in 1901 law associations), then others have appeared
in the districts surrounding the centre and the “working-class” districts through operations of
rehabilitation, these creations being always made on the initiative of the inhabitants. As for the city-
centre and the middle-class residential districts, they have no Committee and have little associative
In 1996, in the ten district Committees, eight managed a district house each, one was attached to the
social centre and another inactive.
A convention defines the mission of general interest with which the city entrusts the Committee: ‘The
city recognises the association to have a mission of permanent education, cultural action and leisure
organisation.’ When the projects are ready to end, public meetings are organised together by the Town
hall and the district Committee.
The 1995 electoral campaign was marked by many promises of organisation of “a new proximity
democracy”: a “Hallo Mister Mayor” enables to dialogue personally with the latter, and a “Hallo City”
to contact technical services. A proximity bus has even been put in place for the de-concentration of
administrative procedures and for the information the inhabitants.
A communal Economical and Social Committee was created in 1997 around three colleges: socio-
economical, syndicates and associative life, and inhabitants.
Since 1996, the city voted a proximity work envelop of 91 500 Euros (45 750 in investment and 45
750 in functioning). An assistant in charge of local democracy and communication (former president
of the district Committee) attends to districts’ municipal politics. There is no elect for the district.

(Bas-Rhin), the integration of the public action in the territory and the
districts was retained as one of the priority axes of the 1995 mandate. Ten assistants, district and
thematic, were appointed by the Mayor: “The inhabitants carry the memory of the districts, the lived
citizenship, and immediate solidarities. The administration provides them with its competence,
technicality, control of material and administrative constraints. Policies bring a sense of municipal and
communal interest, the formulation of needs on the hierarchical system, and the organisation of
The participative bodies here are District Committees presided over by the Mayor’s assistant in the
district. Their members (municipal elected representatives, associative people in charge, qualified
people, agents) are appointed. These Committees first air their wishes. They can evoke all the
municipal policy files and form their opinion freely. The municipality wishes them to work on a truly
district-based project.
There also exist, at district level, meetings for the general public, chaired by the Mayor, and one-off
consultancy meetings. Moreover, in each district, a young people’s Council has been set up; all the
Councils meet periodically at the young people’s Committee and the City Council.
One of the difficulties is the involvement of the municipal administration, organised vertically, which
should lead to decentralisation and transversality; in order to do so, the Mayor has appointed a director
of territorial action who has three missions: to facilitate the resolution of day-to-day problems, to
administratively organise public consultation and to contribute to correctly taking the districts into
account in global policies. This control has been conceived as a structure of involvement and activity,

Instances participatives de quartier, cd villes sDengagent – in Territoires n° 373, December 1996, p.40.
Neighbourhood participative bodies, cd to;ns maWe a commitment – in Territoires no. 373, December 1996,
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more than a management process. Moreover, five district halls handle administrative de-centralisation
and the presence of public services throughout the city.
The generalisation programme of the District Committees is supervised by the Mayor’s assistant in
local democracy. The district assistant regularly presents the situation of the district he is responsible
for in the town hall. His role is to be both a facilitator of social dialogue, an intermediary between the
district and the community, and the coordinator of the actions of municipal group councillors.
The city has implemented a pluri-annual investment plan taking account of requests emanating from
District Committees. No specific budget has been allocated for the district assistants, but sector
budgets are adapted to carrying out territorialized actions.
The modernisation of the administration appears to be an essential preliminary to the setting up of
bodies for the inhabitants to express themselves.
Strasbourg’s municipality insists on the notion of urban equality. It is not only the regard for
improvement in district life, the main driving force of participative democracy, but also the will to
remedy the weaknesses of the representative system which required the creation of consultative
committees of inhabitants. In Strasbourg, Mr. Jean-Claude Richez, assistant-Mayor in charge of
working-class educational matters, emphasises that foreign adults without the right to vote represent
15% of the population, which was leading to ‘an major distortion of the political and demographic
realities of the city’. In 1993, even before the appearance of District Committees, the city set up a
young peoples’ council for 13-17 year olds, and a consultative council of foreign residents, which
proposed a foreign residents’ charter, followed up since that time by the municipality. It has also
established a municipal committee for elderly people.

II.3.4.2 1he district councils
(Rhône), on the request of the inhabitants and with regard to conformity
with its municipal programme, the city has decided to set up three District Councils, of which
councillors automatically become members and in which inhabitants volunteer to participate.
These Councils, which meet at least once per quarter, are briefed by Social Urban Development
Project managers, organisers (municipal councillors living in the district concerned) and the assistant
for local democracy, the last two drawing up the agenda proposed to the Mayor and the municipal
office. During the council meeting, a “local democracy writer” ensures the follow up of questions
raised by the inhabitants.
An inhabitantsm relay collective was created from each District Council: its mission is to bring
together the inhabitants to work in depth on questions raised in the Councils.
The Councils formulate desires on all themes, particularly in terms of urbanism and district facilities.
Municipal technicians may be called upon to explain certain files, particularly in terms of urbanism. A
multi-service point, with a Town-hall annexe, was set up in one district.
A financial envelope of about 46,000 Euros is included in the budget. As for communication, this is
achieved through mailings, the postal distribution of documentation, and displays on municipal notice
boards, in facilities and shops. Announcements are also made in the municipal newsletter and the local
press. Each participant in the Councils is provided with the Councils’ reports, as well as various
technical documents.
In reality, this provision is no longer news: in effect, District Councils and inhabitants’ collectives
were suspended by the municipal team for the period 1996-2001, and during the pre-election period
2000-2001, in order to prevent the danger of the cancellation of the elections, it would seem. The new
municipal team, in place since March 2001, did not at the time wish to revive the operation of this
provision. Instead, it meets with inhabitants or groups of inhabitants according to requests or during

Olga Victor – The Neighbourhood to `e Reconstructed f Initial victories for participative democracy – in Le
Monde Diplomatique, March 2001, pp.22-23.
Participative Neighbourhood `odies, cd to;ns maWe a commitment – in Territoires no. 373, December 1996,
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surgeries in the town hall and at the Clochettes Multi-Service Point. However, within the framework
of the Contract, there subsist specific consultations during the fulfilment of urban projects, as well as
the Committee for Local Inhabitants’ Initiatives (C.I.L.H.), which corresponds to a Local Initiatives
Fund (F.I.L.) to support inhabitants’ micro-projects of local interest. Therefore, no organised and
systematic provisions exist for the participation of inhabitants in Saint-Fons.

48 & 49
(Rhône) has a Charter of District Councils, whose acceptance was
the first task of the municipality; these Councils rely on an awareness that it is in everyone’s interest
that democracy is strengthened, on the possibility of collectively recognising public interest in the
district and in the city, on elaborating the corresponding projects, and on the necessity of an
egalitarian debate between all Council participants. In this way, the District Councils become true
consultative instruments, taking collective decisions.
There are normally twenty to thirty people in the Councils: there is one elected representative, an
assistant or councillor, who presides over the Council, people representing the institutions and
associations acting in the district, volunteer inhabitants (about half of the Council) and professionals.
All the inhabitants are resource people. The councillors are chosen by drawing lots amongst all the
volunteers, this drawing of lots being “stratified” into sub-districts. The mandate is for two years, not
immediately renewable. Inhabitants who are neither councillors nor substitutes can become Council
correspondents and act as relay people between the Council and the inhabitants. A network of
around 1,000 citizens of Villeurbanne (in 2002) has been set up. Each district councillor can propose
items for the agenda. The Council organises district municipal life: public meetings, general district
assembly, the work of specialised commissions, apartment meetings, proximity meetings with the
population, and Saturday surgeries.
The District Councils can elaborate projects, at the request of inhabitants or the municipality, and
pursue their project, develop or set up social centres in the district, develop partnerships hith
institutional representatives, call upon elected representatives or the municipal administration.
They complement district meetings, Saturday surgeries, young citizens’ forums, youth consultative
committees, local committees of inhabitants’ initiatives, etc… The preferred themes of Villeurbanne’s
inhabitants are security, traffic and parking, the environment and urbanism, and education.
The Democracy Uorkshops are a horizontal structure, hhich offers members of the Councils both
places of inter-neighbourhood debate (examples: “Eastern line” Workshops, “Bike Scheme”,
“Consultation on the Place Lazare Goujon”, “Communication”, “Gateways to Villeurbanne”, etc.),
training courses (examples: initiation to urbanism by the C.E.R.T.U., history of Villeurbanne by the
urbanism agency, etc.) and annual assessment meetings.
A local democracy cell consists of the Councils’ presidents, the Mayor’s assistant in charge of local
democracy, the assistant general secretary, a member of the Mayor’s office and the local resource
The Council has at his disposal a secretariat, provided by the city, and permanent office space. For
1997, the global budget of the Councils came to around 10,500 Euros on small investments and
around 30,500 Euros on communication; the object being to give each Council an annual budget of
76,000 Euros. Despite this ambitious intention, the annual budget of each Council at the present time
is around 6,400 € on operations and 4,100 € on investment. The service has more than 66,800 € on
operations for training members of the Councils, Democracy Workshops, Communication… and
20,000 € on investment.
Amongst the projects initiated by the district Councils, for instance, we can note the participation in
the opening of a small supermarket in an outlying district, the greening of district schools, street
marking in a clean-up campaign, the creation of neighbourhood sports fields for youngsters, the
renovation of a square (Place d’Espagne) and the creation of an urban tourist trail…

François-Régis Valatx, 26 June 2002 – in litteram –Saint-Fons Town Hall.
Participative neighbourhood bodies, cd to;ns maWe a commitment – in Territoires no. 373, December 1996,
Isabelle Valance-Bousquet, 7 June 2002 – in litteram – Villeurbanne Town Hall.
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The system is relatively recent but seems very much appreciated. An evaluation was made in 1997; a
university-based folloh-up (laboratory of the National Centre for Scientific Research – C.N.R.S.- at
I.N.S.A.) is currently under discussion regarding the Consultation Uorkshop on the Development
of the Place Lazare Goujon.

!" SUIMPER (Finistère) has also adopted a Charter of District Councils in application of its
1995 electoral programme, this charter creating four councils corresponding with the territories of
former towns. Here there are two scales of intervention according to the protagonist with whom the
work is carried out: on the one hand, there are the District Councils with the neighbourhood as their
territorial scale and the associations as their preferred contact person and, on the other hand, the
sector as territorial scale, which is smaller than the neighbourhood, with the inhabitants as the
preferred contact. The setting up of Councils corresponds to a political hill to formalise relations with
territorialized associations, while the setting up sector meetings follows the determination to get
directly in contact with inhabitants “without the filter that associative life often represents”. The
Councils have a president (the Mayor or his/her representative), a citizenship assistant, and a
representative of each inhabitants’ association. To a certain extent, they are associative collectives.
They may be open, in the second instance, to inhabitants.
The Councils’ plenary assembly meets at least once a year. The sectors, as opposed to the districts, do
not have any institutions: they constitute only a territorial framehork in which the city gathers
opinions and complaints from the inhabitants. Rather informal idea-meetings are organised in the
sectors in September each year to allow people freedom of expression. They are used to gather the
requests of the inhabitants and precede the vote on the budget. In the following years, sector
meetings are held under the presidency of the Mayor’s district assistants to allow the choices made in
the budget to be explained. This schedule takes place each year.
In the 1989-1995 mandate, de-centralised technical divisions were created at Town hall annex level:
they provide rapid answers to minor proximity problems. They correspond with the necessity of
bringing transversalities into play.
From 1995 to 2001, a citizenship assistant was in charge of setting up the new tools. There are also
three assistants for the outlying districts, but not for the city-centre. This “recent” system sees itself as
pragmatic and progressive; its originality lies in the superposition of tho systems; at district level,
democracy is implemented by associative life but at sector level, there is a direct democracy policy.
Since the municipal elections of 2001, the District Councils have been suspended, the new council
having to decide on the pursuit or not of the participative programme. Independently from this, it is
interesting to note that, since their implementation, the District Councils have regressed from a
frequentation of 900 people to a frequentation of 450 people just before the elections. On the face of it,
this has not been explained by any specific event.
II.3.4.3 1he urbanism working-class workshops (A.P.U.)
The A.P.U. is a collective initiative seeking to respond in an appropriate way to the needs of the local
population and to guarantee an appropriation of the future developments and equipments by the
inhabitants. The A.P.U. are in general destined to all the inhabitants, public users, adults, young
people, even children.
The first A.P.U. was created in the ROUBAIX district of Alma-Gare in 1974: a sort of concession by
the municipality, which then faced a protestation movement of inhabitants against the demolition of
their houses and the “hen-coop” architecture. The municipality sent in A.P.U. a team of town planners,
architects and sociologists; this workshop aimed to allow a dialogue and a participation of the people
concerned to the elaboration of a new district. The different parties agreed in October 1977 around a
S.D.A.U. that covered the major part of the inhabitants’ claims.
In MEbLAN, the A.P.U. was created in 1979 to ‘define, from the municipal councilms objectives
and taking into account certain technical and financial constraints, hhat hill be tomorrohms
common.’ ‘The A.P.U. will be a place of exchange of propositions which will enable us all to make
our city.’ The A.P.U. then becomes the linking structure betheen elects, technicians and
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inhabitants. The associations are in the first instance invited to elaborate a project. The inhabitants,
grouped in Commissions, elaborate a plan. The A.P.U does the synthesis of this work, organises an
exhibition of all the work done, and distributes a brochure containing these projects and make
propositions to the elects and the technicians. The A.P.U. later becomes a permanent structure, really
created in a flexible juridical form: the 1901 law association. Its role is first of all to make information
circulate, to organise meetings in order to do so, to reflect on the organisation in details of the district
to be.
The A.P.U. is then an instrument that, if it benefits from sufficient care from the common, can really
enable the inhabitants to participate at a large scale to their district’s urban development. Indeed,
these workshops often benefit from the support of a competent team in urbanism and architecture,
unlike the instances such as district councils or committees.
There sometimes are organisations similar to the A.P.U. but called differently, such as the A.T.U.
(Urban Uork Uorkshop) or the A.P.U.S. (Urban and Social Public Uorkshop), all these
workshops being concerting structures. In ECHIROLLES (Isère), within the frame of urban re-
developments, the A.P.U.S. worked on different development scripts extracted from the questioning
led with the inhabitants and the technicians during the West District’s concerting Uorkshops. Hence,
the A.P.U.S. debates were structured around four workshops which treated transversally the themes
raised during the concerting Workshops, guided by a spatial plot: the East/West exchange axes, the
connection and development poles, urban renewal and the North/South development poles. These four
Workshops have all permitted to draw the essential stakes for the district and from these stakes have
risen concrete development propositions.

II.3.4.4 1he generative and participative programming (P.C.P.)
The E.P.P.P.UR. (Evolution, Projects, Practice, Urban Projects) constituted in law 1901 associations
constitutes a research axis for the laboratory C.R.E.T.E.I.L. (University Paris XII) and has for object,
amongst other things, the development and the diffusion of the Generative and Participative Planning
(P.G.P.). The E.P.P.P.UR. was created to answer the necessity to institute the conditions of a meeting
and a confrontation between the doing of the architects, town planners, landscape-painter and
specialists in social sciences, who until now have built up scientific approaches which sometimes
appear little permeable between themselves.
The Paris Urbanism Institute wishing, within its policy of development of doctoral studies, to increase
the exchanges between university students and the multiple development professions thank to the rise
of professional paths and careers bringing together and switching between training/research and
practices of urbanism, the E.P.P.P.UR. needs to release and support research questioning the notions
of projects and of urban landscapes, the modes of production and space planning in general as well as
the practices and operational procedures.
Researchers of the Institute have in the last few years initiated works in this direction and plan to
pursue them particularly in the following areas:
- Conception, realisation and evaluation of urban projects,
- Representation, history, conception and practices of urban landscapes,
- Generative and Participative methods of planning (P.G.P.) in urbanism and architecture:
principles, application modalities, stakes and resistances (limits of the forms of planning and
of usual conception in urbanism and architecture, setting of new operational approaches based
on participation, organisation of an iterative approach between work management, on-use
management and assistants to work managements and constructive evaluation).
- Research methods and enquiry techniques in urban studies (transversal thematic to the three
previous ones).
The P.G.P. methods come from the fact that decisions in urbanism are traditionally presented as rising
from negotiation processes between central administration, local political power, technicians and civil

– Comptes1rendus des Ateliers de concertation du "uartier Uuest – Mission Politique de la Ville – Vie des
quartiers, Ville d’Echirolles, January - February 2001
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society. In the recent representations and analyses of the processes designated under the generic notion
of ‘governance’, the place the inhabitants have to take and the role they have to play are nowadays the
object of questions and recommendations from the legislators, the central and local technical
administrations, without however the setting modalities of this involvement being always totally
explicit, namely within urban projects. Diverse works are then initiated concerning the P.G.P.:
- A research at the request of the Inter-ministries Delegation in the City aiming to take bearings
on the methods of P.G.P. in practice nowadays in France and in the Anglo-Saxon countries.
- A study for the elaboration of the urban project of ILE-SAINT-DENIS (Seine-Saint-Denis)
from a P.G.P. method adapted by researchers associated to the E.P.P.P.UR.: on the 15
o f
October 2001, the Ile-Saint-Denis municipality office agreed unanimously by the seventeen
people present on the participative planning approach applied to the Project of Development
and Sustainable Development (P.A.D.D.) of the Local Urbanism Plan (P.L.U.) of the island.

- Works trying to take bearings on the state of the relations between authorities, technicians and
civil society within the realisation of urban operations, amongst which a study at the request of
the Planning Institute in Architecture and Developments and of the Inter-ministries Mission
for the Quality of Public Constructions.

According to Pierre Dimeglio (socio-economist, urbanism expert, lecturer at the Paris Institute of
Urbanism), the approach of P.G.P. is conducted in three groups: the politicians, meeting within the
group of control of collective work (or piloting group), the inhabitants in the control of uses (or
transaction group) and the programming team (architects, sociologists, managers, economists… within
an operational group), who elaborate the project. It is then neither a co-production where the
inhabitants would share the responsibilities with the politic powers nor a direct democracy but it is not
either a consultation or a formal way of concerting where nothing guarantees that their opinions,
intentions or requests will be taken into account. The P.G.P. breaks up with the traditional
development linear process: it entrusts an operational group made of a project leader and an architect-
sociologist working pair with a role of exploration of relations between the problems to be solved, the
resulting spatial or technical intentions and the possibilities of development or of architectural answers
which could be associated.
The piloting group has three main missions: to debate hith the general intentions it carries in order
to co-ordinate convergences to get to a common project and to debate with the orientations according
to the propositions of the control of uses’ groups; to modify the project according to local demand;
to analyse with the operational group how the life project is compatible hith the ordinary and
complementary financial resources.
The operational group unites around the foreman the programming team. Its mission is the
elaboration of the functioning project and the question of usesm problems associated to
architectural propositions. These two projects are built in constant referring to the life project and in
regular interactions with the two other groups, whose operational group prepares the work. The latter
also ensures communication and connection between these two instances.
The transaction groups, the usesm control are consultation groups permitting to associate multiple
users (inhabitants, visitors, services’ basis agents, maintenance personnel, people responsible of other
district equipments…). The mission of these groups is to give a concrete content to life projects in
the different specialised places where they can be consulted. The foreman has a general role of co-
ordination within the piloting and operational groups and between the two. He/she has at least three
functions: to share usesm control amongst the piloting groupms partners, to contribute as the
foreman to the operational group and to enlarge the setting in relation of the project hith its

YDElaboration du pro-et urbain et la démocratie participative a le cas de lDIle1Saint1Aenis BPghh1$iiPE,
Candidature aux Trophées de la démocratie participative – E.P.P.P.UR., Ecole d’Architecture Paris Malaquais,
Université Paris XII Val de Marne, 26 October 2001.
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urban environment. At the end of the programming period, the foreman presents the contents of the
project to the population and to the council for deliberation and approval.

Other teams of sociologists or psychologists, like one of the team of the Economics and Social
Sciences Department of the C.S.T.B., also put in place the P.G.P…

II.3.5 - The participative budgets
II.3.5.1 1he district envelop
The participative instances put in place in some commons are generally entrusted with a district
envelop. Hence, amongst the more recent examples, the district Unions in Amiens benefit from an
annual subvention of 50 000 Euros, the district Committees in Saint-Arieuc of a proximity work
envelop of 91 500 Euros, the district Councils of Saint-Fons a global financial envelop of 46 000
Euros and the district Councils of Villeurbanne of a budget of 46 000 Euros as well; these sums of
money being disposed of by Council, Committee or Union.

The example of MORSANG-SUR-ORGE (Essonne) can be particularly noted, where the inhabitants
manage a part of the investment budget of the city. ‘The budget is considered to be a crystallization
place which enables (people) to take interest in the life of the city from the smallest common
denominator (the “pavement”)’. Since 1998, this common of 20 000 inhabitants propose to its
inhabitants to dispose as they wish of an envelop of nearly 500 000 Euros, distributed amongst eight
districts, cut around scholar groups, which then each compose with about 62 000 Euros per annum.
Priority was given to listening to the population and this is shown very concretely by the setting of
these “district budgets”, which represent 20s of the budget at the cityms disposal.
The case of
this municipality is particularly singular in the sense that the assistant-prefect was opposed to the
interior rules of the common, reminding the Major that it could not abandon its “appreciation power”
to the inhabitants and that, for the sake of participative democracy, it should not be submitted ‘to the
obligation that law has not foreseen’. Clearly, the Mayor cannot give to much power to the inhabitants
at his/her own expenses… The municipal council estimating that the withdrawal of these measures
would break ‘a dynamics of citizenship in local life’ refused to agree with the prefect’s injunctions.

II.3.5.2 1he participation funds of the inhabitants (F.P.H.)
The Participation Funds of the Inhabitants exist in many cities and are slowly changing from a
punctual experiment status to a “model” which can be applied generally with, as principal potentiality,
the revivification of active, individual and collective citizenship.
The government requires municipalities, namely these whose territory is covered by the City policies,
to put in place a concrete device. This fund aims to support financially the inhabitantsm initiatives,
responding to their needs with more flexibility and speed than allow the typical subvention
procedures. The inhabitants decide themselves to attribute or not an aid to such and such project
presented to them. The projects carried must aim to consolidate social bonds and improve local
Local municipalities are often the origin of these funds.

In ROUAAIW (Nord), the attribution of certain F.P.H.s is made by district Committees of inhabitants.
Accompanied, the inhabitants learn how to examine files and requests and most of all to think beyond
their own interests. Hence, in the Three Bridges District, three youngsters were able to create the
musical support of nine of their songs, to record them and later animate district’s parties, the “little by

Yes méthodes de Programmations Zénératives et Participatives en architecture et en urbanisme –
E.P.P.P.UR., Ecole d’Architecture Paris Malaquais, Université Paris XII Val de Marne, September 2001
Instances participatives de quartier, cd villes sDengagent – in Territoires n° 373, December 1996.
j,$ millions sur la table – in Territoires n° 416, pp.37-39, March 2001
La Lettre du cadre territorial n°228, 1st March 2002.
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little” workshop was able to put in place creative activities and to further develop bonds in the
district… A single structure, the Association for the development of Roubaix’s districts, administers
the F.P.H. envelop which is managed by four attribution Committees in four sectors of the city. The
project carriers are directly funded. “The inhabitants take their responsibilities and take them well. It is
so important for them to be deciding rather than assisted!” (Joël Cléry)

The F.P.H.s can also take the form of Support Funds for Local Initiatives (F.S.L.I., following the
impulse of the region’s prefecture and in partnership with the Social Action Fund (F.A.S.) in the
Rhone-Alps region), of Assistance Funds to inhabitants’ initiatives (F.C.I.H.), launched by the France
Foundation, the Coffers of deposits and the F.A.S. in the Ile de France, in the North and in the Rhone

II.3.6 - The principal obstacles encountered
The setting of district participative instances is rarely accomplished smoothly and difficulties often
slow down the setting or the functioning of these structures.

The major problem mentioned is the lack of representativity of the population present in the district
Committees or Councils. In MORSANG, the proportionally high representativity of middle-class
people in the meetings raises a problem; it is the population who proportionally to its revenue pays the
most taxes and who seems by this fact to be more concerned by the management of public
expenditures; it has therefore a tendency to monopolise both the talking and the device. In AELFORT
(Belfort territory), the under-representation in councils of youngsters and of population having
immigrated is worrying; it is not really clear how to act in order to increase their involvement in the
actions and/or in the participative structures. Similarly, in CREIL (Oise), youngsters are almost totally
absent from councils; it is then planed to try to ensure their participation, but also to integrate other
organisations to the system of districts (urbanism agency for instance). In MOISSb-CRAMAbEL
(Seine-et-Marne), a difficulty is felt as to the enlarging and composition of the group: few youngsters
and few people of foreign origins participate and elects and technicians get involved very unequally.
It can be noted in the lack of democratic traditions, like in CENON (Gironde), or the fact that
inhabitants are refractory to the notion of politics… that the participation of the inhabitants often sets
itself laboriously.
The participation of inhabitants is then more or less important depending on districts and it is
sometimes difficult, like ascertained in SAINT-FONS, to create a stable core of inhabitants, since
new inhabitants come in at each Council and others do not come back.
Moreover, other problems come from the fragmenting in sectors. In CENON, the geographical
sharing of the city in three sectors requires to hold district Councils based on wide spaces, which
group several districts of different realities and practices. In some cases, like in GRENOALE
(Isère), despite the efforts made to make the perimeters of action match, several districts still belong to
more than one sector. In CERGb (Val d’Oise), appears the danger of fragmenting in under-projects,
depending on the twenty islands created, without coherence with one another. Hence, a lack of co-
ordination can sometimes be noted: in SAINT-MALO (Ille-et-Vilaine), no inter-district instance
exists for the Committees to confront their points of view and to relate them to one another. It is often
arduous to territorialize the services of the city; on the other hand, the meeting point betheen
sector responsibilities and territorial responsibilities is not obvious.
The financial means allocated to participative instances are not alhays sufficient hhich
diminishes therefore their possible range of action. The latter is also often diminished in purpose by
municipalities. The inhabitants can then only imply themselves to the elaboration of projects of “little
fullness”. In AELFORT, one of the difficulties encountered is to apprehend questions in a global way:
it was seen to moved from pavement repairs to circulation plans, but not yet to urbanism plans… The

Aes Aécideurs, pas des assistés k – in Territoires n° 416, pp.32-33, March 2001.
Instances participatives de quartier, cd villes sDengagent – in Territoires n° 373, December 1996
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inhabitants, within the district Councils or Committees, are only very rarely solicited as to projects
of ogreat fullnessp. On the other hand, it appears that even “the inhabitants react more easily on
proximity urban management, such as housing maintenance, than on the great orientations to lead; the
concrete and the short term win over the abstract and the long term”. (The Books of Clubs, 3
of seminars, October 2000-April 2001).

In CENON, it is thought that the major obstacle to the setting of district councils is often the mentality
of the elects. The inhabitants’ speech is at first nearly perceived as disturbing: “the setting of a very
democratic system can cost a lot in an electoral way.” The first job must be to defeat this clamping by
making the elects sensitive. The city refuses to open the Councils to all on the basis of volunteering,
because “such councils are not necessarily democratic. The rather destructive “big mouths” may
speak, those who know how to impose themselves, and discrete people, who in comparison have a lot
to contribute, are forgotten.” In SAINT-MALO, the municipality does not systematically allocate a
consultative function to district Committees. It does not want to formalise concerting and proceeds
case by case. The principal function of Committees is fun and festive, it concerns also the animation
and accompanying of elderly people’ leisure. The requests apply once more to the “small” files rather
than the “great” ones.

In EPINAL (Vienne), the difficulty lies in the follow up of the realisations on the field, which the
inhabitants judge tardily. The small interventions of every day life suffer from the administrative loh
pace. The person in charge of participation considers, to improve and accelerate the system, creating a
specialised technical team, in charge of the follow up on the field and of the organisation of a
systematic re-launch of realisations decided and not accomplished. The weakness of descending
information, from the municipality to the districts, seems to have been corrected by the nomination of
an assistant to the Mayor in permanent relation with the districts.
These last aspects add to the lack of influence and poher sometimes observed at the district
instances’ level.

In France, there are several lahs that encourage the participation of inhabitants in the
development of local council projects. In addition, all the examples presented in this chapter clearly
show the diversity the participating democracy may cover. Behind the diversity of initiatives, the
aim remains the same: promoting the participation of inhabitants, in order to integrate them into town
and district life.

Reminder of laws from 1983 to 1999
Since the Bouchardeau law in 1983 until the Chevènement law in July 1999, each law established
various participation principles so as to reinforce local democracy. However, all of them had very
limited effects. The techniques of participation proved to be incomplete either by neglecting
communication and information means, or by not considering the inhabitants’ demands and
expectations. Local democracy is very complex to implement and no stage shall be neglected.
1he SRU law
The real political awareness of the necessity of developing participation appeared in December 2000
with the introduction of SRU lah. Indeed, after the emergence of the “Land Planning and Sustainable
Development Project (known as PADD in French), the main change brought by this law was the

Octobre 2000-avril 2001- Avec le Conseil de Aéveloppement, le pays a son espace de démocratie participative
- Troisième cycle de séminaires – in Les Cahiers des Clubs, pp. V-VI.
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public participation upstream of the projects; a think-tank allowing the inhabitants to join in the
development of Local Urban Planning and Territorial Coherence Schemes, well before the stage of
public inquiry, to which both urban planning tools are submitted. The citizens’ participation is then
reinforced and the number of people involved in the drafting of urban planning documents is
being increased accordingly.
However, the rather new participation methods are to be invented to a large extent, especially as the
lah does not specify them at all, the main cause of this lack being that the participation must be
adapted to the project (the term of empowerment - “concertation” in French - is used in the Law but
the sense of this word is clear nor for the elected people neither for the population). In addition, this
"new" procedure still remains at an early stage and shaky; it is now a question of waiting a little bit
before being able to make critical judgments on the participation practice in the S.R.U law context.

1he Jaillant law
In France, the political notion of opublic debatep is a neh idea. It is reinforced by the lah of
February 27, 2002 related to nearby democracy which examines the notion of public debate from
different angles, within districts, and more particularly within towns; with the obligation to create
district councils in towns with a number of inhabitants higher than 80,000.
These ones must consult the inhabitants on the decisions that concern them. The Law does not ratify
something gained; it only legalizes a situation that already existed in certain towns, but rather
translates a new sharing out of the town council and district roles; many representatives think that its
application will not bring fundamental changes, and that the structures will just have to evolve.
Furthermore, this Law also tends to somewhat increase this tendency because numerous local
authorities are still undecided whether to get involved in this long and complex approach to
participating democracy.

1he public debate
A project developed by experts gives rise to many social expectations are to be taken into account.
Moreover, this is exactly the aim of the public inquiries (“enquête d’utilité publique”) everyone can
consult but that are more often ignored. The debate is an opportunity to raise the questions asked as
regards a project, which allows then not to let significant problems slip through. Nohadays the
general interest is becoming plural.
If the institution of a public debate partly impedes the protestation risk, it does not necessarily cancel it
out. The reason is that consensus does not necessarily emerge from the discussion about a common
issue. Hence the apparent paradox between the increase in the number of participation structures over
the past years (district council, citizen forum, nearby urban workshops, councils of non-district
residents, etc.) and the persistence of a more and more scathing protest.
In France, the management projects as hell as the urban planning projects are submitted to a
public debate obligation. The procedures for public inquiry and environmental impact assessment
allow to inform the citizens and to collect their opinion on the projects which concern their living
space. But this formal system, which is ruled by law, is not always sufficient to establish the dialogue
between the public authorities and the population. Even if it promotes the information of inhabitants, it
rarely opens the way to a real participation in the projects development. In addition, some experiments
prove that middle and upper classes use these tools to give their point of view: the poorest inhabitants
do not generally join in these procedures and hence feel more excluded.
Despite all the knowledge we have nowadays on the conditions of a real citizen/decision-maker
democratic dialogue, despite goodwill speeches made systematically by the public authorities during
the action setting-up, the participation of inhabitants alhays represents a real problem.
France has a rich and complex legislation which allows meeting the constituents’ expectations, to
guarantee their rights and to protect their point of view. It is also because the public authorities did not
know how to create efficient communication means that the population does not know it. Classical
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techniques such as billsticking or the press are insufficient. The Internet offers interesting perspectives
but the people less informed are also the ones who do not have access to new technologies.

A dialogue with the population is necessary to intervene in existent districts. The absence of
participation before and after the works may indeed cause considerable difficulties, which will be very
costly for the local authority in the long term.
To make users, inhabitants, citizens, whoever they are, participate usefully and honestly, they have to
be consulted and informed. Then, it is the duty of project managers to make sure that the inhabitants’
participation stages are correctly taken into account and applied. Indeed, in order for the discussion to
be conducted properly, the project manager, whose initial attitude is decisive, shall show at a very
early stage his willingness to negotiate with the population. Mutual confidence remains a prerequisite
for discussions. Thus, participation becomes a promotional object of the district.
The easiest way to allow inhabitants to take part in local life is, first of all, to inform them about the
purpose. That is the reason why for each decision, each action, each building site, the Mayor shall
systematically send information to all the population. Information also implies billsticking and local
report in which communication is the first priority, including a monthly detailed review of district
life, as well as cultural, association and sports life.
Uith the purpose of informing the population, we also have to set up meetings, so as to explain for
instance to residents the reason, the nature and the duration of the works which are taking place in
their district or town. As informing also implies going towards people, town council could also set up
an administrative permanently manned office, a kind of town hall annex.

1he main malfunctioning of participating structures
The existing participating authorities betray several problems:
First of all, let’s mention the lack of population representativity (in France, the participating systems
generally attract less than 1% of the social system; 2 to 3 % in the most favourable cases)
and the
lack of participative tradition. In addition, some problems are the result of the division into sectors
(a geographical division of the town that requires the holding of several district councils based on wide
spaces, which group several districts of different realities and practices). We also notice that the
financial means granted to participating authorities are often insufficient and then reduce the
possible room for manoeuvre. Finally, the major obstacle encountered is the mentality of elected
representatives on the one hand and of the population on the other hand.

In a technological more and more complex society where the decision centres tend to move away
(Europe) or to become less perceptible (between local councils), the institution of real debates appears
to be the prerequisite for the oliving togetherp notion. Participation is one of the answers to the
elective democracy crisis
However, we are at the beginning of a new cycle; we may wait 10 to 15 years until the public debate
and participation become part of everyday life, so that people may get used to this new functioning
and decision-makers (town elected representatives and services) may accept to bring a part of their
power into question ….

Territoires n°416, Pour une démocratie sonnante et trébuchante.
Maires de France, Aébat public – July/August 2002.
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The follo;ing text is meant to give a revie; on the discussion of the significance of citilen
participation in spatial planning processes in ZermanyF Therefore it is based on the statements and
texts of different authors, listed at the end of this overvie;, by collecting and summariling their
opinions and putting them into a general contextF

Nowadays citizen participation is widely discussed within the scientific community. It is seen as a
very important part of democracy, helping to build up a better living space for the citizens. The
following basic demands on participation can be found: The interests of the citizens have to be
evoked; information has to be accessible to all the citizens, real taking part of the citizens has to be
possible and the results have to be considered in the planning process by the authorities.
At the same time the methods of participation applied do not always fulfil these demands because
there still is the prejudice in the administration that giving people room of participation is to expensive
especially regarding the “unusable” results. In some cases administration is not willing to share a piece
of their power. Applying participation tends more to the formal methods, anchored in the planning
regulations that allow not real involvement but the opportunity to verbalise opinions and to agree or
disagree with earlier decisions of planning made by administration. This of course implies that the
citizens are disadvantaged. According to this scientific discussion tends to evaluate the possibilities of
participation for the citizens as insufficient and disappointing.
But it is to take into consideration that the development of citizen participation can be regarded as a
progress – from only formal methods of providing information to advanced participation that at
present exists only as informal and voluntary approaches.
The beginning of participation of the public in procedures of spatial planning can be fixed at about
forty years ago, when in 1960 the Federal Building Code (Bundesbaugesetz) was passed. Additionally
in 1971 the Town Planning Subsidy Law (Staedtebaufoerderungsgesetz) was passed. These laws
included the right to participation. In 1986 these laws were replaced by the Building Code (BauGB).
The following section 2 presents and discusses participation as fixed in legal regulations. Section 3
presents further reaching but informal and voluntary approaches discussed and/or applied in Germany.

III.2.1 - Legal regulations for participation
Collecting comments
The legal regulations for spatial planning in Germany according to the Building Code (BauGB)
provide for public participation at two phases of the planning process. The first step should be
executed before the planning is consolidated in a way that further chances are widely excluded. It is
defined that the public is to be informed „at the earliest possible stage“ (Section 3 (1) BauGB) about
the general aims and purposes of planning. Significantly different solutions which have been
considered for the redesign or development of an area also have to be presented as well as the probable
impact of the scheme on the different aspects of live in the area and its surroundings. The public is to
be given the opportunity to give its comments.
The precise drafts of land-use plans are presented again in the second step of the public participation.
The drafts of the plans are to be put on public display for a period of one month with the
accompanying explanatory report or statement of grounds. The public has again the possibility to put
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forward its ideas. The suggestions lodged within the period of the public display are to be examined.
The persons who have lodged suggestions have to be informed of the outcome of this examination.
The redesign or development of an area is not only relevant for the citizens but also for other
authorities and in many cases as well for neighbouring municipalities. Therefore the Building Code
ensures the participation of other authorities, subsumed by the term “public agencies“, and
neighbouring municipalities. Public agencies are for example the trade supervisory office, nature
conservation agency, monumental protection office, water pollution control agency, road construction
office, power supply companies, public and private transport companies, armed forces, chamber of
industry and commerce - in short all public authorities and public associations. Private associations are
no part of this procedure of participation. All public authorities and other public agencies whose
activities are affected by the planning measure obtain the opportunity to give their opinion and
comments “at the earliest opportunity“ (Section 4 (1) BauGB). The participation by public agencies
precedes the public participation.
For some planning procedures mainly concerning major infrastructure projects hearings with those
people who submitted their comments within the period of the public display are required.
The scale of participation in the usual planning processes (i.e. the elaboration or modification of
zoning plans or land use plans) can be qualified as “consultation” in the terms of the Ladder of Citizen
Participation (after Arnstein: The regulations for the execution of the federal
Building Code in special redevelopment areas differ in each federal state (“Bundesland”). In Saxony
for example “consultation” in the ladder of participation is the minimum level of participation (further
steps are possible but not mandatory). Whereas in Berlin the mandatory minimum step equates to
“consultation” mixed with elements of “partnership”.

Weighing process
After collecting the comments from the public, the public agencies and the neighbouring communities
the municipality has to consider all the ideas and to find a justifiable compromise. This weighing
process is the central formal part in the decision making process. “In preparing land-use plans, public
and private interests are to be duly weighed” (Section 1 (6) BauGB). The decision on the content of
the land-use plan is prepared by the local administration and formally made by the city council as the
legislative body.
The weighing process is formally regulated by dispensation of justice. According to legal practice,
three main rules have to be obeyed.
- First the weighing process has to take place at all. This prohibits prior consultations with
interested parties which bind the municipality formally to one planning alternative and do not leave
a window of opportunity to consider the comments submitted in the formal participation process.
- Second all comments, aspects and information concerning the planning have to be considered.
This means that all facts and ideas which should be considered according to a so-called “carefully
acting and reasonable person” have to be included in the planning process. Aspects which do not
concern the planning itself should not be part of the decision making process.
- Third the general results of the decision making should not be disproportioned to the relevance of
the different aspects in the opinion of a so-called “reasonable person”. The decision making has to
take into consideration all arguments in a way that no public or private aspect is privileged or
discriminated ignoring its objective importance. Within these limits the municipality is free to
execute its planning autonomy which includes that not everybody’s interests can be met.

III.2.2 - Implementation of the legal regulations
The implementation of participation procedures in the real planning process differ significantly from
the theoretic legal regulations and the general conditions for the decision making process of the
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Unfortunately the public participation as demanded by the Building Code is criticised as being only a
formal participation. In reality the demand of the Building Code to inform the public before the
planning is consolidated in a way that further changes are widely excluded is often not met. The public
usually is informed after the major decisions have already been made.
Furthermore in those planning procedures which concern only usual topics of spatial planning, e.g. the
set up of new built use plans for one-family housings or industrial parks, the information offered is
rarely used by the public to bring forward alternative suggestions as far as people are not affected
directly. Only in very controversial planning procedures a public discussion takes place. But even in
these planning procedures critics can only be successful with there ideas if they mange to articulate
their suggestions very early in the planning process.
If the ideas of the planning administration, the political parties in power in the community or the
mainly economic pressure groups which support a certain change of a land use plan face criticism the
administration is tempted to use the formal procedural possibilities to impede criticism. The
information given by the authorities sometimes is much more advertising its ideas than a neutral
presentation of facts. In this context also the choice of experts for the assessment of the impacts of the
intended project influences the results to a great extend. Furthermore there are some smaller decisions
which might hinder the participation of critics, for example the arrangement of hearings in the
morning of a working day or the public display of planning documents within school holidays.
Generally spoken the formal participation might serve as a way of appeasement of a critical public by
giving the public the possibility to express their opinion. Nevertheless very rarely the public is able to
really influence the main results of a planning procedure.
In practice the scale of participation varies from “information” to “consultation” in the usual planning
processes (according to the terms in the Ladder of Participation). Further stages are always possible.
But they are only developed when the people in the area strongly insist on a larger participation.

Weighing process
The consideration and the weighing of the different aspects and interests are not always executed
according to the objective importance of the different aspects as required by the Building Code. The
orientation of the whole planning system towards the demands of spatial organisation of economic
growth is an inherent problem which has great influence on the local decision making process.
Furthermore major projects are often promoted to enhance the prestige of the decision-makers
involved. In small communities it can even be observed that the selection of properties for new built
use zones is lead by personal interests. In the planning and construction sector favouritism is wide
spread in comparison to other political spheres since great financial advantages can be achieved by
simple planning decisions.

III.2.3 - Steps tohards orealp participation
Beside these problems of the planning and participation system also good examples of engagement of
the authorities towards participation can be observed.
Informing the citizens
As mentioned above, participation often is limited in the way that it is the primary aim to inform the
citizens about the activities of the planning authorities: e.g. by placards, exhibitions or by media such
as radio or television. This can only be called an one-way-communication. Nevertheless apart from
that also dialog is possible. The citizens can inform themselves just as they can express their opinions
and react to the planning intentions. Different approaches enable this: open citizens meetings
(Buergerversammlung), inhabitant question hours (Einwohnerfragestunden), presentations hold by the
responsible authorities of the planning process and discussion events as well as excursions and round
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tours through the area. But this contains the problem of selectivity: only people who are used to these
ways of communication attend. Others like elder people, women or foreigners do not dare because
they feel inferior to those being used to talk in front of many people and who are familiar with the
Ascertaining interests of the citizens
However there are other possibilities to ascertain interests and opinions of the population: household
surveys (Haushaltsbefragungen), oral interviews and activating questioning (aktivierende Befragung).
These methods act as an indicator for the attitude towards development in the neighbourhood and give
an overview about problems as well as clues to improve and therefore they should be implemented in
the beginning of a project.
Advanced participation of citizens
There is a difference between administrative provoked participation and real engagement that leads to
the next step in the progress: the active taking part of the inhabitants and users in planning and
developing processes. According to this formal and informal methods can be differentiated. Formal
methods are defined by law as presented above. Apart from that there are hearings and debates
imaginable which should happen before the decisions are made. Then there also exists the possibility
of formal applications and petitions initiated by citizens, allowing them to force the community to
consider special aspects that they feel important for their living space. But such a formal citizen
application has to be signed by a fixed number of supporting people before the responsible authorities
have to discuss about the concern. The petition for a referendum gives the citizens the right to bring
about decisions to important questions of planning. Furthermore citizen agents can be authorised to
save the rights of the inhabitants against the decisions of the administration – but this is not common
everywhere in Germany. More common is the possibility for citizens to become members of advisory
boards which the communities are free to establish and where citizens or stakeholders can inform
about the interests of the population and bring in their expertise.
As the definition of the executive regulations of the Building Code is part of the authority of the
federal states, they are able to expand the possibilities for participation. For example in Berlin in urban
redevelopment processes and urban development measures according to the Building Code the
participation of people concerned by the planning procedure, i.e. inhabitants, craftsmen, tradesmen
and employees in these areas, is assured in a wider context. In both planning categories there is a
council which consists of people concerned by the planning procedure. The members of this council
are elected by a convention which can be attended by all people concerned. The elections take place
each two years. The council has its own small budget to put forward a public discussion on certain
topics e.g. by organising exhibitions or meeting on these topics. This council has no planning authority
and its character is advisory only.

III.3.1 - Participation
The applying of informal methods of participation lays in the discretionary authority of the
administration; so it can be assumed that it is not a confirmed habit in every commune in Germany.
Nevertheless most scientists engaged in the participation topic estimate these methods as allowing real
participation. Inhabitants are seen as experts for their neighbourhood and in this way included in the
process of planning. There participation is more than just expressing agreement or disagreement to
projects. Inhabitants bring in their ideas of improvement by communicating with professional planners
and administration. Pre-condition of this way of working together is information of the people about
plans. So these methods comprise methods mentioned earlier. They are a mix of different methods and
it is not always possible to draw a clear line of differentiation. Now some of this variety of techniques
shall be depicted:
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Planning cell (Planungszelle):
This technique, developed by the sociologist Peter C. Dienel, is targeted to make the citizens deal with
problems of planning in order to create their living space as they imagine it is worth living. Therefore
about 25 citizens for every planning cell are chosen by a systemetic random sampling in the age of 18
to 68. Afterwards the people are informed about the contents of the task and are asked to participate.
In the case of agreement they get a contract of employment and a financial allowance to ensure their
full engagement. This guarantees that the chance to take part is open to almost everyone – also to
those who are in other respects not available because they have no time or are not interested in
participation processes - and in this way the planning cell represents the population of the examined
The treatment of the task in form of making suggestions, clues and valuations is done in smaller
groups of about 5 persons and in co-operation with experts, who inform about the basement of the
planning process, but do not influence. The working process is structured in different parts of the task
with exactly defining how long every unit can last / takes time. In the end the participants represent the
solutions in a “citizen’s expert report” that the administration gets at their disposal.
The technique came to successful appliance in several planning processes e.g. in Cologne to work with
the problem of drawing a new concept of usage of the district around the city hall Guerzenich and the
reorganisation of the Hanover public transport system.
Planning for real
The technique of planning for real allows independently from the educational level of the participants
to find out the needs of the citizens, because it contains playing elements. It was invented by Tony
Gibson and originally meant to activate the pupils’ attention and to participate at school. But it is also
capable for the designing of living areas in co-operation with the inhabitants. In planning processes the
starting point can be a three-dimensional model of a whole living area or just a street where there are
problems to remove or where there is something new to plan. With the help of cards the participants
make aware of possible modifications. Everybody disposes of cards which they can place on the
model – and in the end it can not be reconstructed who added which card on what place so that
anonymity is for sure. In the same time it enables all participants to put forward their ideas instead of
only allowing dominant persons to form the result. Participants can be the inhabitants together with
professional planners and members of the local administration. The opinions are exchanged on an
equal level. The cards can picture buildings or can be lettered with words like “conserve“,
“reconstruct“ and “knock down“. After having placed the cards the ideas will be discussed and the
cards can be removed if necessary. This way of creating environment appears to the people as
interesting because the handling of the problem is visualised and close to everyday-problems and
that‘s why it is also practical for people not used to behave within formal structures – e.g. for children.
Future workshop (Zukunftswerkstatt):
In the future workshop the inhabitants try to create a better future for their living area. For this purpose
three phases are to pass through: firstly the participants are requested to express criticism in respect of
their neighbourhood. As a next step they shall find images showing how it would look the best. Finally
these two phases are to combine in order to what in reality can be done to eliminate the critical points
and to change them for good. This working process should allow a private co-operation and creativity.
Supporting the process there should be available uninvolved people as mediation between the
participants. Finishing it is recommended to give a report on the solutions and to introduce them to the
other inhabitants and to the authorities responsible for spatial planning.
As an example the successful project of the adult education centre (Volkshochschule) in Freising can
be instanced. There the participants were invited to produce ideas under the topic „ Freising – A Town
with Future?“.
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Campaign "Jillage Idea" ("Aktion Ortsidee")
It is meant to activate the inhabitants to participate in the developing of their living area. After
enabling the inhabitants of the village (or alternatively of a neighbourhood in a town) to meet and get
to know each other, they can found working groups, in which they should analyse the situation of their
living space. Therefore the advantages and disadvantages seen by the people need to be to taken into
consideration which in order to find out the special image of the village. Using this the inhabitants in
the working groups should elaborate a concept to enhance the circumstances and to create a new
vision of their village. The results need to be published. This allows their public discussion. A round
tour through the village should be arranged. Finally an improved concept can be developed which is
helpful for further formal plans of the planning authority.
Advocate planning (Anwaltsplanung):
This is a technique of participation invented by Paul Davidoff to support social disadvantaged groups
of inhabitants in planning processes. The advocate is meant as an independent authority supporting the
people and helping to understand and cope with planning processes and the problems within this
process. Following this they try to put forward their attitudes in the planning process by working out
suggestions together with the disadvantaged people how to improve their situation. This methodology
of participation is based on the idea that planning processes are never neutral what is why it is
important to put the focus also on the groups not being able to represent their interests themselves. But
nevertheless these people should not be dictated but activated. In a slightly varied way this technique
has been applied in Germany for about 30 years. A good example is the usage in Hanover in the
preparing time for the exhibition EXPO 2000.
III.3.2 - Co-operation
Summarising it is to underline that the improvement of the circumstances in the living space can only
be realised when both sides: inhabitants and administration work together, which leads to the
extending need for co-operation. Co-operation is characterised by activating and motivating the
inhabitants in order to attempt to design their neighbourhood on own initiative. The power to define
the problems and the needs for action is no longer in responsibility of administration. This supports the
co-ordination of the variety of interests in a living district – in interaction with planning aims.
Therefore there is a need to constitute authorities which balance between different interests groups in a
continuing process of mediation.
III.3.3 - Problems
The fulfilment of these demands of participation and co-operation needs a change in the
administration. Administration has to become more flexible and adapted to the facilities of the
inhabitants. Structured proceedings are not useable for all people and they do not allow creativity and
fast implementation of decisions. Inhabitants will organise their interests, if they anticipate real
chances for participating. That is the reason why the suggestions of the inhabitants have to be treated
as important information. Participation possibilities are to install as a continuous process. It is not
trustworthy to the inhabitants when the possibilities for action of the people are cancelled quite soon
after having given them once the opportunity. When the participation of the inhabitants reveals
mistakes in the planning they have to be to quit. Nevertheless participation has to follow a specified
concept trying to reach targets. And it is to take into account that participation needs money – which
of course is justifiable if seriously undertaken – so input and output are to be put into relation,
especially when the financial situation gets worse. But there also exists the problem that citizens
mostly think in their narrowed surroundings disregarding global problems like e.g. environmental
protection. Therefore not in either case the inhabitants should be given unrestricted rights of co-
determination, if the aim is defined by such higher-ranking problems. But this needs to be considered
seriously and cannot serve as an excuse for excluding the people in planning processes.

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III.4.1 – National state of the art

In Germany, as in many other countries, the process of establishing LA21 started quite slowly. Most
of the communities started later than 1996, when actually the establishment should have already been
completed. In May 2002 in 2 297 communities (which is 16.2% of the German communities) existed a
formal resolution to set up a Local Agenda 21. This figure varies considerably in the different federal
states (e.g. from 50% in Hesse, Saarland and North-Rhine-Westphalia to 0.9 % (!) in Saxony-Anhalt).
Furthermore it is important to notice, that a resolution to set up a LA21 does not yet say something
about real activities or the quality of the process.
From the experience with LA21 processes in Germany the following general problems can be
- Reduction of the scope of activity to environmental issues
- The difficulties that involved actors have to cope with the complexity of sustainability (un-
preparedness for integrated thinking, interdisciplinary work etc.)
- Lack of ideal and material support by politics and administration
- Tendency towards blind “actionism” and muddling through
- Lack of willingness to overcome tensions/contradictions between the main fields of sustainability
(e.g. economy / ecology)
- Concurrence of Agenda-Structures (round-tables etc.) to regular democratic institutions
- Lack of communication with citizens and/or very different quality of participation
- Voluntary engagement leading to high fluctuation of actors (participation often restricted to “usual
- Lack of commitment and willingness to put the created programmes into practice

Analysing these Problems, Ruschkowski states several challenges for successful LA21 processes and
developments towards the idea of sustainability:
- LA21 processes have to be communicated to a wider public. Usually the LA21 is not a very
appealing issue for local media. At least for environmental concerns this might change a little with
the discussion in Germany following the flood catastrophe which generally opened up the media.
- LA21 processes need political support and commitment.
- LA21 needs institutional stability (e.g. establishment of a financed office, working group,
professional management)
- LA21 needs a continuous process of participation in terms of a real dialogue of citizens and
community / administration
- Especially in Germany local politics is very much dominated by political parties. As a result the
local agenda and discussions often are structured along parties programmes and expertise rather
than along local necessities. LA21 processes could provide the framework of the establishment of
official expert-committees that are free from the coercion to decide along the lines of political
parties programmes.
- The sectoral structure of the public administration makes difficult integrated decisions. The
responsibility for LA21-processes often is located at the environmental department. A successful
LA21 process certainly needs an integrated co-operation of different departments of the
administration. This makes necessary a re-organisation of the administration or at least the
establishment of structures (task-group?) across the existing departments. The responsibility then
might better be located at the urban planning department.

Description based on Ruschkowski (2002)
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- Successful LA21 processes need guiding principles/targets and management and evaluation
structures. Today the success of (political) measures is only very rarely evaluated.
- LA21 processes should focus on a local consensus about the striking problems to be solved

Especially the last two challenges are in line with the objectives of HQE²R, which was one of the
reasons for the Dresden urban planning authority to become a partner within the project.

III.4.2 – LA 21 in Dresden

In Dresden, after a preparatory phase (e.g. signing of the Aalborg-Charta), the LA21-process was
formally started by the respective resolution of the city council in July 1998. The resolution. Within
this resolution it was decided not to develop a general idea or guideline towards sustainability but to
put several specific projects in the centre of the LA21 for Dresden. These cross-section projects are
mostly initiated and organised by the public administration under participation of the urban public and
selected Stakeholders:
- A framework-programme to reduce CO
- and methane-emissions
- The revitalisation and opening up of the industrial area Coschütz-Gittersee (partly contaminated
by radioactive mining wastes)
- The development of Dresden Klotzsche (Airport and Information and Communication
- Participation in the ICLEI pilot-project “environmental budgeting”
- Eco-Audit-Certification for the public administration

In autumn 1998 a supporting association “Local agenda 21 for Dresden” was founded. This institution
brings together high-level representatives of different stake-holder- and interest-groups from business,
science, public administration, culture, politics, local initiatives etc. It is understood as a platform for
thematic orientation, communication, co-ordination and documentation but not decision-making. The
association also tries to motivate citizens participate in existing working groups or to get engaged with
own projects. For the latter every Year a price is awarded for the most interesting project. The working
groups work on issues like: Energy and Emissions, urban living environment, green planning, building
and housing, LA21 in educational institutions, women and LA21, work and business, traffic etc.
The public discussion of the “integrated urban development concept; INSEK” for Dresden and the
“Cargo-Tram”, a tramway transporting parts for the production of Volkswagen-cars to a location in
the city-centre (the “Vitreous Manufacture”) do belong to the projects as well as the car-sharing pool
of the public transportation company an internet cafe for disadvantaged young citizens and a
competition “Sustainability in vocational schools”. So the state of the art for the Agenda 21 in Dresden
can be summarized as a pool of projects kept together by a communication and co-ordination
structure. For the HQE²R case study Dresden Loebtau at the beginning the idea existed, to declare
Loebtau a “local-agenda-neighbourhood”. Nevertheless this idea was not realized, because Loebtau
already has an important share within the INSEK and the administration did not want to rise too high
expectations on the side of the inhabitants.

Description taken from Frenzel/Socher; and the Dresden
LA21 web-site (
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The obligation to citizen participation in processes of urban planning as fixed in the Building Code
and the methods of an extended participation described above are an inherent part of the mandatory
weighing process and provide tools for decision making processes within planning procedures. As the
participation process itself is neutral towards the results of the decision making process generally all
R targets can be obtained with the possibilities of participation in use in Germany. Nevertheless
the results of the weighing process and therefore the achievement of the HQE
R targets result from the
power of the different local interest groups / lobbies. In general it can be observed that social and
especially ecological targets have a weaker position within the decision making process as they do not
have an as powerful lobby as those targets which serve economic interests.

The planning system in Germany allows the consideration in the planning process of the opinions of
people living or working in a certain neighbourhood to a much larger extend than the practice in urban
planning is taking into account the wishes and needs of the population. But the planning system does
not really force the communities and the other actors in urban planning to use these possibilities. In the
following recommendations we concentrate on the improvement of the use of the possibilities the
existing planning system permits to the states, the communities and the private investors - especially
the use of the possibilities the regulations at federal and state level offer to the communities as the
public body which is responsible for the practice in urban land use planning.
The federal system in Germany offers a framework for the communities to decide on their own about
their local affairs such as urban planning. Furthermore the planning system shows a large variety of
different legal rules in the different states. For examples each country has the right to implement
regulations concerning the execution of parts of the Building Code according to their own ideas.
Therefore the executing regulations vary from each state to the other. In Berlin for example there are
regulations concerning the execution of the Building Code which provide for an elected council of
inhabitants and users in the process of urban redevelopment measures. This council has its own small
budget and the right to be an inherent part of the decision making process.
The communities are free to widen up the participation of the population.
But still the city council is
the decisive body as far the implementation or modification of urban land use plans are concerned.
Plebiscites which are able to change decisions of the city council or the state parliament are not
possible in all states. The rules how a plebiscite has to be executed vary in the different states. But it is
a mistake to believe that plebiscites generally produce decisions which consider aspects of a
sustainable development to a larger extend than decisions taken by elected representatives.

The differentiated federal system in Germany allows learning from the best examples which exist in
the different states, regions, communities of district of a city in order to get closer to an adequate
participation of the users and inhabitants. As described above, already much experience exists with a
variety of different methods of participation. It is up to the people to demand for a more extensive
participation and it is up to the different parts of the administration to encourage the inhabitants to
participate in the process of the development of the neighbourhood – at least if they want to develop
towards sustainability in a participatory process.

They are free to implement all the informal methods of participation described above.
In Bavaria for Example plebiscites concerning road construction projects in the majority led to decisions in
favour of the construction of new roads.
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#" Bischoff, Ariane / Selle, Klaus & Sinning, Heidi 1996: Informieren, Beteiligen, Kooperieren:
Kommunikation in Planungsprozessen. Eine Uebersicht zu Formen, Verfahren, Methoden und
Techniken. 2
edition; Dortmund: Dortmunder Vertrieb fuer Bau- und Planungsliteratur
#" Bundesamt fuer Bauwesen und Raumordnung: Urban Development and Urban Policy in
Germany; Bonn 2002
#" Bundesgesetzblatt 1997 part I p.2141: Building Code (Baugesetzbuch – BauGB)
#" Foerderverein fuer Jugend- und -sozialarbeit e.V. (fjs, no year given); PLANNING FOR REAL -
Ein ganzheitlicher Ansatz gemeinwesenorientierter Projektentwicklung; Einfuehrung in
Arbeitsweise, Arbeitsmaterial und Methode; Dokumente zweier Workshops im September 1993
in Neubaugebieten von Berlin und Potsdam, fjs-Arbeitshefte, Schriftenreihe des Foerdervereins
fuer Jugend- und -sozialarbeit e.V., Bd. 6, Berlin
#" Frenzel, Frank; Socher Wolfgang (no year given): Local Agenda 21 and eco-budget – the actual
state of the art in Dresden; taken from
#" Gessenharter, Wolfgang 1996: Warum neue Beteiligungsmodelle auf kommunaler Ebene?
Kommunalpolitik zwischen Globalisierung und Demokratisierung. In: Aus Politik und
Zeitgeschichte. Beilage zur Wochenzeitung Das Parlament. B 50 / 96; p. 3 – 13
#" Herrmann, Heike 1998: Institutionalisierte OEffentlichkeit, Bewohnerbeteiligung oder Alibi? Die
Funktion von initiierten Stadtteilforen. In: Alisch, Monika (publisher) 1998:
Stadtteilmanagement: Voraussetzungen und Chancen fuer die soziale Stadt. Opladen: Leske +
#" Hinte, Wolfgang 1996: Mit Buergern gemeinwesenbezogen arbeiten: Perspektiven und Visionen.
In: Wendt, Wolf Rainer u.a. 1996: Zivilgesellschaft und soziales Handeln: Buergerschaftliches
Engagement in eigenen und gemeinschaftlichen Belangen. Freiburg im Breisgau: Lambertus
#" Hinte, Wolfgang 1998: Bewohner ermutigen, aktivieren, organisieren – Methoden und Strukturen
fuer ein effektives Stadtteilmanagement. In: Alisch, Monika (publisher) 1998:
Stadtteilmanagement: Voraussetzungen und Chancen fuer die soziale Stadt. Opladen: Leske +
#" Ministerium fuer Stadtentwicklung, Wohnen und Verkehr des Landes Brandenburg 1995:
Buergerbeteiligung und Oeffentlichkeitsarbeit bei der Weiterentwicklung industriell errichteter
Wohngebiete: Instrumente, Beispiele und Handlungsempfehlungen. Schriftenreihe Heft 17
#" Runkel, Peter Dr.: Baugesetzbuch 1998; 5th edition; Koeln 1997
#" Ruschkowski, Eick von 2002: Lokale Agenda 21 in Deutschland – eine Bilanz; in: Aus Politik
und Zeitgeschichte (B31-32 / 2002)
#" Schmidt-Eichstaedt, Gerd Dr.: Staedtebaurecht; 3rd edition; Stuttgart, Berlin, Koeln 1998
#" Selle, Klaus 1993: Kooperatives Problemloesen. In: Brochnig, Stefan & Selle, Klaus (publisher)
1993: Freiraeume fuer die Stadt: sozial und oekologisch orientierter Umbau von Stadt und
Region. Wiesbaden / Berlin: Bauverlag GmbH
#" Wendt, Wolf Rainer 1996: Buergerschaft und zivile Gesellschaft: Ihr Herkommen und ihre
Perspektiven. In: Wendt, Wolf Rainer u.a. 1996: Zivilgesellschaft und soziales Handeln:
Buergerschaftliches Engagement in eigenen und gemeinschaftlichen Belangen. Freiburg im
Breisgau: Lambertus


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IV.1.1 - LAU 1150/42
IJ.1.1.1 - Ceneral description
The law n.1150/42, known as the national "urban planning law", is the framework law for territorial
development and planning; it gives rules for local urban planning at the municipality scale. Besides
establishing the contents of town planning acts, at different scales, it regulates their approval
procedures. Analogous procedures are included in later laws, promulgated by the state and by the
different regions, concerning urban planning.
IJ.1.1.2 - 1he participation procedures
The town planning project, before its definitive approval, can be consulted by all citizens at the
municipality secretary’s office, for 30 days; in the following 30 days the local associations can present
suggestions and observations; each observation is evaluated by the municipality and sent to the
competent authority together with its counter-propositions.
IJ.1.1.3 - 1he limits
All projects should be brought to the public’s knowledge, by appropriate displaying means and all
citizens could make observations; actually observations are presented by people directly interested in
the effects of the planning projects, as land owners and other stake holders.

IV.1.2 - LAU 167 (18
April 1962)
IJ.1.2.1 - Ceneral description
The aim of the law is to promote the public purchase of building land for new social housing through
the adoption of a zoning plan. The plan must indicate new roads and public spaces and the
localisation of building areas, specifying the type and quantity of the new buildings that can be
constructed by private or public operators. All the areas for housing, viability and public services
related to the social housing neighbourhood are subject to expropriation by the municipality.
IJ.1.2.2 - 1he participation procedures
The zone planning proposal is deposited at the municipality secretary’s office for 10 days during
which it can be consulted by all citizens; in the following 20 days the interested people can present
observations and oppositions; each observation is evaluated by the municipality in the following 30
days and sent to the competent authority together with its counter-propositions.
IJ.1.2.3 - 1he limits
Observations are usually proposed by land owners; the final users are not involved in the planning

IV.1.3 - DPCM 27
December 1988
IJ.1.3.1 - Ceneral description
The decree establishes technical regulations about environmental impact assessments specifying the
contents of the analysis, the environment factors and the procedures for the final approval. The
objective is to define criteria and contents of environment impact assessment.
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This decree is related to the DPCM 10
August 1988, n.377 that regulates environment compatibility
declarations required for big plants and infrastructures; the decree specifies the documents and studies
that must be produced by the promoter, related to the possible impacts on different environment
factors and components.
IJ.1.3.2 - 1he participation procedures
Both decrees request transparency of procedures; information about the planned works must be given
on at least one regional and one national daily papers, specifying where the acts can be consulted; the
compatibility judgement must take account of the observations and proposals made by private citizens
and associations.
IJ.1.3.3 1he limits
Information is the starting point for participation, but it is not enough, especially if it is given when the
main decisions have already been taken; the possibility to express alternative proposals and
observations is a formal procedure that does not favour a wide debate; these initiatives usually are
carried on by environment protection associations.

IV.1.4. - LAU 241(7
August 1990)
IJ.1.4.1 - Ceneral description
The law establishes new rules to simplify administration procedures and the citizens' rights to access
to administrative documents. The objective is to promote thrift, effectiveness and publicity in the
public administration activity.
Administrative proceedings must be carried on and concluded in a transparent way; the responsible of
each act must be indicated and clear information must be given to all the people interested by the act.
The responsible of the act has to collect all legal information, to verify the conformity conditions and
to convene a “service conference” with all the offices involved in the approval of the act.
The subject directly interested in the proceedings must be clearly informed about the competent
offices and the name of the responsible of the act, the object of the proceedings and the office where
the act can be consulted.
The law contains specific articles related to the participation of citizens (as single subjects or grouped
in committees and associations in case of widespread interests) in the administrative proceedings.
IJ.1.4.2 1he participation procedures
Clear information must be given, as soon as a new proceeding starts, to all subjects interested by the
act; a written note is sent specifying:
- the competent administrative sector
- the object of the administrative proceeding
- the office and the employee responsible of the proceedings
- the office where the interested subjects can consult the procedure acts.
If a personal communication is not possible, due to the number of persons that have to be informed,
information must be brought to public’s knowledge.
Each subject, dealing with private or public interests that could have detriment from the act, either as a
single citizen or as a group of citizens gathered in a committee or association can take part in the
proceedings. They can look at the documents and present written memorials, which must be taken
into consideration by the administration.
The presented observations and proposals can be discussed with all the subjects involved till a written
agreement is reached.
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IJ.1.4.3 - 1he limits
Participation is provided trough the possibility to present written memorials, during the proceedings
phase; the decision to give widespread information is left up to the responsible of the proceedings,
who can decide to promote a public debate.

IV.1.5 - LAU 499/97 and Ministry of Public Uorks Decree 22

October 1997
IJ.1.5.1 - Ceneral description
The law and the decree give rules for the planning of complex programs, called “Neighbourhood
Contracts” to rehabilitate decayed urban areas.
The main objective of the program is the promotion of experimental operations in the social housing
sector, favouring higher standards of liveability in residential neighbourhoods characterised by lack of
services and weak social cohesion.
Public funds are provided to increase or improve social housing and infrastructures in existing urban
Each program is proposed to the ministry of public works by a single municipality, possibly supported
by private operators; the program must be conceived to renovate building characters increasing the
quality of urban functions through a higher standard of public services and better housing supplies,
with special attention for saving, in the same time, natural and energetic resources.
IJ.1.5.2 - 1he participation procedures
The programs should be characterised by a plurality of components, including urban and building
elements, but also by social and employment factors and participation of private and public funds.
The municipality should also promote information and participation of citizens at the various steps of
the “neighbourhood contract”, but the participation procedures are not specified by the law.
IJ.1.5.3 - 1he limits
Participation was not considered one of the main objectives of the “neighbourhood contracts”,
therefore the choice of participation procedures was left to the initiative of the single municipalities;
actually funds were given also to municipalities which did not include participation activities in their

IV.1.6 - DPR n.447 (20
October 1998)
IJ.1.ô.1 - Ceneral description
The law gives new rules for the proceedings related to the construction, extension, refurbishment of
productive plants.
The objective is to simplify administrative proceedings for works related to industrial plants.
Firms and companies can address their requests to a single box office that must acquire all the
necessary conformity judgements form the different offices, possibly through a conference of services
open to public participation.
IJ.1.ô.2 - 1he participation procedures
Each subject, dealing with private or public interests that could have detriment from the plant
realisation, can look at the documents and present written memorials, which must be taken into
consideration in the proceedings.
The presented observations and proposals can be discussed with the firm representatives and their
technical staff.
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IJ.1.ô.3 - 1he limits
Participation is open to those subjects that could have detriment from the planned works. Information
is given when the projects haven already defined.

IV.1.7 - Legislative decree n.267 (18
August 2000)
IJ.1.7.1 - Ceneral description
The decree summarizes and integrates the local municipalities by-laws. The objective is to establish
municipalities and provinces autonomy.
Each local public authority must establish its organization and functions approving specific by-laws;
analogous by-laws are adopted for participation organisations. Free association forms and popular
participation organisations are valorised by municipalities and citizens can promote actions to defend
collective interests. Each citizen can promote actions for environment protection and environment
associations can propose compensations from environment damages.
IJ.1.7.2 - 1he participation procedures
Local municipalities promote participation organisations, valorising free forms of associations
possibly at the neighbourhood or district scale, to carry on local administration procedures, providing
specific regulations in the local by-laws. Actions to preserve collective interests can be promoted by
single citizens or associations and all requests must be quickly examined. An adequate number of
citizens can promote public consultations and referendums.
All administrative acts are public and clear information must be given to all citizens; each act, except
explicitly reserved ones, can be consulted in the municipality offices.
To enhance citizens participation to the administration activity local municipalities favour the access
by voluntary service organisations and associations to local structures and services.
IJ.1.7.3 - 1he limits
The promotion of participative forms depends on the initiative of single citizens; in Mantova, for
example, some committees have been promoted at the neighbourhood level for very specific questions
connected with traffic, conditions of the streets and of parking supplies.

IV.1.8 - Evaluation of the Italian legislative context tohards
In Italy it is hard to find specific laws related to participation; the concept of participation going on
through elected representatives involved in the various government forms is still too strong in this
Public information must be given for works of national and regional interest, especially if they have a
significant impact on the environment, but usually this happens after the elaboration of the project,
when the most important decisions have already been taken.
There aren’t rules favouring public debate from the beginning of the planning procedures;
participation depends on the initiative of single citizens and voluntary associations and on the
disposals of public administrators.
Many laws related to territorial and urban planning are promulgated by the various regions, therefore it
is impossible to have a complete overview of the legislative contest at the regional level; since the
three municipalities involved in the HQE
R process are all located in the Lombardia region, we are
following what’s going on in this part of Italy.
The regional “urban planning law” dates over to 1975; the participation procedures provided in this
law are similar to the ones previewed at the national level.
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A substantial review of this law was started in 2001, and a proposal of new articulation came out in
July 2002; sustainability, participation, cooperation and flexibility are considered fundamental
principles of the law; the municipality must insure participation and debate among citizens in the
forms provided by local by-laws.

IV.2.1 - Case studies
The examples of Agenda 21 actions are:
• Biella Province for implementation of the Agenda 21 information actions
• Pavignano neighbourhood (Biella): for implementation of specific actions aimed at the young
• Biella Province for implementation of youth policy actions
IV.2.2 - Period of implementation:
The actions described were implemented in 1997
IV.2.3 - Objectives
A) INFORMATION and COMMUNICATION of sustainability topics through a conference with the
following specific objectives.
• To inform about the contents of the agenda 21;
• To demonstrate the benefits for the community;
• To verify the willingness and interest of local actors to launch a process for its preparation.
B) TO CONSTITUTE groups of motivated people in contact with the world of young people
(alliances between the reality of the neighbourhood, the municipality of Biella and some local services
(social, health, economic) in the district) and TO PLAN AND PERFORM activities to improve the
quality of life in Pavignano neighbourhood.
C) TO INVOLVE civil society and the public administration in a general reflection on the near future;
TO INVOLVE the many ACTORS present in the territory in order to obtain original, informed and
- as far as possible – politically neutral views on the topic of “environmental policy in the Biellese”.
IV.2.4 - Actors involved
Promoters of the initiativea
• Biella Provincial Administration;
• Biella municipality (Department of education and youth);
• Social co-operatives;
• The Project "day care centres for children in the risk neighbourhoods of Biella city " ;
• Biella Province Department of the Environment
Actors involveda
• Professional bodies,
• Services sector,
• The world of education and training,
• Experts from the public administration
• Department of social services
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• Ward council of ward 14
• Sports clubs in Pavignano
• Pavignano parish
• Young people of the area,
• Parents of middle school pupils
• Representatives of SAT (ex SERT)
• Social housing agency (ATC).
IV.2.5 - Lahs concerned
Delib. CIPE, 28.12.1993, Approvazione del Piano nalionale per lo sviluppo sostenibile in attualione
dell'Agenda $P, Suppl. GU n. 47 del 26.02.1994
D.M. 28.05.1998. D.M. GAB/DEC/780/98 Nuovo Programma per la Protelione dell'Ambiente
finanziato dalla Legge n. 344/97.
IV.2.6 - General description
The actions in Biella Agenda 21 are:
A) Actions to provide information on Agenda 21 on the provincial scale (Conference with exchange
of experience)
B) Specific actions aimed at the youth of Pavignano neighbourhood (Biella) (community animation)
C) Involvement of local actors and administrations to obtain opinions, thoughts and proposals on
environmental problems in the territory of Biella.
IV.2.7 - SD Target concerned
To ensure diversity: To ensure the diversity of the population
To improve integration: To increase the levels of education and job qualification and To improve
access for all residents to all services and facilities of the city by means of an easy and non expensive
transportation mode
To reinforce social life: To improve social networks and social capital.
IV.2.8 - Procedures envisaged for participation
The methodologies adopted in activating the initiatives for participation in relation to the three actions
(A, B and C) in Agenda 21 were as follows:
A) Preparation
The Conference was preceded by:
• Three preparatory workshops with some local actors to decide on the content of the conference
and to check their willingness and interest in starting a joint activity on these topics.
• A Seminar for public functionaries on the techniques for actuation of Agenda 21
• Work groups to assemble the proposals from those taking part in the conference.
The conference included two main parts.
• The first provided information, above all to establish the frame of reference within which to
collocate the experience presented;
• The second, with the character of a workshop, to illustrate practically some methodologies
adopted for decisions on plans of action.
A) The Community animation
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This action included 4 phases:
1. First phase:
Formulation of a semi-structured interview addressed to leaders, previously identified on the basis of
their relationship to young people.
Ub-ective: to present the project, collect information on the world of young people at Pavignano and
construct a sociogram from the results. The questions made it possible to identify some other local
actors, indicated by the leaders, who were given the same interview. This made it possible to construct
a sociogram.
2. Second phase:
On completion of the interviews, all those contacted were invited personally to a meeting.
Ub-ective: to win support for the project.
3. Third phase:
Organisation of focus groups with the greatest possible number of participants. The characteristics of
the focus group are as follows.
1. It serves to focus on the problems and assign them a priority;
2. It should be composed of at least 6 and no more than 12 people;
3. It is not a decision-making group;
4. The leaders must not be part of the group they lead.
Ub-ective: to know how the participants see the reality of the neighbourhood in relation to young
people, and to identify four problems seen as fundamental.
4. Fourth phase:
Concluding assembly with all the groups, to which will be invited representatives of Biella
municipality, of the services active in the territory and of the A.T.C.
Ub-ective: creation of micro projects from one or more work groups to address the problems that
Performance of the project:
The semi-structured interviehs were conducted with 59 individuals and 5 services operating in the
territory. This allowed for personal contact with the individuals and an initial presentation of the
project for “community animation” at Pavignano.
It was possible to hold the first assembly by contacting all the interviewees once again and inviting
them by letter and phone call.
This assembly was attended by 41 individuals representing 12 groups operating in the neighbourhood.
In the end, 21 individuals representing 11 groups decided to take part, with a commitment to convene
the focus groups and/or lead the groups in April and May.
The commitment of the operators was to guarantee the process by maintaining contact with the
parties concerned, helping them to convene the groups, setting the date for the meetings, providing
training for the 7 leaders (residents of Pavignano) who had declared themselves willing. Attention
was focussed on the following topics.
• Methodology for the social reconnaissance,
• Learning the techniques for leading a focus-group, using an active method that leaves much room
for simulation and discussion of points that are not clear,
• Creation of a “protected moment” in which to exchange views and where it is possible to meet
other people in a situation of greater serenity.
The concluding assembly for the task of social reconnaissance of the neighbourhood had the
following objectives.
• To learn the opinions of the neighbourhood’s inhabitants on the problems faced by young people
between the ages of 11 and 20,
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• To form groups those constitute a resource for improvement of the quality of life in the
In the course of this assembly, the data that had emerged, which were the result of the social
reconnaissance and of 10 group interviews (focus groups) were presented to the populace and to some
members of the municipal junta.
On the occasion of the assembly, to facilitate the work of the subgroups, 4 of the nine problem areas
and 8 of the problems most quoted (two for each main area) were selected.
C) Final document
A questionnaire was initially administered to all the actors involved so that each could express its
own opinions on the environmental topic for which it was competent. Processing of the
questionnaires produced an articulated document which was discussed in the specific work group.
From the conclusions reached in the discussion it was possible to prepare a further summary to be
presented to the plenary assembly and included in the final document.
IV.2.9 - Limits
\eaW points b critical aspects of the actions
AE Preparation
• The single episode nature of the action
`E Animation
• Lack of operators;
• Logic limited to the single action on the day centres (absence of a comprehensive view of
operations and of a wider range of action, both economic and managerial).
• Need for a team to work on the community animation project including the following: municipal
assessor, functionary, supervisor, co-ordinator, animators, and a representative of the executive
CE [inal document
• Absence (after the initial participation stage) of subsequent contact with the actors involved to
obtain further contributions and to check the results of the initiative.
IV.2.10 - Prospects
Strong points b successful aspectsa
AE Preparation
• The proposals presented were very specific;
• Good involvement of the participants in the workshops at which the methodologies were
• Interest in further development of the topic from technical personnel of the public administration;
`E Animation
• The animators undertook a task of relationship with the people available, using a good part of the
time for informal contacts, visits, phone calls, letters etc. The groups created undertook to propose
actions and formulate strategies to prepare projects to be carried out within the neighbourhood to
address the problems that had emerged. Each group set its own rules for its own operations. This
made it possible to make subdivisions according to personal needs.
CE [inal document
• The people contacted were involved successfully. The number of questionnaires returned was very
high and active participation in the concluding workshop was also satisfactory
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IV.2.11 - Results / fall-out from the action compared hith initial
objectives/actions/instruments used:
AE Preparation
• Good fall-out from the point of view of communication, especially in the local media. Good level
of interest from some parts of the professional world. The administrators of small municipalities
showed themselves to be fairly receptive and action in their direction should be deepened and
`E Animation
• Four work groups were formed on the basis of what emerged in the assembly of 5 July. These
groups undertook to propose actions and formulate strategies in order to draft projects to be
carried out within the neighbourhood to addressed the problems that had emerged.
• The second phase of the community animation project saw the launch of a pilot group (16.12.97)
with the function of “co-ordination of initiatives” and support for the work groups, associations
and services present in the territory of Pavignano; it will evolve according to the needs that
emerge. It is composed of 9 representatives of groups formed after the assembly, associations and
services present in the territory and is lead by the project animators.
CE [inal document
• Various proposals that emerged have been incorporated into the administrative actions of Biella

IV.3.1 - The oSavonarola Suarterp Neighbourhood Contract (Padua)
IJ.3.1.1 - Field
From the morphological and functional points of view the San Giuseppe area constitutes an
environmental island, with its borders clearly defined by the railway to the west, the city walls to the
east and two main heavily trafficked main roads to the north and south, respectively the state road to
Vicenza and the provincial road for the Colli Euganei.
The neighbourhood is a relatively recent creation. A substantial increase in building activity was first
recorded between the two world wars, with a significant amount of social housing and also private
subdivisions in the part closest to the old city.
Following the Second World War, all the free areas tended to be built up, though without any clear
overall plan, mainly on private sector initiative (small condominiums and individual houses) but also
in part by public sector bodies (Social Housing Institute, Treasury Ministry, ESU – Institute for
University Residential Accommodation, State Railways). In this dense residential development, space
was also found for some small businesses and industrial concerns, many of which have been converted
over the years into warehouses, a large military zone and some private hospitals.
Overall, the Urban Unit is markedly non-homogeneous in structure, with a confused overlapping of
activities and functions that makes social relationships and formation of an urban identity problematic.
The most critical aspects brought to light by the preliminary investigations are, very briefly, as
• A high proportion of senior citilens in the population, decidedly higher that the average for the
city, and a correspondingly lower percentage of childrenn
• About 56 per cent of households comprise one or t;o individuals against an average for the city of
l 51 per cent;
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• A severe shortage of services compared with urban standards (1.5 m² of public greenery per
inhabitant and 0.1 m² of civic services per inhabitant);
• A high proportion of public sector housing: 27.6 per cent of the total, against the city average of
7.5 per cent;
• \idespread deterioration of buildings, affecting especially – but not only – the public sector
housing stock, which tends to isolate some parts of the neighbourhood from the urban context;
• Absence of a hierarchically structured mobility system, with consequent significant problems of
safety, pollution and the liveability of traffic routes and of public spaces in general.
IJ.3.1.2 - Period of implementation
Planning: 1998-2001
Implementation started in March 2001
IJ.3.1.3 - Objectives
The principal objectives of the project are:
• Reduction of polluting emissions affecting air, water and soiln
• Reduction of consumption of energy and ra; materials;
• Improvement of the ;ater balance (hater cycle) of the urban section (including through provision
of criteria and incentives to increase ground permeability in both public and private areas, with
incentives to reduce consumption of potable water);
• Creation of an organic svstem of greenerv, both to increase its ecological function (production of
oxygen, reduction of pollution, soil permeability, evaporation) and as an essential factor for direct
contact with nature and animals by the local inhabitants, especially the children;
• Reduction of sources of noise pollution and use of ‘green barriers’ to reduce noise from the major
traffic arteries bordering the neighbourhood;
• Aissemination of the principles of bioarchitecture, including in the private sector, in building
rehabilitation projects;
• Experimentation ;ith ne; forms of separate collection of municipal refuse, with a view to both
recycling and reducing consumption;
• Improvement of the urban microclimate, through close co-ordination of the various actions listed
• Information to and participation bv the inhabitants, to launch a process that transforms the
behaviour of individuals.
IJ.3.1.4 - Actors involved
The Partners to the Contract are:
• Padua municipality
• The local Social Housing Agency 'Azienda Territoriale per l'Edilizia Residenziale’ (ATER)
• The Regional Agency for the Right to University Study (ESU)
• The Padua municipal services undertaking.
IJ.3.1.5 - Laws concerned
#"Law 493/93 (art. 11): Urban Rehabilitation Programme denominated Contratto di "uartiere
“Neighbourhood Contract”
#"Call for assignment of the funding allocated to experimental building by the CER (Comitato
Edilizia Residenziale – “Residential Building Committee”) of January 1998.
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IJ.3.1.ô - Ceneral Description
The Savonarola Neighbourhood Contract is one of the Urban Rehabilitation Programmes financed by
the CER - Residential Building Committee /Comitato Edilizia Residenziale, following a call for bids
published by the Ministry of Public Works in January 1998.
The funding provided, amounting to 20 billion lire, will be used for:
• Restructuring some of the housing owned by ATER in the "Caduti della Resistenza" area of
Piazza Toselli
• Rehabilitation of all the open spaces within the residential complex
• Rehabilitation of the student hostel “Casa dello Studente” on via Monte Cengio
• Conversion of Piazza and Via Toselli to a semi-pedestrian zone.

In addition to the CER funding, it is envisaged that a further 25 billion lire will be spent by various
departments of the municipal administration, by ATER and by the Padua Municipal Services
Undertaking to complete rehabilitation of the deteriorated public sector housing and to perform an
integrated series of actions for environmental improvement and urban ecology involving the whole
San Giuseppe Urban Unit, which forms part of the Savonarola Quarter.
Among the most innovative initiatives are those for participative planning of the “system of
greenery” and of the system of mobility (with application to the whole Urban Unit of the principles of
moderation of traffic and construction of a cogeneration (combined heat and power- CHP) power
station and a district heating system extending to the whole neighbourhood.
Specific projects and actions have already been launched to promote participation by the inhabitants in
the process of urban transformation, to implement actions consistent with a more general project for a
“sustainable city of infants” and to create new job opportunities for the young people of the
In planning and implementation of the Urban Rehabilitation Programme, the aims and methodologies
of Local Agenda 21 and of the European Cities Charter for Sustainability have been adopted.
The Savonarola Neighbourhood Contract is one of three Italian Projects selected for the year 1998 by
the United Nations Centre for Human Settlements (Habitat) among the best local administration
practices and is therefore included in the UNCHS (Habitat) Best Practices Database (consultable via
Internet at the web site:
IJ.3.1.7 - SD 1argets concerned
To preserve and enhance heritage and conserve resources: To reduce energy consumption and improve
energy management and To improve water resource management and quality
To improve the quality of the local environment: To improve housing quality, To improve air quality,
To reduce noise pollution, and To minimise waste
To ensure diversity: To ensure the diversity of the population, To ensure the diversity of housing
To improve integration: To increase the levels of education and job qualification, To improve access
for all residents to all services and facilities of the city by means of an easy and non expensive
transportation mode, To improve the integration of the neighbourhood in the city by creating living
and meeting places for all the inhabitants of the city, To avoid unwanted mobility and to improve the
environmentally sound mobility infrastructure
To reinforce social life: To reinforce social networks and social capital.
IJ.3.1.8 - Procedures envisaged for participation
Participation is one of the most important aspects of any project of ecological rehabilitation of
urbanised environments. In fact in every process of urban transformation an essential role is played by
changes in individual and collective behaviour, changes that can take place only if individual members
of the public and social and economic organisations are convinced of the rightness and practicability
of the objectives proposed, and if they feel themselves in some measure responsible (principle of
shared responsibility). Not only that. The confrontation and discussion – right from the initial stages
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of decisions on strategies and projects – can avoid errors and unforeseen “collateral effects” and can
encourage the preparation and implementation of parallel projects, that is with synergies in sectors
other than the Public Administration and private sector business.
The questions of participation and actions for social promotion have been addressed right from the
initial stage of decisions on the content and strategies of the Neighbourhood Contract by a specific co-
ordination of public sector organisations, associations and social co-operatives, with which teaching
and research personnel of Padua University’s Department of Sociology have collaborated constantly.
The priority objectives of the co-ordination include the following.
• The integrated community development project, of health support, prevention and the struggle
against social exclusion and drug addition, based on the principles of self1help and network
• Formation of a self-management committee of residents of the ATER housing units and their
effective participation in the decisions of the agency and the programmes for rehabilitation of the
• Support for the launch of the new employment envisaged in the craft ;orWshops of Piazza Toselli;
• The involvement of teachers, students and parents in the neighbourhood’s schools to prepare
projects in which they will participate for green areas and for traffic moderation actions, in the
framework of the initiatives for "“sustainable city of infants”;
• Strengthening of the activities of the Youth Point, set up in the Piazza Toselli Aeighbourhood
• Creation of an Integrated day centre for the area, aimed chiefly at the elderly, that can offer
opportunities and concrete possibilities for assistance and mutual aid, as well as cultural animation
to overcome solitude, isolation and social exclusion.

Much has been done, to date, on the plan for participation, for the drafting and launch of the
Neighbourhood Contract, but much still remains to be done for its full implementation, which will
take place over three years. The following operating guidelines have been chosen for the immediate
• Creation of a Forum for urban sustainabilitv and self-government, formed of representatives of
the Neighbourhood Council, of the self-government bodies for public sector housing, committees
of parents and teachers of neighbourhood schools and the most representative associations that
share the general aims of the Contract and intend to participate actively in the actions for urban
• Formation of a Scientific Committee, to support the activities of the Forum and of the
Neighbourhood Laboratory which will certainly include teaching personnel of the University
Faculties already involved in preparation of the Urban Rehabilitation Programme, and which will
attend specifically to setting quantifiable indicators and objectives, to be associated with precise
dates for their attainment, and the periodic preparation of reports that specify the improvements
(or deterioration) in the environmental and social situation, if necessary also suggesting possible
corrections to the current strategy;
• Creation of a web site and periodic publication of a Aewsletter, for real time communication of all
the current initiatives to all members of the Forum and more generally to all those interested in the
• Formation of Project Units, to ensure permanent co-ordination of all the bodies addressing
specific aspects of the Contract (Participation and social promotion, Ecology and urban
environment, Child-friendly city, Employment etc);
• Strengthening the activities of the Aeighbourhood Laboratorv which in addition to animation and
organisation of participation, should allow for the launch of the housing, social and employment
Monitoring Unit planned by the Department of Sociology to monitor the effects of the various
actions over time.

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IV.3.2 - Neighbourhood contract for S.Eusebio (Cinisello Aalsamo )
IJ.3.2.1 - Field
The S.Eusebio neighbourhood, built up in the course of the ‘seventies, is one of the last areas of
expansion associated with the wave of migration into the area, starting from the ‘sixties and associated
with the great demand for labour from industrial establishments such as those of Falck, Marelli, and
In this sense the neighbourhood is recognisable, built in haste and in disorder around new
urbanisation, far from the centre of Cinisello, surrounded by cornfields.
The new inhabitants have progressively structured the neighbourhood with rules and sub-divisions
typical of the communities to which they belong. Immigration from northern Italy, limited and for a
short period, was followed by greater and more prolonged immigration of families from southern Italy,
creating a division not only cultural but also physical, reinforced by forms of distinction and
segregation that have developed mutually over time.
The actions envisaged in the Neighbourhood Contract are concentrated particularly on the blocks
known as 'Palazzone' and 'Cinque Torri', two public housing developments where the second wave
of immigration from southern Italy was concentrated and where situations of social disadvantage are
IJ.3.2.2 - Period of implementation
Planning: 1998 - May 2001
Executive planning and implementation: beginning in May 2001
End of works envisaged for: 2003
IJ.3.2.3 - Objectives
The objectives of the actions envisaged in the Contract are associated with four measures for
- Improvement of the general condition of the buildings by a technical action of comprehensive
maintenance of the buildings, the apartments and the common spaces, with sub-division of the
larger apartments to create dwellings more appropriate to the characteristics of the current demand;
- Introduction into the block known as the Palallone of experimental dhellings with special
layouts and technology designed to meet the requirements of new types of tenant.
- Design and introduction of service activities with functions of a social character.
- Siting of small business units for crafts and commercial activities with a view to promoting the
creation of new enterprises.
IJ.3.2.4 - Actors involved
The organisations that have joined and initialled the neighbourhood contract are::
#"Lombardy Region
#"Cinisello Balsamo municipality and its Ward 4
#"North Milan Development Agency
#"Lombardy Housing Agency
#"Craft and small business associations (CNA)
#"Local voluntary and non-profit associations
#"Local associations (Sant'Eusebio tenants’ committee)
#"Non-profit co-operatives
#"The parish
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IJ.3.2.5 - Laws concerned
#"Law 493/93 (art. 11): Urban Rehabilitation Programme denominated Neighbourhood Contract
#"Call from the Ministry of Public Works (D.M. 22.10.1997) for proposals for allocation of
Residential Building Committee (CER) funding for experimental housing
#"Law 236/93 (funding managed by North Milan Development Agency).
IJ.3.2.ô - Ceneral description
The process of participative planning and the action programme were characterised by three key
- Improvement and integration
- Involvement and participation
- Experimentation and change.
In consideration of the objectives adopted, the Neighbourhood Committee requested intensive
planning work to make all the actions envisaged possible and to improve the preliminary project, co-
ordinating its contents and adjusting them to the specific demands of the actors involved in the
This activity required the design of a specific strategy on both the organisational side – through
structuring the process in integrated discussion round tables – and on that of modalities of working,
through participation by the neighbourhood’s inhabitants and associations and the involvement of a
great number of public sector, private sector and non-profit organisations at local and non-local levels.
For rehabilitation of the apartments attention was focussed on the possibility of bringing the
technical project into line with the requirements of the families involved in the “mobility plan”.
Detailed consultation with the families and the prior completion of fifteen new dwellings made it
possible to install a dialogue between technical personnel and tenants which proved of value for the
subsequent comprehensive restructuring project.
The planning of neh services for the neighbourhood was also enriched by specific joint planning
round tables which made it possible, thanks to work done with the local associations, to complete the
technical project in parallel with innovative models for management.
The S.Eusebio Neighbourhood Contract selected:
#"The Neighbourhood Laboratory, in which all those actors who have signed the Contract
participate, as the central site for proposals and for auditing of the project;
#"The Co-ordination Group, comprising the Neighbourhood Contract Office and external
consultants to the administration, as the body for technical and design support.

The Neighbourhood Laboratory is understood as the local institution created to implement the
Contract through direct involvement of its signatories. It is a place in the neighbourhood that:
#"constitutes the point of reference for everything involved in the Neighbourhood Contract
#"discusses and sets the programme for all the main Contract activities.
#"represents, the substantive possibility for the local actors to pursue the processes for improvement
of living conditions in the neighbourhood after the end of the Contract, strengthening the
processes started in the programme implementation stage.
#"assembles the participative activities to complete and define the contents of the various projects
that make up the Contract.

The Municipal Administration has been nominated as the Co-ordination Group, the co-ordinating
and service organisation to perform the following activities:
- in an initial phase, an investigative and organisational planning activity to translate the Contract
into a feasible and co-ordinated project;
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- in a second phase, technical and planning support to the Neighbourhood Laboratory, to check
on the state of advancement of the works and act as a link to the various governmental and non-
governmental actors;
- in a third phase, completion of the executive project, with an activity of monitoring and strategic
management of the project.

The Neighbourhood Contract Office, comprising its manager, a technician, a social worker and a
person with administrative tasks, working closely with the consultants, has ensured implementation of
the actions envisaged by the Neighbourhood Laboratory and supervised the complex activities,
keeping them constantly aware of the need to comply with the timing for the funding.
This organisational structure has thus far made it possible to manage the process effectively, holding
closely to the general objectives, adapting the project to the requirements of its intended beneficiaries
and overcoming some critical problems regarding the co-ordination of the timing of the project.

In addition to the CER funding (17 billion lire), further funding is expected from the Lombardy
Region, the municipality, and the Lombardy Region business organisations (Unioncamere-Apa-
IJ.3.2.7 - SD 1arget concerned
To improve the quality of the local environment: To improve housing quality
To ensure diversity: To ensure the diversity of the population
To improve integration : To increase the levels of education and job qualification, To improve access
for all residents to all services and facilities of the city by means of an easy and non expensive
transportation mode, To improve the integration of the neighbourhood in the city by creating living
and meeting places for all the inhabitants of the city
To reinforce Social life: To improve social networks and social capital
IJ.3.2.8 - Participation procedures provided for
Right from the earliest stages, the participation of local actors in the evolution of the process has been
very important and has been structured into various degrees of involvement.
The process is in fact supported by:
- An information and communication plan covering the different phases of the project (with
newsletter, one-off communications and specific meetings)
- Meetings of different kinds aimed at building relationships of trust and if possible common
- Formation of open project structures to determine the project content and strategies.

The functioning of the Neighbourhood Laboratory is entrusted to different forms of involvement of
the inhabitants.
For collective participation on specific objectives there are four work sub-groups:

The group’s aim is to plan ne; spaces and ne; activities to promote integration ;ith the territoryF
The group’s activity consists in a process of enlarged planning that focuses the attention of the actors
involved first on the question of strengthening relationships between the social housing, the
neighbourhood and the city and then on the identification of innovative services through which to
promote greater social cohesion.
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The actors involved are: Neighbourhood Laboratory, inhabitants, Cinisello Balsamo library, primary
& middle school parents committee, primary schools, middle schools, and the social and education
department of the municipality.

The group’s programme is centred on the search for and construction of local strategies for selection
and implementation of active employment policies.
Finding and starting a job, development of new enterprises and promotion of new actors in the market,
introduction of ways of facilitating access to work of the weaker categories (in particular the young,
women and the disabled) have been features of the Employment Group’s activities in the
Neighbourhood Laboratory.
The actors involved are: Neighbourhood Laboratory, inhabitants, North Milan Development Agency,
Cinisello Balsamo – Sesto San Giovanni Employment Centre, and GIOC

The group addresses and discusses the topics of rehabilitation of the dwellings and the “mobility
In particular the group studies and makes decisions on extraordinary maintenance and restructuring
aimed at improving the quality of the current dwellings and a series of modifications to the structure of
the buildings aimed at greater flexibility in meeting the varied needs presented by the current
inhabitants and the more general demand for social housing
The actors involved are: Neighbourhood Laboratory, ATER, State Police local unit, Municipal Police,
Social and Education Department, SICET, Housing Office, Inhabitants

The purpose of the work group is to organise and advertise instruments and initiatives for
communication and information on the topics covered by the Neighbourhood Contract and
organisation of animation activities designed to involve the inhabitants in the process of rehabilitation
including through sports and games.
Specifically, the group’s objectives are:
#"To provide clear and prompt information on the progress of the project
#"To maintain a live involvement of the inhabitants in all phases of the project
#"To attest and exploit the results of the rehabilitation process as they are achieved

Of the various activities performed by the group, the following should be mentioned:
#"The first information product prepared was the Suestionnaire on the home addressed to the 288
families living in the "Palazzone" and aimed at providing an initial foundation of knowledge,
collection of data and analysis of the demand from the inhabitants in relation to the transformation
work planned for the block. The questionnaire was distributed in the ambit of an intensive
presentation of the project in a series of 15 public meetings, one for each stair. About 80% of the
questionnaires were returned and provided much valuable information. The questionnaire was the
first step in a gradual process of gaining the faith of the inhabitants in the possibility of a real
process of rehabilitation of the neighbourhood.
#"Meetings in the form of assemblies in which the institutional actors took part officially according
to the need for public debate of controversies and conflicting positions and to sanction the
positions and intentions of the various actors
#"Festivities with animation to “celebrate” the fundamental steps in the Project.
#"The Neighbourhood Contract Nehsletter, a periodical entirely prepared with the direct
involvement of the work group. The current print run is about 1500 copies, though the number is
rising as the number of those to whom it is sent increases. Special attention is given to the
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distribution of the newsletter, which often becomes an occasion for dialogue with the inhabitants,
for updating on the next steps in the project and extending and renewing invitations to take part in
the activities of the Neighbourhood Laboratory.
#"Instruments for one-off communication, materials such as posters and leaflets in support of the
newsletter, used by the project for focussed attention on various aspects that emerge as the various
activities are performed.
#"Other activities such as preparation of the Guide to moving house as a support to the families
involved in the “mobility plan”.
On this aspect the Tenants Association plays a significant role as a bridge between the requirements of
the project and those expressed by the tenants.

IV.3.3 - Urban Rehabilitation Programme (PRU) at oAcilia-Dragonap
IJ.3.3.1 - Field
The "Acilia - Dragona" Urban Rehabilitation Programme covers a neighbourhood in the south-east of
Rome, lying between the river Tiber, the Roman Littoral Reserve Green Belt, and the Via Cristoforo
Colombo. The neighbourhood concerned has about 38,000 inhabitants and many public sector
building plans. The decay has been caused by the random way in which the area has been urbanised,
the inadequacy of the road network, and the parcelling of the green areas.
IJ.3.3.2 - Period of implementation
1999 – 2001 (Resolution N° 13 approved by Rome municipal council on 8 January 2001)
IJ.3.3.3 - Objectives
The actions, financed from public and private resources, are aimed at improving the quality of urban
life. The programme aims to introduce new ‘micro-centres’ to provide an identity for each place
through organisation of recognisable urban units that establish a system of central functions, both
public and private. The priority objectives are accessibility and mobility within the environment,
provision of local services and re-establishment of environmental continuity between the green areas
of the neighbourhood and green areas at the metropolitan level.
In addition, action is being taken on the school facilities, which are considered as locomotives for
urban and social rehabilitation. The schools have been connected by protected footpaths and cycle
tracks to public and private services, greenery and piazzas, so as to create routes to enjoyment of the
city that contribute to rehabilitation of the neighbourhood.
IJ.3.3.4 - Actors involved
Rome municipality
Lazio Region
IJ.3.3.5 - Laws concerned
Art. 11 of Decree Law N° 398 of 5 October 1993 converted to Law N° 493 of 4 December 1993.
IJ.3.3.ô - Ceneral description
The Programme provides for the construction of an underpass linking the north and south of the
neighbourhood, for the equipping of a great park at the entry to the Littoral State Reserve, the
construct of the new ward office at Palocco and of the Palace of Music at Dragona, as well as a great
number of projects for road improvement in Acilia. Specifically, the programme provides for 74
actions, of which 21 private – with a total capital expenditure of 521 billion lire, of which 159 billion
assigned to public works and will involve an area of over 934,569 square metres.
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The public sector actions
The programme finances 54 new public works.
Among the infrastructures to be built, mention should be made of the underpass under the Via del
Mare as a link between the northern and southern parts of Acilia, and the road network that reconnects
Via di Dragoncello with Via delle Case Basse
Among the principal public services to be provided, the following should be mentioned: the new seat
of Ward XIII, functionally connected to the Acilia-Dragona railway station and the corresponding car
park, the municipal library and a public swimming pool, the Palace of Music, two school campuses,
two kindergartens and a day care centre on Via Amato and Via di Macchia Palocco, and the
restructuring of three farmhouses as multipurpose civic centres
Among the actions for improvement of the environmental system mention must be made of the Monte
Cugno Park, the Dragona Park and the San Paolo Park, ‘green lungs’ all bordering the Roman Littoral
State Reserve and the river Tiber.
The whole of the urban rehabilitation area is criss-crossed by a network of pedestrian and cycle paths
that connect the schools with the piazzas, the parks and the new public and private services.
The private sector actions
There are a total of 21 private sector actions. In addition to houses, these include some important
services: a health facility for the elderly and a hospital, four cinemas, two banks, two shopping centres,
a hotel and a country holiday business with facilities for nature tourism. The private housing and
services integrated with the public services create new urban polarities with a balanced distribution in
the rehabilitation area.
IJ.3.3.7 - SD 1argets
To improve the quality of the local environment: To improve air quality, To reduce noise pollution
To ensure diversity: To ensure the diversity of functions
To improve integration: To increase the levels of education and job qualification, To improve access
for all residents to all services and facilities of the city by means of an easy and non expensive
transportation mode, To improve the integration of the neighbourhood in the city by creating living
and meeting places for all the inhabitants of the city, To avoid unwanted mobility and To improve the
environmentally sound mobility infrastructure
To reinforce social life: To improve social networks and social capital.
IJ.3.3.8 - Procedures envisaged for participation
The formation phase of the programme was accompanied by a continuous process of consultation of
the public and of business. To that end, the Urban Projects Office and the USPEL (Office for Special
Participation and Laboratories) organised two workshops at Acilia within the "Local Agenda 21 -
Forum", on 16-17 June and on 30 September 1999. These meetings identified the public works and
projects that the local community considered essential for a systematic programme of urban
rehabilitation and sustainable local economic development. Businesses from inside and outside the
area also took part in these meetings. Participation is not in fact aimed at specifying the primary
services of support for urban life but at connecting expectations to the economic development brought
in by the businesses. A further contribution to the formulation of the PRU was made by the local
school community. The Urban Projects Office with the Office for the Zoning Plan for Infants
envisaged the creation of two school Campuses at Acilia. In the context of the current educational
reforms, the programme provides for the restructuring of school buildings to meet the requirements of
the new system, modifying the spaces to meet the new needs and improving relations with the
surrounding area. In the course of some of the meetings held in schools, the pupils redesigned the
travel routes that connect the school to their homes and the most important places in the
neighbourhood: piazzas, gardens, shops and churches. Part of the programme was based on these
suggestions: the gardens of adjoining primary and middle schools were combined to form campuses
where the children can play, study, meet and grow together.

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The main barrier to participation in urban planning can be found in the Italian cultural and political
tradition, in which the role of public administrators within the civil society is completely different if
compared with the legal traditions of the Anglo-Saxon countries.
In Italy there is a clean separation between public power, which is unilaterally based on the authority
of State, and citizens.
Till ten years ago, any kind of agreement between public administrators and social actors was
excluded from the good public practice since it could be seen as a mean to promote private interests
instead of “public and general interests”; public administrators had to be impartial, founding their
actions on impersonality and proceedings controls; the weakest actors of civil society could express
themselves only participating to recognized political activities and through the voice of their political
The concept of “public and general interests” was not related to contingent situations and was not
derived from the participation of inhabitants to the administration proceedings; the citizens
expectations and ideas had to be carried on by their elected representatives; their interests, preferences
and motivations were considered in an abstract way to reach rational and neutral decisions.
Therefore citizens are not used to give their personal opinion on urban planning acts, and it’s hard for
them to participate to public debates because they feel unprepared to discuss on “technical” topics;
moreover the local stake holders are not recognized by law as bearers of private and public interests.
Another problem is related to when and how information on public proceedings is given; generally
citizens are informed when the most important decisions have already been taken and the means used
to put them to public knowledge do not always reach all the citizens that should be informed.
A third problem can derive from the involvement of planners and other people in charge of the final
solutions: participation requires a more direct involvement to inform, debate and share the decisions;
this needs much more time and commitment than the traditional planning procedures and usually
administrators are reluctant to allocate funds to promote this new process.
Many times local administrators do not have enough money to finance this kind of projects since
municipalities have scarce financial autonomy since in Italy the main taxes are imposed by the state,
which gives funds to regions and municipalities.
As it was explained in the previous pages dealing with the Italian legislative context and some cases of
best practice, this tendency is progressively changing also in Italy.
As a matter of fact, the first step towards a different involvement of citizens in public acts can be
found in the law n.241/1990: according to this law, public administrators can reach agreements with
private stake holders, without detriment of third-party interests, to determinate the discretionary
content of a final decision.
The limit of this and other laws which claim for participation of citizens is that they do not indicate
procedures and methods to be followed in order to put in practice the participation principles.
Another step towards participation can be recognized in the direct election, established by law in the
same period, of town mayors, who can choose the members of the executive among experts, which not
necessarily come from political parties; they must act as managers of a majority, personally vouching
for the administrators efficiency, without the mediation of political parties; more and more often they
have to negotiate with the population.

Our proposal of recommendations is derived from the cases of best practice described in the previous
chapters; we hope that more detailed methods will be included in the next laws dealing with
environment an urban planning.
The participation of inhabitants is very important in the process for a sustainable renovation of
neighbourhoods and buildings, since it can be reached only through changes in individual and
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collective behaviour; this can happen – as we already stated - if individual members of the public,
social and economic organisations are convinced of the rightness and practicability of the objectives
proposed, and if they feel themselves in some measure responsible.
Therefore wide and correct information should be given, possibly following a communication and
information plan, at an early stage of the neighbourhood renovation plan, pointing out the strong and
weak aspects resulting from a first inventory of the situation: different means can be used to reach, as
far as possible, all the actors involved: local newspapers, posters, meetings, letters to single citizens or
organized groups, including schools.
A second phase is related to the investigation of needs and wishes of the inhabitants and stake holders,
which can be collected through questionnaires and workshops with small groups of participants, in
order to give a chance to all of them to express their opinion.
A third phase should lead to detect the basic targets that will inform the planning procedure, and other
debates should follow, in order to choose the best solutions with all the actors involved; the renovation
plan should be the final act.
It must anyway be cleared who will be responsible for the technical solutions, that should be
practicable in terms of time and costs: the experts are in charge of estimating the feasibility of
different solutions, compatibly with the disposable funds.
In the choice among different solutions, better chances should be given to the ones having proved
sustainability contents.
The participation of citizens in planning procedures at the neighbourhood scale should be seen not
only as the right to express individual ideas, but as a direct assumption of responsibilities in the
management of public services, facilities and spaces.
This requires a different approach to planning procedures: a more flexible local planning, envisaging
the future phases of carrying on and managing urban renovation, should be achieved in place of an
abstract zoning, suitable to any situation; this process is based on the definition of a strategic plan,
more than a rigid development scheme.
Local consensus should be acquired during the whole process of definition of urban renovation plans;
this requires the presence of new figures of planners – facilitators; on the other side local
administrators should promote new partnerships in order to carry on all the possible procedures aimed
to reach a sustainable development of the local situation.

#" Pier Luigi Crosta ( a cura di ) YDurbanista di parte, Angeli, Milano 1974
#" Giulio T. Curti Ya partecipalione nella politica per lDambiente [orme giuridiche ed aspetti
culturali, sociali e politici – Tesi di Laurea , Universita’ degli Studi La Sapienza Roma, AA
#" Marina Alberti, Gianluca Solera, Vula Tsetsi Ya cittaD sostenibile f Analisi, scenari e proposte
per unDecologia urbana in Europa, Franco Angeli , Milano 1994
#" Pietro M. Toesca Qanuale per fondare una cittaD Eleuthera, Milano 1994
#" Franceso Tonucci Ya cittaD dei bambini, Laterza, Bari 1996
#" Raymond Lorenzo Ya cittaD sostenibile 1 Partecipalione, Yuogo, ComunitaD, Eleuthera, Milano
#" Marianella Sclavi Avventure urbane f Progettare la cittaD con gli abitanti, Eleutera, Milano 2002

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In the Netherlands participation is mainly organised on local level and dependant on local initiatives
(sometimes on Agenda 21 initiatives).
In the Law the right of consumers has been laid down via a public inquiry based on the Plan law
and/or Wet Milieubeheer (Law on environmental Management). This is a passive and formal right,
where individuals have the right to oppress within a certain period. However, for those who are well
informed, it gives quite a lot of power to influence (or even obstruct) legal procedures and plan
developments. Needless to say that the procedures are often not resulting in a common point of
understanding and co-operation and more or less leads to confrontation and frustration.
The rights of individuals/consumers are not regulated in one law, but are spread over laws where these
rights are relevant to be regulated.
This fragmentary approach makes the situation for use of these rights not easy, but on the other hand
gives the possibility to induce all sorts of local initiatives. These results in a numerous pluriform and
creative approach on regional and/or municipal level, based on more or less democratic/participation
The relevant laws, giving formal rights to influence rehabilitation plans are:
• Wet Ruimtelijke Ordening (law on land-use planning)
• Wet Milieubeheer (law on environmental management)
• Bestemmingsplan en Bouwvergunning (municipal licence for building)
• Monumentenvergunning ( law on protection of monuments)

These laws are permanently being updated and comprise matters such as:
Air pollution
Water pollution
Soil pollution
Sound pollution
Safety contours
Use of land
Energy performance rate
Prohibition of use of certain materials
Protection against the waste-handling of risky materials (e.g. Asbestos)
Protection of green areas (Flora and Fauna).

These items are mostly complimented on local level (Masterplans) directed towards the main items:

And themes like:
#"Extra energy saving measures
#"Application of PV cells and thermal sun energy
#"Applications of other durable energy applications
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#"Application of combined Heat and Power plants and the application of large district heating
#"Rainwater handling inside plan areas
#"Designing of compactness of living areas
#"Improving combinations of working and living
#"Improving public transport
#"Improving pedestrian and cycle traffic
#"Handling of soil within the area
#"Preventing of building waste
#"Improving the use of environmental friendly materials
#"Improving the use of passive sun energy

The local initiatives on participation are numerous and fragmented. This was mainly caused by
initiatives in the 1980th, where in Holland already large energy saving plans were developed and
executed. Especially the Dutch Agency on Energy and Environmental matters (NOVEM) was very
active and designed a structure for these plans (GEA – Gestructureerde Energiebesparings Aanpak).
Within this structure the design on local level of a communication plan was a necessity within a total
“open system”. So local experience, insight, willingness and the political situation, were determining
factors for the design of these communication plans.
In September 1992 the Ministry of VROM and Foreign Affairs published a general brochure on
Agenda 21 to initiate local initiatives. However, the adaptation of Agenda 21 (a dialogue between
Government and inhabitants/organisations) was not so wide spread due to already existing initiatives.
So this opportunity for a certain nation structure for local plans was not relevant (the disadvantage of
being ahead).

V.2.1 Synthesis of local initiatives / The Leidsche Rijn approach
The Plan of Communication Steps, designed for the largest new built area in the Netherlands
(Leidsche Rijn: 30.000 dwellings, 700.000 m
office space and planned inhabitants per 2010/2015:
100.000) gives a good overview and is representative for local approaches. This plan has been
organised as follows:

The plan comprises the following:
$"Communication strategy
$"Communication objective and inventory of actors
$"Communication means
$"Communication channels
$"Preconditions and “rules of the game”
$"Communication per target group
$"Relation to the Masterplan and the ground policy
$"Communication per step
$"Communication tasks and responsibilities
$"Workgroup communication

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The communication phases (steps) are:
ô. First draft of the communication plan.
This plan will be drafted by the steering group and discussed in the municipal administrative and
political organisation.
1. Programmes scenarios with routing
2. 1he spatial plan concept
3. Financial feasibilitv
4. 1he concept-Masterplan

The steering group decides to publish the plans for presentation and comments.
Presentation to the political organs (Raadsommissies, College van B & W and Gemeenteraden).

A large number of presentations to
- Official services
- Public utilities
- Actors on the market
- Inhabitants and interest groups
- Etc.

The plan will be exhibited and the reports may be seen and distributed.
Reactions, comments and recommendations are being collected and provided with recommendation
for plan adaptation.
The steering group decides on the recommendations.
Steering group
Project group
Uorking group Communication
and Media
Regional Municipal services Private actors Administration
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5. 1he procedure for the definite Masterplan (steering group and policv organs)
The tasks and responsibilities are:
Qembers of the steering group: responsible for the communication between project organisation and
the political organs and the media
The pro-ect manager has the end responsibility for the communication between the project
organisation and: The steering group
All actors involved excluding administrative (policy) bodies
Media (in close consultation with the steering group)

Contact officials are responsible for the communication between the project organisation and the
official services and platforms. They always have to report to the project manager.
The contact officials are grouped in the working group “Communication”. Chairman is the project
manager. An information officer/spokesman is member of the working group.

Tasks of the working group:
%" Tuning of the different communication expressions
%" Supervising the different communication expressions (to fit into the strategy of the project
%" All publications have to pass the working group
%" “Antenna” function for all (external) information related to the project
%" Supervising all communication for and by the project organisation. Information of insufficient
quality will be observed and corrected in close consultation with the persons/bodies concerned.
After the Masterplan has been concluded the working group “Communication” will (amongst others)
initiate the following actions:
%" Development of procedures and quality requirements for communication-expressions (with
supervising task)
%" Drafting of a communication planning
%" Drafting of an information plan in which the format of decision documents and assignment of
duties are being elaborated.
V.2.2 A representative case: the Thermie-plus approach in the City of
The Thermie plus
In this paragraph a communication and information strategy will be presented that has been tested in
the Netherlands.
The strategy can be summarised as “organising the supply side”.
The main starting point is that communication is not effective when different messages, spread
through time, are sent to the target group.
J.2.2.1 1arget group
The target group in this strategy is said to be hard to reach: the private house owners.
The reason why this group is so unattainable is that it’s not homogeneous. It is a gathering of
individuals with a diversity of interests you have to touch on to make them invest in energy saving
measures. In consequence the initiator of a project (e.g. a municipality) has to invest rather a lot to
approach each member with the right incentives, to gain energy savings that can’t be expected to be
enormously (like in big offices for example). In other words: because efficiency is expected to be low,
the private house owners often are the last ones to be chosen as a target group.
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The private house owners, on the other hand, experience difficulties as well. All kinds of different
institutions, firms and consultants offer their services. All kinds of possible saving measures,
technically advanced and quickly developing are recommended. It would be a daily task to sort out all
the information, and, on top of that, find financing on favourable terms.

J.2.2.2. Elements
That task is to be taken over by Thermie plus
. In this approach combining finds place to create a
“one-face” principle towards the client. To that end the following actors are brought together:
• Institutions like the government, municipality’s and government companies
• Firms like utility companies, banks and consultancies
• Executors like suppliers, building contractors and installers

To complete the organisation of the supply side, co-ordination of the financial aspect is added, existing
• Bank loans (attractive green financing)
• Government subsidies

The “one-face” principle created thus still has to be presented to the target group in an efficient
manner. Thermie plus
developed a system in which the following considerations are taken into

The biggest incentive to save energy is financial profit
• People often do not have the money for energy-saving measures, so subsidies and good financing
are important.
• There has to be one intermediary between the supply side and the client.
• The whole process must be as comfortable and flexible as possible for the client.
• The communication has to be as personal as possible and frequent, dealing with all items
combined in one message.
• One has to create a positive image of energy saving.

The heart of the system is direct mail, based on a databank. All the information is thus being gathered,
processed and verified in one place.

J.2.2.3 Procedure
The procedure exists briefly of the following steps:
1) Invitation
The house owner receives a personal letter. If he or she answers, a confirmation of the information
gathering where he or she is expected will be sent, including alternative dates.
If he or she doesn’t answer, a reminder is being sent. It is also possible, all along the process, for
people to volunteer spontaneously in the project.
2) Information
At the information gathering the visitors get information about the offer and the process of the
project. There is also the possibility to speak with the executing firms. The visitors get a file with
information including a present and an application for an offer.
People who do not come to a gathering, but have indicated that they are interested, get a file by
3) Uffer, personal energy1saving consult and helpdesW
The owner can get a consult for energy measures free of charge, if he or she returns the
application. If the application is not returned, a reminder is being sent. The contractor and/or
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installer visit(s) the house, energy-measures are calculated and a final offer in the form of an
energy saving consult will be sent. The owner now has an insight in the pay-off time per measure.
Participants, who have questions or complaints, can contact a helpdesk.
4) Confirmation of offer, financing and execution
The owner can confirm the final offer. Due to scale-effects, very competitive prices can be
claimed. A further advantage is that some measures are subsidised. A reminder is being sent if the
owner does not confirm.
Together with the confirmation, the owner can send in an application for a loan on favourable
The contractor and/or installer implement(s) the measures. The owner can be sure that these
measures meet the regulations of utility company’s, municipality’s etc.
5) Payment and subsidies
When the work is finished, bills from the executioners are verified and sent to the owner. Good
warranty conditions are agreed on. The subsidies are calculated and paid into the owner’s bank
account. He or she receives a confirmation of the calculation.

The procedure is being accompanied by a strong publicity strategy that includes at least the following
• An official kick off meeting with VIP’s.
• Articles and advertisements in local media.
• Additional advertising (billboards, stands at festivities etc.).
• A slogan, a logo and a symbol/image based on a local landmark, recurring on all communication
and publicity materials.

J.2.2.4 Competition
It is essential that, although the supply side has been organised, the competitiveness will be
maintained. Therefore the contractors/installers are being selected on the principle of a tender-
procedure with all the necessary specifications. During the project there is a half-yearly inspection
whether the prices and terms still match the conditions of the actual market.

Case: Thermie plus
project in the city of Utrecht

The Thermie plus
project in the city of Utrecht is part of a larger co-operation-project between
Utrecht and Hannover that was initiated in 1992.
Because the Hannover project is more concentrated on technology, whereas in the Utrecht project the
essence is communication, the results of the latter are reflected below.

J.2.2.5 Project description
After successful demo-projects (1992-1995), the Thermie plus
project started in 1996.
The target: mailings to 21.000 houses, in 3 years time
The organisation is co-ordinated collectively by the municipality (assisted by a consultant) and the
utility company. An advertising agency takes care of publicity materials and a direct marketing
company keeps the databank.
Addresses are selected by looking at the quality of the houses. The state has to be reasonable or good,
because investments in houses of lesser quality are expected to have little value.
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Then quarters are put into a mailing order. The demoprojects had shown that mailings per quarter are
more effective then a more widely spread communication. Depending on criteria like the amount of
private owners, the state the houses are in, renovation plans etc, quarters get a higher or lower priority.
Mailings are sent according to the priority list with a frequency of a 1000 per month, 8 months a year
(due to holidays 4 months are excluded).
The offer comprises the following measures:
• Roof isolation
• Floor isolation
• Wall isolation
• High efficiency glass (double glazing)
• High efficiency boiler
• Central heating
• Solar boiler

J.2.2.ô Results
Analyses of the results were made one and a half year after the start. One has to bear in mind that the
mailings close to the analysing date could not have come into effect yet. The time span between
mailing and effect is at least 6 months.
12619 mailings were sent by then and 1021 (7,5%) owners had spontaneously volunteered (a total of
13640 = 100%).
921 (6,8%) of them had visited an information gathering and 1649 (12,1%) had asked for an
information file by mail. That makes a total of 2570 (18,8%) people who received an application form
for a consult.
1521 (11,2%) actually returned the application. 1319 (9,7%) offers were consequently sent and 494
(3,6%) people confirmed the order. Already 415 (3%) times the bills were sent, which means that the
work was finished.
By September 1997 the energy savings resulting from the Thermie plus
project amounted to 306.000
gas. A CO
-reduction of 544.000 kg was accomplished.
On the basis of questionnaires satisfaction was measured.
80 % of the participants were satisfied with the project. The Thermie plus
project was often said to be
the extra push people needed to take energy measures.
In reference to communication it turned out that the project sold itself because participants spoke well
of it to others (7,5% spontaneous volunteers!). Apart from that, the mailing was rather notable,
considering that almost all the participants remembered getting it. Two third of them even read it.
The information file, like the information gathering was given a valuation of 7-7,5 (on a scale of 0
The project, finally, was considered a whole package by 75% of all participants.
There were also some bottlenecks:
• Poor client contact. The solution would be education for the contractors / installers.
• Lack of active follow-up. The solution would be acquisition by the helpdesk.
In conclusion one might say that, although final evaluations still have to be made, the
Thermie plus
approach is very promising in reaching a group as unattainable as private house owners
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V.2.3 Agenda 21 in the Netherlands: the Apeldoorn and Zoetermeer
Due to already existing initiatives special actions according Agenda 21 procedures are not so wide
spreaded in the Netherlands, although references and timing are numerous in all sorts of local
communication plans.
Agenda 21 activities were, if applied, mostly organised as an addition to the existing municipal
organisation and “manned” by an official, who was newly appointed.
Financial restrictions, a missing of authority and a lack of integration into the existing municipal
organisation were factors, leading to only limited activities and results from Agenda 21-initiatives.

J.2.3.1 1he Zoetermeer case
The City of Zoetermeer organised a local Agenda 21 activity with success. In a brochure (5000 ex.)
organisations, interest groups and individuals were invited to react and the dialogue has been started
and kept up.
The oone-facep principle tohards the client
One co-ordinated message
Utility company
Intermediar Clients
© Copyright Ambit 2002
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The activity was separately organised as a special task from a separate office within the
communication department.
In the introduction successes in environmental activities in the industrial area (Siemens/Bols) were
presented as examples that a lot is possible by individual initiatives. The support of all concerned is
essential to obtain results. A sustainable development is necessary to build and maintain a liveable
Therefore the local Agenda 21 has been launched (1998) by the Mayor (dr. Luigi van Leeuwen),
alderman of environmental affairs (mr. Roy van Hek) and the project co-ordinator Local Agenda 21
(mr. Pieter J. Goedhart).
The activity was addressed to inhabitants, youngsters and children, entrepreneurs, institutions,
organisations, interest groups and individuals.
The inviting slogans were: “Samen werken aan een duurzame wereld!” (Working together on a
sustainable world) and “Samen in dialoog” (Together entering a dialogue).
The municipality has not determined what items will be discussed. Anyone, including the
municipality, can and will indicate the themes to be discussed so that more knowledge will be gained
about what everybody has in mind. The municipality promised to make the results of the dialogue
visible in her policy.
The call said:
“The dialogue will at last lead to concrete projects and activities related to a sustainable development."
To reach this objective we ask you:
%" To give an active support to the drafting of the Zoetermeer Local Agenda 21
%" To take an active part in the execution of the plan
%" To accept the consequences of the execution of the Zoetermeer Local Agenda 21
%" To respond to the call

The respond was quite satisfactory and resulted for instance in pilot projects in new-built areas; in the
start of a local Energy Agency; in Energy saving information activities towards schools and others.

J.2.3.2 1he Apeldoorn case
The activities in the city of Apeldoorn can be compared with the Zoetermeer case.

Local Energy Agency supported the activities and projects towards schools, renovation of apartments,
energy saving for individual households, were initiated. A letter of intention has been signed (2000)
with main actors in the field of energy supply and waste handling to co-operate in the project:
“Apeldoorn 2020; the sustainable City”.

It can be said that initiatives are numerous and positive and vary a lot on success or not. Local
initiatives are often “chaotic” and sometimes do not pass the “drawing board”. The local initiatives,
looking to creativeness and professionalism, have often a good quality. However, they often lack a
good underlying organisation (directed to real application) and wide organisational acceptance.

It is general understood and recommended that:
%" Preparations should include a wider acceptance of sustainable initiatives in municipal
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%" The gap between reporting on initiatives and actual site-execution must be closed, this mainly to
be achieved by two general measures.
• Involving of execution- departments in the preparation of sustainable initiatives.
• Discipline in the preparation departments to report on initiatives in readable
documents which are logical interdependent and developed in an administrative
orderly way.
• Implementing accepted sustainable principles and specifications in the management
procedures on the site, including the “must” to report on these matters (monitoring).
%" In general: communication lines must be improved and the image of the activities must be positive
(by publications, demonstrations etc.).


#" REMU Informatiemap “Utrecht doet energieverspilling de das om”
Hoek, A. van der en

#" Veenman, J.C.M. Buurtgerichte Voorlichting en Energiebesparing (1986)

#" A.P. Slump/Ambit/ Communicatie als energiebesparingsmiddel (1994)
Twente University

#" Gemeente Utrecht Jaarverslag 2000: Dialoog in de Stad

#" Gemeente Zoetermeer GEA Informatie Milieucommunicatie – doelgroep scholen (1996)

#" Projectgroep Leidsche Stappenplan/Communicatieplan (1994)

#" Stadt Hannover Activities of the City of Hannover towards a local Agenda 21 (1998)

#" KUKA Hannover (Kronsberg Umwelt Kommunikations Agentur 2000)
Wohnen auf dem Kronsberg: Informationen für Hausbesitzer

#" The European Environmental Education and Training – Agenda 21 (chapter 36)

#" Gemeente Apeldoorn Energiebesparing “Apeldoorn weet van wanten” (Agenda 21/2000)

#" Gemeente Zoetermeer Lokale Agenda 21 – Zoetermeer (1998/1999)

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VI.1.1 - Introduction
The participation of citizens in urban planning is established by La Ley del Suelo 1975 (Land Law / 1975).
During the first 25 years of democracy in Spain the legislative context concerning this point did not
improve very much. The different regional laws adapted the same framework in its regional laws and
regulations, but without great differences.
The law establishes the ways and moments of this participation, during the process of elaboration of a plan,
generally a municipal general plan. The law doesn’t explain the mechanisms of information, but also the
way the citizen can audit or operate on the elaboration, proposing and doing suggestions, before the
definitive approval of a plan.
The mechanisms of participation are not much. The period of information is short and there are few
mechanisms of publicity. But other important problems that obstruct the actual model of participation is
that the basic causes and motivations of citizen are often the particular problems of property, etc…and
there is not a developed recognition of a plan as a collective project, also promoted by the great distance
between citizens and the techniques that elaborate the plans.
So, we think that the problem of participation in urban planning processes is not only a problem of laws,
but a problem of education and belief of the collective projects.
The new Catalan law 2/2002 of urbanism, without meaning too many changes, tries to improve the ways of
information and the public discussion related to planning. A new document ‘Programme for citizen
participation’ is necessary to be developed before the approval of a municipal plan.
VI.1.2 - The participation of inhabitants in the municipal general plan
The POUM (Municipal urban vOrdinationm Plan) is the main figure of urbanism in Catalonia. It is a
general plan, elaborated by each municipality that has as main objective to describe and classify the
use of its territory. This general plan, defining the general framework for the future urban development
of the municipality, has to be complemented by more particular plans (partial plans, special plans,
plans of internal renovation,…), as it is described in deliverable 12. The three main groups in which
the territory is classified are the following ones:
- Spl urbq B^rban land b groundEa The land that is integrated in an urban area and has all the
infrastructure. In this point we find the definition of different concepts, like for example
‘plot’ (of ground), the piece of ground that have the conditions to built on it,… It defines
which are the minimal urban infrastructures / services and introduces new variables to be
considered. Inside this group the law distinguishes two groups: consolidated urban land (that
includes all the land integrated by ‘plots’) and non-consolidated.
- Spl no1urbanitlable Bland never suitable to build onEa This is an important point of the new
law, being very different by the State one, and already based on sustainable principles. ‘The
land that is not ‘urbanizable’ is not only the land with the conditions specified by the
Spanish/state law 6/1998, but also the land that ‘the planning determine taking into account
sustainable development criterions, based on the rational use of territory and the
improvement of quality of life’(article 28.1). The law distinguishes between delimited and
non-delimited ‘urbanisable’ land.
- Spl urbanitlable Bland suitable to build on in a futureE, and that not already integrate an
urban area. ‘The land suitable to built on it will be delimited taking into account the growth
forecast of each municipality and the sustainability criterions established by the territorial
plan: for this purpose we have to limit the sprawl in the territory and we have to favour the
continuity of the different networks.’ (article 29.2)
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On the other hand, the law defines the different systems to be considered apart of the previous
classification. The open spaces and the infrastructures are defined in that point.
The law also establishes that 10 % of the possible urbanistic profits of a concrete sector have to be
handed over to the public authorities (article 40.a). In addition, the POUM has to keep 20 % of the
possible surface for residential to built public/ social housing.
Every municipality, or a group of municipalities, can develop its own POUM, adapted to the local needs
and issues, but following the common criterions established by the territorial or director plans.
It is in the elaboration of POUM, when the inhabitants can have a more important role as participants of a
‘common and long-term project’, a project that affects the prospects of the private land and the future
action of the public authorities.
The elaboration of the general plan is very long and complex, not only from a technical point of view, but
also due to political and administrative reasons, until it is definitively approved. And this approval is not
always the real end of this long process.

VI.1.3 - Tho hays / motives of participation
The legislative contexts of urbanism regulate the different moments and ways participation during the
process of elaboration of a municipal general plan.
We can distinguish two different ways of participation:
1. Contribution in the definition of the project.
2. Defence of the private interests that can be affected by the project.
It is important to explain that the most used way is the one that is focussed in particular problems and the
way motivated by the wish to participate in the elaboration of collective project is not very used.
In spite of citizens become more aware of the importance and transcendence of the urban planning, the
actual formulas of participation established by law are not yet efficient participative mechanisms.
They can be more efficient when the field to deal with is quite small, a neighbourhood for example, but the
challenge is to find good mechanisms for the great decisions that affect a territory or a city.
Another important fact to consider is that the techniques in charge of the elaboration of plans, are important
agents to make easy the knowledge of the actions and decisions and they have to assume that the urban
planning process is a complex project that exceed the technical problems and it has multiple involvement in
many fields.
The strategic plans are tools conceived to involve the participation of representative agents in the
definition of the process. The development of a strategic plan at the same time that a general plan is been
developed, can make extremely easy a certain degree of citizen participation in the definition of main
objectives for a city.
When a plan is approved the citizens can express its disagreement through concrete administrative
VI.1.4 - Tho moments of participation
La Ley del Suelo de 1975, the ancient state law, established two moments for the introduction /
presentation of proposals by citizens. The new Catalan lah of urbanism 2/2002 introduces new tools and
mechanisms, but the ancient idea of participation / information is still prevailing.
The two moments in which citizens can be involved in the process of elaboration of the municipal general
plan are the following:
1. The first period of participation is when the technical part of a plan is enough developed to define the
main objectives and criterions of the general plan. These works, as well as the possible alternatives,
must be publicised in order that the citizens and agents could make suggestions.
2. The second moment of participation is when the technical project is finished and this is regularised
with all the necessary documents. The town council makes an initial approval and all the documents are
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publicised for a period of time in order that the inhabitants of the municipality can express, if they
consider it necessary, allegations and amendments.
During these two periods of information, the documentation of the project must be at the disposal of the
citizens that want to study them. In addition, the town council will be forced to admit, consider and inform
about the different writes and proposals that any citizen introduces during that period.
The kind of documentation publicised during the first period of information, including the first
presentation, the general criterions, the objectives, the alternatives,… is conceived in order to make easy
the participation of inhabitants, to be more understandable the different proposals.
The second period of information, as we explained, is done when the project is finished and it is more
focussed to solve concrete problems and particular affectations caused to the new planning. Every citizen
can study the affectations that the plan causes on its properties and can present amendments and
The different direction / meaning of these two periods does not obstruct that a citizen could always
introduce the written documents that he wants, and also propose for the technical project following the
collective interest.
In all the cases, the techniques involved in the elaboration of the plan, are forced to inform about all the
suggestions received, the allegations and the proposals presented by the citizens, and if it is suitable, they
have to propose the introduction of them to the final documentation, and if it in not, they have to argue the
When the amendments have to be introduced in the finished plan, that has already been approved initially
by the town council, if they mean important changes in it, the plan will have to be approved again and
therefore, publicised too. This fact, that often happens, explains that the citizens are an important clue in
the process of approval.

The scale of participation in the usual planning processes can be qualified between oinformationp and
oconsultationp in the terms of the Ladder of Citizen Participation. The individual citizen has tools to
‘participate’ giving ideas and defining objectives, but always after the first proposal given by the technical
team and the politicians. And those ideas, that appear late and most of the focused on personal interests,
are almost always rejected.

VI.1.5 - The neh Catalan lah of urbanism 2/2002
We don’t know yet the scope of this new law, but there are some specific regulations / articles that can
contribute to the improvement of participation in the urban planning processes. Some of them are
strictly linked to the participation of citizens, but others introduce some changes in the way to approve
or develop plans (the role of each public body) and, therefore have indirect consequences on citizens.
a. Improvement of the publicity of plans.
b. Introduction of new technologies (internet,…) as public window for the publicity and elaboration
of plans and projects.
c. Participation of citizens through the Cprogramme of citilen participationD in the elaboration of
plans. This programme is necessary to be developed before the approval of the POUM of a each
d. Creation of ‘Consells assessors municipals dDurbanismeD (Municipal assessment councils of
urbanism), local bodies that will inform and discuss in order to carry out the functions of social
coercion related to the processes of elaboration and approval of a POUM.
e. More competencies for the municipalities instead of the regional government. This implies an
approximation to citizen, since it is the town council the responsible public body that will be able to
approve some plans.
f. The creation of the PA^Q (municipal urban planning action plan), that is a plan that will be the
new framework of coercion between the local bodies and the regional one in order to have a
consensus for the land and housing politics for the future.
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The new measures established by the new law ‘sound’ good, improving the participation of citizens in the
elaborations of plans, improving decentralisation, …As a consequence improving vconsultationm over
vinformationm (in terms of the Ladder of Citizen Participation), but we do not know yet the results and the
real consequences of this recent law.

VI.2.1 - Uhat is an Agenda 21w
Itms the frame document that proposes and positions the institutions in order to frame
transversely their ohn actions ant to fit them in the hay to sustainability.
Agenda 21, document agreed on the 1992 at Río de Janeiro during the Conference of the United
Nations About Environment and Development (Earth’s crest), tries to promote environmental aspects
as a prior matter that affects the economic development and welfare of all Earth’s nations.
VI.2.2 - Description about an Agenda 21. The pattern of Manresa as an
(Basic objectives)
(Specific objectives)
(Specific projects to attain objectives)
Basic objectives on:
• Water
• Energy
• Waste management
• Environmental risk control
• Natural patrimony
• Rural space
• Urban space
• Mobility

The Agenda 21 for Manresa was approved in February 2000 at the Plenary Session of the City
Council, it’s a document which guides the City Council in formation of the framework for its
activities, and the adaptation of them to achieve sustainability
JI.2.2.1 - 1he Process of creation of an Agenda

JUNE 1996
APRIL 1996
JANUARb 2000

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In July 1996, Manresa City Council associated itself with the Aalborg Chart, thereby symbolising the
city government’s political will to work on local problems with a far-reaching vision which views
daily actions within the overall challenges facing the planet.
In April 1997 Manresa joined the nethork of cities and tohns tohards sustainability. This is a
programme of Barcelona Regional Council, which co-ordinates town and city councils that are
interested in moving forwards in their thinking and work regarding real policies that integrate
environmental problems with specific proposals for action. The Barcelona Regional Council instigated
the first Agenda 21 programme, of which Manresa formed a part, and then facilitated the funding for
Manresa to develop its own Agenda 21 programme.
To develop the environmental audit, in 1997 the process of information gathering was initiated at the
city council and in other administrations, as well as in private and public companies, and a database
was set up. Also, a monitoring commission was constituted, and the areas currently being considered
are communication and the tasks connected to information for technicians and social agents.
The environmental diagnosis is based on the integrated analysis of various factors, which revolve
around the three basic core areas: the state of environmental vectors, social and economic factors, and
environmental planning and management. The plan of action is formulated, through which the
proposals for action are defined and grouped into programmes and strategic lines. The bodies
involved, estimated costs, establishment of priorities and a timetable for actions are all indicated.
Once the environmental audit and diagnosis had been developed (with the participation of social and
economic agents and municipal technical staff), the monitoring plan was also developed, this proposes
a system of indicators and checks to evaluate the implementation of the scheme, and the commission
for the environment and sustainability was created. Furthermore, the Environmental Forum was
prepared, the actions and programmes from each strategic line were discussed and agreed upon, this
involved the participation of the agents involved in the proposals and solution. The Environmental
Forum was created over a period of 9 months with a session for each strategic line, a specific session
for social programmes and another for indicators and checks. All the sessions saw active participation
and proposals not considered in the original document were brought in and agreed upon.
After more than a year of the participatory process, in January 2000, at the start of the twenty-first
century after which the Agenda is named, Manresa had its Agenda 21.
JI.2.2.2 - Contents of Agenda 21
Manresa´s local Agenda 21 is structured on the defining of strategies to move towards environmental,
social and economic sustainability on the one hand, and to evaluate how these strategies are developed
on the other. Thus, with the local Agenda 21 document, environmental, social and economic
objectives and actions are established, as well as indicators to evaluate their level of achievement.
With the Environmental Action Plan, 8 strategic lines are proposed, each of which contains various
action programmes (24), which are grouped into a series of actions (96), each of which has a
corresponding proposal for the period of execution, the bodies involved, the cost, and the bodies which
can contribute towards its funding.

The strategic lines of the Environmental Action Plan are:
1. Rationalize the consumption of water and complete the drainage of residual water.
2. Optimise the use of energy resources.
3. Apply waste management systems based on minimisation and valuation criteria.
4. Improve the system for management and monitoring activities and apply mechanisms of
environmental risk prevention.
5. Conserve and improve the natural heritage and the quality of the landscape.
6. Consolidate rural space as a structural element of the land.
7. Improve the quality of urban areas.
8. Reduce the environmental impact of the private vehicle in the city.
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The social and economic programmes consist of programmes and actions that promote social justice
and equality, activities which complement ecological integrity in sustainable development. These
programmes are structured around 5 strategic lines:
1. Active Manresa: this is aimed at making Manresa an active city that works for full
employment as a strategy to ensure dynamism and the wellbeing of its citizens.
2. Egalitarian Manresa: to make Manresa an egalitarian city, where everyone has access to the
resources and services that guarantee full integration and development.
3. Participative Manresa: to make Manresa a participative city, where citizens co-operate in the
definition and development of local policies and programmes.
4. Healthy Manresa: to make Manresa a healthy city, where citizens take part in healthy
activities and enjoy a pleasant living environment.
5. Supportive Manresa: to make Manresa a supportive city that works towards a sustainable
world beyond its borders.

The implementation of Agenda 21 in the ‘Nucli Antic of Manresa’: the Integrated Plan for
Revitalisation of the Nucli Antic (IPRNA) : With the aim of promoting the revitalisation process of the
Nucli Antic, IPRNA was drawn up. This plan oversees the implementation of the contents of the
strategic lines of Agenda 21, over which it impacts upon directly or indirectly.
Within the Environmental Action Plan, the strategic lines which have the greatest impact are 7 and 8:
7. Improvements in the quality of urban space
7.1. To improve the structure and features of the neighbourhoods and renovate areas of urban
7.1.1. Improve the structure of the neighbourhoods and their assets in terms of facilities and
green spaces.
7.1.2. Revitalise the Nucli Antic with investments and actions in infrastructure, housing and
the promotion of activities, opting for a transfer based approach which allows for the adoption
of its own strategy.
7.1.3. Revitalise the area along the Cardener River by means of an integrated action in this
7.2. Incorporate environmental criteria and improvements in the maintenance and projection
of public spaces.
7.3. Incorporate environmental criteria and improvements in the maintenance and projection
of private spaces.

8. To reduce the environmental impact of private vehicles in the city
8.1. Optimise urban traffic flows
8.2. Reduce the presence of private vehicles in the city

Also, with the different programmes with which the objectives of PIRNA are developed, the inclusion
and implementation of the strategic lines of the social and economic programmes of Agenda 21 is
crucial, starting with their own development and approval process, which is the fruit of a wide ranging
process of citizen participation.

July 1996 Adhesion to the Aalborg charter
April 1997 Adhesion to the network of cities and towns
towards the sustainability
December 1997 Environmental Audit
February 1999 Environmental Forum
December 1999 Social and economic programs for sustainability
January 2000 Agenda 21 of Manresa
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Agenda 21 of Manresa is structured from the definition of strategic lines to advance, on one hand,
towards the environmental, social and economic sustainability, and on the other hand, to evaluate how
these strategies are developed. So, “Agenda 21” establishes the objectives and the environmental,
social and economic actions, as well as a method to value the attainment degree.
The strategic lines, previously defined, guide the environmental management in the local scope of the
performance programs that are necessary to carry out, the institutions implied in its execution, the
calendar, the priorities and the economic valuation.
Each strategic line contains diverse programs that group an assembly of performances. In each one of
them is specified: term of execution (T), financing (F), cost (C), and implied organisations (E).

STRATEGIC LINES (8x5) fundamental aims
PROGRAMES (24) specific objectives
ACTUACIONS (96) Achievements C; T; F; E

JI.2.2.3 - 1he methodologv applied for the definition of the strategic lines and their
development has been the following one:
1 Environmental Audit
2 Environmental Forum
3 Social and economic programs for sustainability

The strategic lines have two slopes:
– Those that are consequence of the environmental action plan.
– Those that are consequence of the sustainability social and economic programmes.

1- Environmental Audit
From the environmental audit its possible to achieve -once compiled the basic information and the
data processing-, the environmental diagnosis of the municipality of Manresa and the initial proposal
of the Plan of Environmental Action and the Monitoring Plan.
The environmental diagnosis turns attention to 3 basic axes (the state of the environmental vectors,
the social and the economic issues, the planning and the environmental management), that allow to
remark the aspects on which is necessary to make the social and economic development compatible
towards a city with environmental sustainability.
The Plan of Environmental Action establishes 8 strategic lines of performance with the intention to
canalize and to interrelate the actions for provisional remedy or cogoverning measures for answering
to the problematic detected during the environmental diagnosis.
The main objectives are:
– to diminish the rate of consumption of the non-renewable resources
– to fit the rate of consumption of the renewable resources to the replacement rate
– to diminish the transmission of polluting agents
– to maintain the biological diversity, to conserve the quality of the air, the water and the ground
– to improve the conditions of the urban surroundings.

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1. to rationalise the hater consumption and to complete the cleaning of residual water
2. to optimise the use of the poher resources
3. to apply a hastes management plan based on criteria of minimisation and valuation
4. to harness the management and monitoring system for the different actions and to
apply the mechanism of prevention of the environmental risk
5. to conserve and to improve the natural patrimony and the quality of the landscape
6. to consolidate the rural space as structure element of the territory
7. to improve the quality of the urban space
8. to reduce the environmental incidence of the cars in the city

The Monitoring Plan has the aim to define a method based on a system of indicators which allows to
check the application of the Plan of Environmental Action.

The indicators have been selected from a data base which embodies the values of the parameters
compiled during the audit. Also it’s been considered as reference the systems of environmental
indicators of diverse cities.

Altogether there are 36 indicators
2- The Environmental Forum of Manresa has allowed the checking of the Performance Plan and to
introduce the consequent changes.

3- With the social and economic programs for the sustainability the programs and actions take shelter
that promote the social fairness and justice, complementary aspects to ecological integrity in the
sustainable development. These programs are structured around 5 strategic lines.

1 Active Manresa
2 Egalitarian Manresa
3 Implicate Manresa
4 Healthful Manresa
5 Shared in common Manresa

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VI.2.3 - The participation progress in an Agenda 21 - The pattern of
Aarcelona as an example

Stages in Aarcelonams Local Agenda 21

• Adhesion to the Aalborg Charter
• Creation of the Municipal Council about
Environment and Sustainability (CMMAS)

• Writing of a basic document
• Citizen participation
• Agreed elaboration of an Action Plan
• Writing and approval of the Local

The participation process
In Barcelona’s Agenda21, in order that every person and every collective of the city could find an
adequate proposal for their characteristic and possibilities, it has been forseed multiple and different
kinds of participation. There are territorial discussion, for each district and neighbourhood, and
thematic discussion.

The Participation is done through interactive inquiries, taking part in open discussionsm Forums,
contributing in the Aulletin with activities and interesting newness, giving news and experiences to
the environmental nehsm Selection about Barcelona, also with the possibility to be incorporated to
the called Expertsm Directory or to the Basic studies’ Directory or bringing ideas, indicators and
analysis tools and validating those ones yet available.
Also it exists an established process for the individual adhesion and collective in the Agenda21.
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Phases Organization
Participation process
in the citv
Participation Process
in the distict

• Constitution of the
‘Zrup dDImpuls de
CiutatD (Impulse
groups) and ‘Zrup
dDImpuls de
AistricteD, with its
respective Permanent
• Establishment of the
Technical Secretary
and starting of the
dinamilation teams
• Preparation of the
strategy B;riting
• Definition of the
Programme of
• Preparation of the
strategy B;riting
• Definition of the
Programme of
Informative Actions

Debates and
• The Participative
dinamilation teams
organize the debates
• Specific ;orWshops
• Specific ;orW
• Zroups of
• Specific debates about
Agenda $P
concerning specific
subjects at the distict
and neighbourhood

Definition of
• The ‘Impulse
groups’ elaborate the
documents and
define the final
results includd into
the ‘Pacte Ciutadq
per la SostenibilitatD
BCitilen agreement
for sustainabilityE
• Integration and
shyntesis of the
different elements
of the diagnosis
and proposals for
the Citilen
ageement for
• Integration and
shyntesis of the
different elements of
the diagnosis and
proposals for the
Citilen ageement for

Participation in the municipal environmental auditing process.
Once the municipal environmental auditing has begun, there are three stages of citizen participation.
First stage: This stage includes all the mechanisms of information and consultation, the main
objectives of which are to inform citizens about the proposal to implement the Local Agenda 21
process, and the fact that inform will be required.
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First stage

Initial presentation of the Local Agenda 21 auditing
the process to Forum 21

Different mechanisms of information and
consultation of citizens: surveys, interviews, web
pages, etc.

Second and third stage: These stages of the participation process consist of Forum 21 participation
meetings. These meetings are the central part of the participation process. The second stage consist of
debating the prediagnosis document (environmental report) . The third stage comprises discussion of
th eproposal for the local action plan that has been made by the auditing team

Second stage
Prediagnosis Diagnosis
Participation meetings (Forum 21)

Third stage
Preproposal of Proposal of
Local action plan Participation meetings action plan
(Forum 21)

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Participation plan: citizen involvement

VI.2.3 Experiences about participation in Aarcelona and Manresa
The first important idea that we obtain from analyzing the two processes of LA21 is that the level of
participation changes from a great city, like it is Barcelona, to a small ones, like it is Manresa. The
level of participation of inhabitants is greater in the second case, where people feel the common
problems closer, and the motivation to solve them is higher. In the LA21 process in Manresa more
than 2 % of residents participated in the organized meeting and half of them asked to the
questionnaires elaborated to obtain opinions and recommendations to act.
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On the other hand, in Barcelona, the level of involvement in meetings and questionnaires was smaller,
since in a great city the individual citizen does not believe too much in its condition of citizenship. The
level of involvement was higher in Raval than the Barcelona average, a neighbourhood where the
territorial conscience is higher, but without reaching the level of Manresa. Moreover, in Barcelona
most of people participate in order to argue or to explain its particular problems. In our opinion this
reflects that we need a higher degree of decentralisation of power in the city. This is the main step
towards the improvement of participation, since the population has to feel that the decisions are taken
closer to its home.
Another new problem of Raval is that 47% of residents are foreign people, most of them arrived to the
neighbourhood in the last 2 years. They do not participate too much in the ‘common life’ since they
have a lot of personal problems to solve before participate in the definition of the main goals for a
neighbourhood that they do not know yet. Another important task is then, to educate the immigrants in
order to make them know the history and the reality of the territory where they are living.


We do not know yet how the new law will change the habits of the citizens related to the participation,
but we thing that these measures will not be enough to turn the classical ‘informative’ framework to a
real participative scheme.
After analysing the legislative functioning of the new Spanish land use Law and the new Catalan Law
of urbanism, we can conclude that the existing legislation does not stimulate enough the processes of
participation. And we thing that to guarantee a ‘real ‘ participation we propose certain possible
• To involve and to promote the CO-OPERATION of the associations of the neighbourhood
(of neighbourhood or other type) in the decision making and in the definition of the plans.
Often, like individual person, the aptitude to affect in a process of planning is low,
nevertheless to associative level it could change.
We need some basic structures, legal tools, to guarantee the vusefulnessm of these
associations and social bodies in the decision process, as ‘local experts’. The authorities have
to integrate the point of view of different citizens through these associations, not only when a
decision is already done, the actual case, but at the very beginning of the process.
• The improvement of the social role of those associations has to be developed at the same time
that an important task of vsocialm education or AUARENESS has to be done to motivate
citizens to participate in the definition of the ‘common’ space, the common city, in fact, the
‘common’ life. Some laws can help to this ‘re-education’ (in other countries this is not as
necessary as in Spain, where the participation is more fluent and natural.
• Another recommendation it is to promote the DECENTRALISATION of decision maker
bodies, in terms to give more capacity of decision and performance to the neighbourhoods or
to the units of intervention. Considering a better efficiency in the wisdom of the decisions. As
much greater will be these decentralisation, easier and more efficient will be this participation,
since the citizen will feel that he could decide about familiar problems.
• Also will be interesting to have a certain professional TRANSVERSAL PARTICIPATION
inside the technical team that will take charge of the elaboration of the different planning
proposals. This would guarantee a work with different visions and more complete from a
sustainability point of view.

On other hand, we think that this participation has to be CONTINUOUS, and not only punctual.
The participative framework (the co-operation of associations, the awareness mechanisms,…),
should be permanent, and not only built for concrete plans or needed operations.

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VII.1.1 - The culture of local governance in the UK
Local councils in the UK are statutory bodies, with statutory responsibilities to serve their
communities in respect of a range of services. Beyond the requirement to deliver core services,
however, the relationship between central and local government in respect of many issues is mediated
by guidance and the development of best practice, and not by legislation.
It might be useful to consider the type of activities which would be covered by legislation, and those
which would be directed by guidance. Since we are dealing here with sustainability and participation, I
shall use relevant examples. In respect of a technical activity such as waste disposal, authorities will be
legally required to comply with UK and EU environmental regulations. The way in which the
authority approaches the practice and promotion of recycling will, however, be down to local
discretion under the direction of central guidance. Turning to participation, local authorities are legally
required to produce development plans according to a statutory process which includes consultation
phases. By contrast, there are many other activities where participation is important, but which are not
governed by a formal legal process.
This paper will therefore consider the development of public participation in the planning process
along with participation in Local Agenda 21 and in local government more general.
This section will outline the following areas of policy:
• Planning
• Sustainable Development and Local Agenda 21: national strategy and guidance to local authorities
• Participation in LA21
• Participation in local government: Local Government Acts 1999 and 2000 and relevant guidance
• Participation in Regeneration
VII.1.2 - Participation in planning
(Much of the material for this section is taken from Cullingworth, B. and Nadin, V. Town and Country
Planning in the UK (2002, 13
edition) London, Routledge.)
The activity and profession of planning developed strongly in the England following World War II
and the Tohn and Country Planning Act of 1947. During the post-war decades the positivist view
prevailed, that a better future could be attained through the correct application of scientific techniques.
Planning was seen as a technical activity, and therefore politically neutral and not requiring to be
debated in the public arena. These ideas were challenged in both the UK and the US in the 1960s, as
the political consensus broke down and the lack of access to decision making and the way in which
resources were distributed became contentious. The Tohn and Country Planning Act of 1968 made
public participation in the preparation of development plans a legal requirement. The UK Government
convened a group of experts to develop thinking in this area in 1969; the ‘Skeffington Committee’.
The Skeffington Committee reported on ‘the best methods, including publicity, of securing the
participation of the public at the formtaive stage in the making of development plans for their area’.
The current system is enshrined in the Tohn and Country Planning Act of 1990 and is supported by
the Planning Policy Guidance (PPG) Notes. The opportunity for participation comes at the
beginning of the plan-making process, before the local authority has reached a firm position on its
plans. The statutory requirements on who must be consulted at this stage are limited, although PPG12
gives advice on this. Any citizen or organisation has the legal right to object to a development plan
once it has been placed ‘on deposit’. Objections can be dealt with by the local authority by making
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changes to the plan. Objections which are not resolved in this way are taken forward to a public
inquiry (local plans) or and ‘Examination in Public’ (structure plans), where a government inspector
hears evidence from the council and objectors and makes a (non-statutory) judgement on the issue.
Cullingworth and Nadin (reference above) argue that the current legal framework gives too much
emphasis to formal ob-ections and not enough to true participation at the earlier stage of the process.
In reality, there is a wide range of practice throughout the UK, with many authorities using innovative
techniques to gain wide participation.
There is currently an active debate in England prompted by a government Planning Green Paper,
which proposes sweeping changes to the planning system. Many of the proposed changes will have an
impact on public participation:
• The county-level of strategic planning may be removed, preventing citizens from participating in
strategic planning at this level
• New procedures are proposed for strengthening participation at the local level
• Public inquiries on development plans may no longer be statutory
• There is currently no third party right of appeal against planning decisions (meaning that a citizen
cannot appeal against a planning permission granted to a developer), the Green Paper does not
propose to reverse this situation
• Areas where there is little development pressure will not have detailed plans drawn up, this may
lead to uncertainty for developers and the public
• Planning procedures may be speeded up in areas where there is development pressure, leading to
fears that it would be more difficult to stop developments not welcomed by the community
• Developers will be encouraged to negotiate directly with the community, possibly creating more
productive relationships than in the past
• Neighbourhood organisations may be given a strong role in making ‘Local Action Plans’ at the
sub-local authority scale.

Public participation in the planning process is thus an evolving area, and one which will be the subject
of ongoing debate in England over the coming months and years.
VII.1.3 - Sustainable development strategy
Since the 1992 UN Earth Summit, the UK government has espoused the principles and language of
sustainable development and has promoted Local Agenda 21 to local government. The extent to which
these principles have been implemented through policy and regulation is arguable, but there has been a
steady flow of advice to local government.
The UK’s first sustainable development strategy "Sustainable Development: The UK Strategy"
(HMSO, London, 1994, ISBN 0 10 143452) was published in 1994. The change of government in
1997 gave new impetus to this policy area, with Tony Blair’s announcement at the UN General
Assembly in June 1997 that ‘I want all local authorities in the UK to adopt Local Agenda 21 strategies
by the year 2000’. This was followed by the launch of a consultation for a new strategy, which was
published in May 1999, “A Aetter Suality of Life: a strategy for sustainable development of the
UKp (The Stationery Office, London, ISBN 0-10-143452-9).
VII.1.4 - Sustainable development and participation
The participation of all sectors of society is a central principal of Agenda 21 and Local Agenda 21.
Throughout the 1990s, local government in the UK has been developing methods for effective
participation in the LA21 process. This has been supported by advice from central government and
from local government support agencies (i.e. the Local Government Management Board, the Local
Government Association, and more recently, the Improvement and Development Agency). One such
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document that has been widely used is vSustainable Local Communities for the 21
Century: Uhy
and hoh to prepare an effective Local Agenda 21 strategym (DETR, 1998).

LA21 has provided the impetus for much innovation and development in best practice with regard to
participation, such as citizens’ juries, neighbourhood forums and internet-based participation.
VII.1.5 - Participation in local government
Since its election in 1997, the current government has pursued an agenda of ‘Local Government
Modernisation’. The debate was launched by a white paper in 1998, 'Modern Local Government: In
Touch hith the People', DETR (1998), HM Government White Paper (London: The Stationery Office).
One of the cornerstones of this policy agenda has been to increase participation in local government, make
citizens feel more engaged and thus increase the credibility and vitality of local government institutions.
The government issued a guidance note to assist this process in 1998; vGuidance on Enhancing Public
Participation in Local Governmentm, DETR (1998), (London: The Stationery Office). This report
looked at:
• Why participation is important
• The dilemmas and difficulties of participation
• The need to develop and communicate a strategic approach to participation
• The requirement to build capacity for participation both in the authority and in the community
• The need to ensure that participation is built into internal and partnership working.

The importance of participation throughout local government was strengthened through the Local
Government Act of 2000. This Act introduced a new duty on local authorities to promote the
‘economic, social and environmental well-being’ of their areas. Partnership and participation were
seen as central to this and the Act therefore instituted a new requirement to produce ‘Community
Strategies’, using wide participation under the guidance of a new organisation called the ‘Local
Strategic Partnership’ (LSP). The Community Strategy is intended to be a comprehensive process
resulting in a document that gives the LSP’s vision and implementation plan, under the leadership of
the local council, for improving the well-being of the area.
VII.1.6 - Participation in regeneration
As a cross-cutting issue, UK Government thinking on urban regeneration is focused in the work of the
Social Exclusion Unit (SEU), which is part of the Cabinet Office. The development of policy within
this centralised unit is intended to facilitate the Labour Government’s vision of ‘joined-up
government’ and to avoid the ingrained lack of communication between traditional delivery-oriented
government departments. The reports ‘Aringing Aritain Together: a national strategy for
neighbourhood renehalm (SEU 1998) and ‘The National Strategy for Neighbourhood Renehal: a
framehork for consultationm (SEU 2000), bring together ideas for tackling the problems of Britain’s
most deprived neighbourhoods. The overall approach adopted is to tackle deprivation by targeting
resources on excluded areas, with the aim of eliminating any disadvantage which people suffer
because of where they live.
The New Deal for Communities (NDC) is the government’s flagship regeneration programme. The
HQE2R case study area is one of England’s 39 NDC neighbourhoods. The NDC is one of the area-
based initiatives that contribute to the Government’s regeneration programme. It targets money on
small neighbourhoods with the aim of improving job prospects, bringing together investment in people
and buildings and improving neighbourhood management and services ‘Neh Deal for Communities:
Guidance for Pathfinder applicantsm, DETR (1998) London, TSO. The distinctive features of the
New Deal for Communities are; that it targets very small areas of between 1,000 and 4,000 households
and that the range of projects that can be funded is flexible. Neighbourhoods are awarded up to £50M
to spend over a ten-year period. The NDC is the latest generation in an evolving area of public policy.
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Over the last decade, partnership working and community participation have become increasingly
central to the delivery of regeneration programmes in the UK. The NDC gives greater scope for local
control over decision making and resource allocation than has been seen before. The funds under this
programme are managed not by local authorities, but by locally appointed management boards
composed of neighbourhood residents and representatives of other stakeholders.

Aristol : Local Agenda 21 strategy for the city of Aristol
Historv of the LA 21 Process in Bristol
November 1995
• Local Agenda 21 Steering Group formed to begin the process in Bristol.
December 1996
• Interim Strategy "Agenda 21 in Bristol" produced and forwarded to National Government
June 1997 onhards
• Local Agenda 21 process developed to include information leaflets, community events,
workshops, etc.
December 1998 onhards
• New Local Agenda 21 Strategy Group established to develop the Local Agenda 21 Strategy
The new strategy group was determined to meet the government's challenge to develop a
strategy for Bristol by the end of 2000.

Supported by the City Council the follo;ing steps ;ere taWen to engage as many people as possible in
completing the cityDs first frame;orW for sustainable developmentF

Step 1: State of the City Conference - March 1999
Over 100 key decision-makers from organisations across the City were invited to 'kick -start' the
process to develop the Local Agenda 21 Strategy for Bristol. They included representatives from the
police, health authorities, the city council, colleges and universities, as well as non-government
organisations, voluntary organisations and businesses.

Step 2: Topic Groups
Building on previous cross-sector Local Agenda 21 work, the initial key sustainable development
issues for the city were identified as:
• Biodiversity
• Community Safety
• Energy & Water
• Environmental Protection
• Health & Well-being
• Housing & Shelter
• Land Use & Development
• Leisure, Culture & Tourism
• Social Economy
• Sustainable Business
• Transport
• Waste Management
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These issues became the topics discussed at the conference, each discussion being led by a
representative from a relevant organisation. The event had four objectives:
1. Set up a Topic Group for each issue and gain commitment from participants to contribute
time, resources and/or support to help develop a strategy document over coming months.
2. Propose a Headline Indicator to be measured city-wide on an annual basis.
3. Discuss ideas for broad strategy objectives.
4. Widen participation - consider how to involve more of the people of Bristol.
The Topic Groups continued their work until the autumn to develop the broad objectives of their
chapters of the strategy and to identify the underlying principles of Local Agenda 21.
The groups were also asked to consider wider sustainability objectives such as global issues
(internationalism), equity and future generations as well as exploring the links with other topics.

Step 3: Promotion
A leaflet was produced in June 1999 to help raise awareness about Local Agenda 21. It was used to
help consult the public and to encourage their involvement in the strategy process. Each topic group
developed publicity leaflets for anyone who wanted to know more about the topics. Everyone
requesting information was logged as a network member so that they could be sent information,
newsletters and invitations to forthcoming events.

Step 4: Equalities and Local Agenda 21 - September 1999
As the draft chapters of the strategy neared completion in August 1999, a series of workshops were
held to explore the integration of equality issues and the topic group proposals.

Step 5: The State of the City Celebration - October 1999
The October event was an opportunity to promote the work of the 12 Topic Groups and for the public
to contribute their own ideas, suggestions and comments. Local celebrities, MEPs, MPs, councillors
and VIPs were asked to make a pledge for Bristol - a personal promise of what they would do to make
the City a more sustainable place to live.

Step 6: Strategic Consultation
In October 1999, all participating organisations were sent copies of the draft strategy objectives and
headline indicators proposed by the Topic Groups together with a short questionnaire asking for
comments to be returned by the end of November.

Step 7: Pulling the Strategy together
Between November and March, the Topic Groups were asked to revise their strategy work in light of
the feedback from the October event and the strategic consultation exercise.

Step 8: Signing up to the Strategy and starting Action Planning May - May 2000
The LA21 Strategy was launched in May 2000. Organisations throughout the city, and all those who
had been involved in creating the strategy were invited to ‘sign up’ to the Strategy to show their
commitment to LA21 in Bristol.

Continuing work from Mav 2ôôô to the present
The 12 topic groups have continued to work to find practical ways to address the issues highlighted in
the LA21 Strategy. Bristol City Council has produced a ‘Local Agenda 21 Action Plan’ for 2000-
2004, which sets out actions, timescales and evaluation frameworks for each of the 12 topic areas.

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It is difficult to analyse the effect of participation laws and guidance on individual sustainability
targets. The aim of this policy guidance is to bring effective participation into planning and
regeneration across all the relevant topic areas and each stage of the respective processes. Success or
failure depends to a large degree on how effectively guidance is put into practice by local councils and
local regeneration partnerships.
VII.3.1 - Planning
It has been noted above that statutory participation in planning is focused more on formal
representations to planning inquiries than on early participation in the drafting of policies. The effect
of this legal situation is that local councils are not obliged to consult widely on early drafts of their
local plans, although in practice the majority of councils do more than the legal minimum. There is a
broad consensus that planning inquiries are too formal and legalistic a forum in which to foster
effective participation; although it can be argued strongly that they offer an important safeguard
guaranteeing communities the opportunity to oppose unpopular policies. The current discussions on
the Planning Green Paper are addressing these issues, with the possibility that participation will in the
future be more intense at earlier stages of plan-making. The scope of participation in planning is
necessarily on questions of land use. In practice this can potentially include many of the HQE
sustainability targets:

• Provision of a housing mix which promotes diversity in the population
• Encouraging diversity in land use
• The siting of facilities to improve integration and transport links
• Siting of facilities to improve access and reduce travel
• To preserve the built heritage and natural environment
• To prevent development which damages the environment excessively
• To encourage development that uses sustainable construction techniques.

The relation of planning to some of the targets on quality of life and social cohesion is less direct,
although there might be scope for planning authorities to encourage development that facilitates social
interaction, or that improves community safety.
VII.3.2 - Regeneration
In regeneration in the UK, current policy is to create a process which is driven by community action,
not one in which participation consists of reaction to consultation.
In reality, communities have to respond to regeneration programmes that are imposed on them by
central and local government; these often give considerable flexibility in the type of project they will
fund, but they require engagement in a formalised bureaucratic process.
This means that the agenda for participation in programmes like the New Deal for Communities arises
from local responses to a framework set in place by central government. Priority is thus given to issues
that are most important to local people, provided their project proposals fit within the broader
framework. In the HQE2R Bristol case study (which is part of the New Deal for Communities), many
people are concerned about social and economic issues such as crime, health, employment, housing
and facilities for young people. Many of their concerns could thus be interpreted as ‘social
sustainability’ or ‘economic sustainability’. In respect of environmental issues, local priorities relate to
the cleanliness and attractiveness of the neighbourhood, and how that affects to their wellbeing and
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ability to enjoy their surroundings. Local people do not tend to see global environmental issues as
priorities for action at the neighbourhood level. This raises serious questions about how these issues
should be tackled in a community-led process. It will be the work of the HQE2R case study to discuss
two key questions with local partners:
• The distinction between ‘liveability’ (cleanliness, visual attractiveness, etc.) and environmental
sustainability (resource use, impact on climate change, etc.)
• How to introduce environmental sustainability into the regeneration programme when it is not
seen as a priority by local people.

VII.4.1 Planning
At the time of writing, the planning system in the UK is facing a period of change as the Government
considers a new Planning Bill that would introduce significant reforms. Some of the proposed reforms
have raised concerns about an erosion of statutory participation, particularly at the strategic level,
while potentially increasing participation at the local and neighbourhood level. In particular, there is a
proposal to remove the planning role of the County Councils, and to hand the strategic planning role to
new, non-elected Regional Planning Authorities. This lack of a democratic mandate at the strategic
level could well lead to unpopular planning decision that would have repercussions at the
neighbourhood level, and we would recommend the retention of a degree of democratic control over
strategic planning. The new proposals may lead to neighbourhood involvement in sub-local ‘Action
Plans’, a positive development that we would support.
VII.4.2 Regeneration
The Government has given considerable scope for community leadership and participation in
regeneration through the New Deal for Communities programme, which has been running for some
three years. This has opened up considerable opportunities for participation, as outlined above, with
overall responsibility for project development and funding allocation being handed to resident-led
management boards. It has been a major achievement of the communities in the 39 New Deal for
Communities areas to establish their management boards and set up delivery organisations.

The effectiveness of this approach depends to a very great degree on the success of its implementation
on the ground. Considerable responsibility is given to local people, and scheme employees, to make
regeneration work, and to make it participatory. It is somewhat too early to comment on the success of
the NDC programme, but the approach has highlighted some problems as well as notable successes.
The programme encourages far more advanced community participation and leadership than would be
conceivable in many European countries at the current time, so the problems experienced are of a
different nature from many of those described elsewhere in this document.

The main question is whether central Government is expecting too much from local communities. The
NDC programme requires the establishment of an entirely new neighbourhood-based organisation,
which is expected to deliver significant regeneration projects within a short time-scale. This task is
attended by all the challenges of setting up new organisational systems and staffing structures, as well
as systems for local accountability and broadly based participation. All this is done under the pressure
of intense scrutiny from the local community as well as the Government and government-sponsored
evaluators. Although paid staff fulfil key functions throughout these new organisations, leadership
remains the responsibility of unpaid volunteers. The NDC delivery companies are thus in the
paradoxical situation of aiming for community leadership and participation, whilst being part of a
central Government scheme, with its attendant bureaucracy. The principle emerging problem is the
extreme difficulty for the NDC companies to satisfy all sectors of their community, many of which
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have high expectations. Another major challenge is to establish and maintain high levels of
engagement by the community.

The NDC will run for a number of years, and there is scope for these issues to be resolved with time.
Our recommendation is that the NDC organisations are given the time and support needed to address
them. We would also advocate a debate about the severity of the demands placed on communities and
volunteers through such programmes. The concept of community leadership within a Government
programme is in some ways a conundrum, and the tensions implicit within it should be acknowledged
and explored. There is a need to establish a balance of responsibility for neighbourhood regeneration
between central and local Government, the community and other local agencies. As well as placing an
ever greater pressure of expectation upon local communities, the trend in recent years towards central
programmes like the NDC has contributed to the long-term disempowerment of local government in
the UK. The role of local government must be acknowledged, and the tradition of representative
democracy respected, if the right balance of responsibilities is to be found.
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This study aimed at analysing how legislative and regulation contexts as well as national and local
programmes, such as the Agendas 21 in particular, encouraged or tried to develop participation
procedures. This question is particularly important when referring to a sustainable development
approach for which citizens’ and inhabitants’ participation represents a fundamental aspect (principle
10 of the declaration of Rio de Janeiro): “The best way to consider environmental questions is to
ensure the participation of all the citizens concerned, at the appropriate level.”
The question raised by HQE
R project concerns the participation in a sustainable renewal process of
inhabitants and users in a district and its buildings.
The analysis of the situations in the different Member States shows that the inhabitants’ and users’
participation is “on the agenda” of every urban renewal project, this participation being included in the
urban planning laws. But what is this participation actually? And how to find the good balance
between the two forms of democracy, i.e. elective and participating?
Indeed, whereas in some countries the democratic deficit is related to a lack of participation, in others,
till recent years, public participation was not provided by law dealing with urban planning. The
problem of participation obviously lies in this permanent conflict between private and collective
The elected representatives must express the general interest (but the question is how to apply it in a
complex and interdependent society), which they will express only if they share the belief in collective
properties or collective projects. Participation of inhabitants is then promoted to improve the elected
representatives’ knowledge of the problems and the environment, in other words to bring together the
decision and the ones it concerns. Without participation, the general interest will become the leaders’
interest…But, on the contrary, the participation of habitants must not become the interest of the ones
that, devoid of democratic mandate, highlight their own point of view. Participation rules must be
defined precisely by elected representatives along with objectives and means.
In order to analyse participation processes, it seems to us appropriate to make a distinction between
the different participation methods according to the scale already mentioned in the report, which
ranges from coercion to collective management (or cooperation). The participation time must also be
distinguished, depending on whether it occurs at the stage of analysis (or definition), decision-making,
project implementation and monitoring (assessment).
Projects, development plans can be officially part of this two-dimensional space: scale – time. A third
dimension concerning the participation content must also be highlighted: is it possible to give themes,
participation subjects, a cross-disciplinary content which combines reflection with social, economic
and environmental aspects, which manages short term periods of time (daily problems) but also long
term periods of time (the district future, position of inhabitants in the evolution projects) and finally
the global aspect with regard to the local one (noise nuisances in the street can be reduced by a street
surfacing or by a better sound insulation, but what about the discussion concerning the displacement
plans and more generally the town urban planning?).
In other words, does the participation apply to the sustainable development or to thematic or isolated
aspects, or to be more precise to both aspects of the problems? The procedure aimed at including the
sustainable development in a participation process is obviously complex as we must combine the three
dimensions of sustainable development and play on the projects’ transversal aspect, with as a
consequence the question on the choice or decision-making methods that must arbitrate between the
different sustainable development dimensions. The result is far from being obvious as there is rarely a
consensual solution to a problem and, on the whole, some players’ priorities are so far from
environmental concerns or a long-term approach that no decision could ever be taken without
roundabout means implying explanation, persuasion and maybe finally coercion…
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To sum up, the HQE
R project purposes an assessment of the inhabitants and users participation on
three participation ladders:

'" Level of participation
• Coercion
• Information
• Ahareness
• Consultation
• Empoherment
• Cooperation :
'"Co-decision or co-management
'"self government

'" Participation in project process
Five phases:
• Problems analysis
• Proposals assessment
• Décision
• Implementation of the project
• Folloh-up and assessment

'" Content of participation
To distinguish:
• short term problems versus long term (future of the neighbourhood)
• global versus local
• educational process or not
• knohledge acquisition or not

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The analysis of urban laws points out a wide variety of situations or cases as well as a diversity of
Some Member States are ahead of others as far as inhabitants’ and users’ participation is concerned.
While some talk about empowerment and co-operation, others are still at the stage of consultation and
awareness (consciousness raising). Participation is obviously the result of a historical process that
defines the content of the participating democracy in comparison with the elective or representative
democracy. To be brief, Anglo-Saxon democracies have a participating tradition that is much more
significant than Latin democracies. However, as for every field in Europe, catching-up phenomena are
being processed and the analysis of the laws evolution (in France, Italy or Spain) clearly shows that
legislation is continuously moving towards a higher involvement of citizens in the life of the city.
Everywhere, there is an evolution potential leading to increasing participation etc.
Indeed, there is always a gap between the content of the law and its application. The main
recommendation to be made at the end of this study may be that it would be necessary above all to
apply the Lah, both in terms of form and content. Numerous urban laws provide for a participation
of inhabitants and users with a strong empowerment but without giving the instructions (Germany,
France, etc.). The exhibition of participation may sometimes guarantee the existence of a form of
participation and the participation, consultation and empowerment words are overused or imprecise in
people’s mind to make out of an empowerment project a simple consciousness raising, or even a
consultation. Many consultation limits are also linked to their implementation moment in the decision
or completion process, the decision being “already taken” for the main points.
of problems
From Local
To Global
Source: CSTB, La Calade
From short term
to long term
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A voluntarist strategy conducted by the legal representatives of the town, region, or state or under
pressure from a strong public opinion will result in promoting the participation of inhabitants.

Whatever the originator, the starting point of every participation process is to increase the level of
consciousness raising, ahareness of both residents and institutions: information and education
constitute the first step of every participation approach. For this purpose, a structure shall be
implemented and means should be given. All the national monographs have put the emphasis on the
participation cost, that should not be neglected, financial cost and cost related to the time spent: cost
and time particularly necessary for education and information first so as to get involved. Local
councils should also be open to the possibility that participation may lead to financial savings in the
longer term, through finding more effective solutions.
Several techniques or means are being developed here and there such as working groups, workshops
for urban and social practices, workshop of the future... One fundamental element of this policy is the
implementation of a local Agenda 21. Awareness raising among residents is both a prerequisite and a
product of the Local Agenda 21 process. Equally important is the responsibility of local councils and
other agencies to learn which environmental issues people are concerned about and to understand how
they interpret them, which may not be in the same way or using the same language as the
sustainability professional.
Information nature and quality are also fundamental questions, all the more so since these questions
are complex and interdependent. How to bring a piece of information on a given subject if the latter
also depends on another given decision level, in other words, how to provide good information if we
do not necessarily have the information required. The learning process should perhaps be one through
which residents and officials interpret complex global issues in a way that highlights their local
This first stage shall also lead to create a participation framework: this participation is a process which
requires learning, codes of good behaviour (the roles of all the players, population, elected
representatives and town services) and the objectives’ setting (due to be combined with means). Local
councils and their partner agencies should be aware that institutional learning and change are vital to
the success of any participation process. Official procedures, structures, working cultures and
timetables may form barriers to participation. It is thus essential to be aware of this possibility and to
be willing to make changes where necessary.
One of the obstacles to participation is the cultural and social barriers implying that some classes of
population never give their opinion within the framework of participation procedures (problem of
speaking in public or of the perfect command of the language, etc.). The structures that organise the
participation shall take this aspect into account which automatically eliminates a great number of
people. One answer to this issue may be the organisation of small workshops which deal with nearby
problems in the language of the people. Asking for the individual points of view by return of post at
the end of a district or project meeting...can also constitute a way of having the opinion of people
disadvantaged by the language...
All these aspects are to be taken into account at the very beginning of a participating procedure to
enhance the participation of a maximum of inhabitants. The process is reiterated and shall evolve
according to the reactions of people or groups of people concerned.
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People’s opinion should help to define the priorities for an urban planning project. These requests are
a fundamental basis for every district or buildings analysis or diagnosis. They obviously have to be
completed within the framework of all the existing objective or statistical information as well as all the
possible sectoral studies.
The local Agenda 21 also constitutes an interesting experimentation of inhabitants’ oral intervention
within the framework of the districts’ quality improvement process. Towns conducting local Agendas
21 allowed the creation of citizens’ forums which, based on working and specific thematic groups,
allow citizens to express their point of view and expectations.
The Agenda 21 implies in particular a huge amount of work to be carried out in districts, as district
committees can only operate if they are given means to influence the decisions concerning the
inhabitants’ life directly.
Listening to inhabitants and citizens is essential in many respects: the elections are signals for
decision-makers and local representatives who are elected every five-six years but there are not
enough signals to allow proper nearby management to meet the needs efficiently. Considering the
inhabitants’ request in a permanent process allows to “adjust one’s tactics” and to take social,
economic or environmental evolutions into account in real time.
In some contexts, attending to residents’ views may be interpreted as presenting the delicate problem
of assessing the difference between peoples’ contributions to a collective project and the defence of
private interests. A different way of interpreting the situation could be that, all residents may be
defending private or community interests when they participate in a public process. Private interests
may or may not contribute to the common good, and they may or may not have financial implications.
The responsibility of the agency managing the process is to make sure that all groups and voices are
heard, and to weigh their decisions accordingly. Peoples’ motives for action are complex and it is
impossible to judge whether their motives are altruistic or not, or to judge whether their private
interests are deserving or not. Besides this democratic obviousness, the listening stage is essential to
go beyond and meet the sustainable development requirements: future prospects will be dealt with
once the short-term problems are discussed and the global approach will be dealt with once local
problems are posed. In other words, the sustainable development problems will be really tackled once
participating structures exist and have dealt hith local and short-term problems. Posing the
question of sustainable development is a subsequent stage of participation which will structure the
short and the long term, the local and the global approaches and will deal at the same time with
economic, social and environmental issues.

This stage, from “social treatment” of problems which are reflected by inhabitants’ oral expression to
a district renewal from a sustainable development angle, is eminently difficult; it can also be made
impossible because of the players’ intentions, sustainable development paving the way to other players
and to an approach other than the single social policy for instance (the global failure of town policy in
France is certainly related to this game of players and to this scale problem).
A participating structure with means will allow to deal with nearby management problems and then
to tackle the organization aspects, that are long-standing and more complex…
…Provided the town elected representatives and services are 1) competent and 2) determined to begin
these processes.
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Considering the distant future means taking a gamble on a future where elected representatives might
no longer be elected and which is quite uncertain. Over the past twenty years, we noticed a clear
decrease in the future prospect studies at national level and even more at local level. The European
Commission is seen as one of the only European levels where the prospective activity has continued.
Sustainable development requires the return of a certain future prospective approach which, at urban
planning level, results in a shared reflection on a town, a district future...
The long-term requirement represents an effort to be made by elected representatives and services for
whom management plans are often the reflection of short-term approaches. Hence, besides the
necessary policy’s will to conduct long-term reflections, the need to educate the elected
representatives and services to integrate the notion of future prospect into decisions.

As known e.g. from discussions on mediation techniques the agreement upon rules which lead to
consensus based decisions is crucial for acceptable solutions but at the same time a difficult process:
the elected representatives are responsible for a single task, participation players have to play major
parts, according to the rules, traditional hierarchical structures must be brought into question and
prevailing interests have to be “decentralized”. Hence in many cases beside legal regulations the
necessity may occur to agree upon participation rules, especially in countries or communities where
participation is not traditional. A novel approach, the ‘Participation Charter’, has been developed in
the French case studies of the HQE
R project. It is recognised that this approach may not be
appropriate in all the partner countries. An interesting approach to agree upon locally appropriate rules
for the implementation of participatory regulations or voluntary endeavours is the “participation
charter” as developed for some HQE
R case study neighbourhoods:
A local participation charter cannot be a universal document as it depends on the town history.
A local charter of participation specifies the different participation stages: the different participation
scales are not alternatives anymore; they represent levels to be reached so as to move towards the co-
production of sustainable projects…
A charter shall allow the establishment of rules as regards citizens’ participation, elected
representatives and services’ roles, and concerns more particularly:
- the organisation of information, its availability and dissemination, the complementarity of
information to education needs;
- the definition of the empowerment and co-operation rules as well as everyone’s prerogatives
for the project decision, completion, monitoring and assessment;
- the definition by the Major (or project owner) of what is and what is not negotiable (remaining
in the field of elected democracy). The analysis of certain planning projects in the so-called
sustainable districts in Europe clearly points out that elected representatives presented what is
negotiable at the very beginning of the project, letting then private initiatives free to choose in
this context (establishing for instance a maximum energy consumption limit 30% lower than
the national regulations in force, a prerequisite for a building permit);
- the definition of a transversal participation to guarantee a work with different vision and
more complete from a sustainability point of view
- the presentation of decision rules in order to clarify the decision processes and the role of each
player involved in the project.
The charter is dealt with by all the people involved and constitutes a formal commitment of all the
players to work together.
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The reflection on a participation charter is also a means to wonder about all the issues a participating
democracy poses:
- the representativity of some social classes: young, excluded people,… experience shows that
middle-classes are the best prepared for the participation process and that the latter never
affects the most underprivileged;
- the control of powers in order to prevent little minorities or people used to oral expression
from taking power…
- the principle of “nimby” which is the expression of individualism more and more frequent in
our societies,
- the seldom tackled problem of participation cost.
The inclusion of participation in the decision processes also implies the development of methods for
flexible strategic planning, able to evolve as far as the action monitoring can lead to corrective
Combining all these measures into a decision procedure is not easy and requires new skills. The
knowledge of urban planners, sociologists, environmentalists and economists are to be combined in a
new manner; indeed, the transversal notion does not consist in adding skills; it is an approach to
finding solutions aiming at crossing social, environmental and economic impacts of projects and
including two dimensions often absent from debates ie long term and global approaches. The absence
of operators or assistant project owners having the “sustainable development” skill occurs too often in
most European countries.
However, these operators will be present on the market only if creators, elected representatives and
project leaders decide to negotiate in real participation processes.

The application of the ‘Participation Charter’ approach must be executed with care, as it carries some
potential dangers, making its use unsuitable in some contexts. The key issue is one of trust between
the community and public agencies. In countries and communities where there is a long history of
consultation and participation, there have often been serious problems caused by residents’ perception
that their participation has not led to change. The cause may have been poorly managed consultation
processes, or cases where major decisions were taken before consultation. The result is a lack of trust
that councils must constantly work to overcome, and which makes it unlikely that community groups
would sign up to a participation charter. There is also the danger that communities might see the
charter as an instrument the council could use to punish them. Communities may suspect that, if the
council accused the community of breaking the charter, then they could cancel the participation
process. The question of the capacity of residents to maintain participation is also pertinent.
Participation depends upon the unpaid, voluntary efforts of private individuals. This means that many
individuals and groups cannot sustain participation indefinitely, for any number of personal reasons.
There is often, therefore, a turnover of activists as one person steps back and new people step forward.
This could lead to a problem if active residents felt bound by a charter they personally had not

The participation of inhabitants and users must be included within the framework of a process of
training and knowledge acquisition. The follow-up and the monitoring of projects must constitute a
strong element of participation as it is in the concrete action that people’s behaviour is likely to
change, some of which being the initial cause of problems.
Knowledge can “naturally” be acquired by inhabitants and users if the latter participate in the
follow-up and the assessment process of the project.
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The participation of inhabitants is required, but doesn’t it run counter to individualistic values
developed in Europe more particularly? If, as some people say, the city is no longer territorial but only
the coexistence of networks in which human beings establish contacts for a given period of time and
then interrupt them, how to ensure participation in projects that remain fixed in a territory?
Let’s take an example: imagine a project of a public building that disfigures the landscape. The
consequences are of a private nature: visual nuisance, possible loss of the value attributable to real
estate,… but what would be the collective dynamics if the “man-network” did not get involved
anymore according to the territorial dimension? The sustainable development is also the necessity to
behave and think on a local level. The participation is one element of the fight for local development
and the defence of a social territory (the participative budgets of Porto Alegre, presented in the
annexes, are an interesting example of collective defence of a territory).

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Document prepared by Noêmi Granado, ITeC

Porto Alegre is the capital of the State of Rio Grande do Sul, with 1,290,000 inhabitants. It is located
in the center of a metropolitan area that has around 3,300,000 inhabitants. Since the beginning of the
1980s the population of Porto Alegre experience rapid growth. Combined with a strong concentration
of income, severe imbalances left a third of its population devoid of urban infrastructure and services.
This population has been forgotten by successive municipal administrations. Centralized government
institutions and anti-democratic process have been an obstacle to more transparent and accountable
governance. The municipality used to make decisions about investments without taking into account
the opinion of the population.
In 1989 the Municipality created an innovative and revolutionary system to adopt and execute the
Municipal budget. A combination of measures were created to ensure the participation and
deliberation of the community in managing public resources, in determining sectoral policies and in
electing school directors and school boards. In the "Participatory Budget" system not only are the
technicians and leaders responsible for making decisions about public revenues and expenditures, also
the population decides on investment priorities, actions and public works that should be implemented
by the government. This is done through a process of debates, consultations and participatory decision
The Participatory Budget is known by 75% of the population. Tens of thousands of persons have
actively participated in the process, attending local meetings, and regional and thematic assemblies.
Based on the experience and success of Porto Alegre’s initiative, there are currently more than 70
municipalities implementing the Participatory Budget in Brazil.

The Participatory Budget underwent improvements over the years. It became clear from the start that
priorities of the poorest regions where a large part of the population lives were very different from
regions where people had more resources. In the poor neighbourhoods, the problem of basic sanitation
was most critical and urgent. In the richer neighbourhoods the issues were urban cleaning and the
maintenance of squares and parks
It was therefore necessary to find ways of breaking the vicious circle of passivity and clientelism; to
stimulate participation, to define investment and expenditures based on objective criteria accepted by
the communities and capable of addressing the needs of the whole city taking into account existing

The system adopted to solve these problems and to ensure broad-based participatory processes
• The city was divided into regions. There are 16 regions based on geographic, social and
community organization criteria.
• The broad-based participation of the population is organized through these regions.
• To enable and ensure inclusion of individuals and entities linked to other movements such as
unions, women’s rights, health, education, culture, etc., five participatory structures have been
established on the following themes:
1. Organization of the city and urban development,
2. Circulation and transportation,
3. Health and social services,
4. Education, culture and leisure,
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5. Economic development and taxation.
• Every year, the Municipality organizes:
• 2 large plenary assemblies in each region and for each theme.
• The first round of assemblies account for the investment plans approved during the
former year.
• In the second round of assemblies, dwellers from each street, from each
neighbourhood and participants of the thematic groups identify their priorities and
elect their board members for the Participatory Budget.
• Between these two rounds, there is an intermediate phase, during which many meetings
take place, either in the thematic groups or in the regions. This enables the population to
identify its needs and to establish a hierarchy of priority actions and investments.
While involving many smaller meetings, this stage is the most important one of the
process. It decentralises discussion and debate to the neighbourhood levels, particularly in
the poor areas. This is the level at which participation is most meaningful to the people.
• Further to the definition of priorities and the election of the delegates and board members for each
region and each thematic group, there is the constitution of the Forum of Regional and Thematic
delegates and of the Board of the Participative Budget. The Board of the Participative Budget is
formed by:
• 2 members and the 2 substitutes elected in each one of the 16 regions of the city;
• 2 members and 2 substitutes elected in each one of the 5 thematic groups;
• 1 representative and 1 substitute of the Union of Civil Servants; and
• 1 substitute of the Association of dwellers of Porto Alegre.
The government has $ representatives ;ho do not have the right to voteF The members of the board
are elected for one year and can be re1elected onceF This mandate is revocable at any time, through a
vote by the [orumF The delegates, ;ho represent a higher number than the board members, meet once
a month and constitute the [orum of Regional and Thematic AelegatesF Their role is to support the
board members, to inform the population about the topics discussed by the `oard, to hold meetings
during the intermediate phase, to help consolidate the Regional `oards that have been constituted and
to follo; up on the Investment Plans.

Board of the Participative Budget

Forum of Regional and Thematic Delegates

Further to the meetings of the thematic groups and of the regions, and after the establishment of the
Forum of Regional and Thematic Delegates, the work begins on the final adoption of the Municipal
Budget and of the investment plans. Meetings with the participation of all government divisions and
agencies discuss the plans, their costs and feasibility. Board members and delegates organize new
debates with the communities based on this information. Based on their feedback, the Executive
presents a detailed budget proposal including all items of income and expenditure to the board
This first budget is followed by the definition of the Investment Plans based on:
• the priorities of each region chosen during the regional plenary assemblies (e.g. sanitation,
education, pavement, etc);
• the population of each region (more populated regions receive a higher weight).
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After crossing tabulating these criteria and talking to the population, there is the formulation of the
investment and works plan to be implemented in each region together with the sectoral investments
that are important for the whole city as proposed by the thematic groups and by the city government
The Investments Plan thus becomes the result of regional demands, sectoral demands and proposals
related to the strategic planning and development of the city. It is also the result of an intense dialogue
among communities, their associations, civil society organizations and the municipal government.
At the end of the process, the Participatory Budget Board submits the Investment Plan for approval.
After approval, the Executive sends the Municipal Budget to the City Council. Here we can observe a
complex debate between participatory democracy and representative democracy. It is a naturally tense
and difficult relationship, but it has proved to be a positive one. City Council members discuss and
debate the overall budget with the Executive and, together with the Board members, present
amendments and suggestions for change.
A strong negotiation process is established, resulting in changes that do not affect the overall structure
of the budget. The City Council approves the General Budget but the Investment Plans are approved
by the Participatory Budget Board.
Over the years we have defended the maintenance of this initiative an autonomous and self-managed
experience of popular participation. Attempts by the City Council to legislate the process by law have
neither been accepted by the population nor by the government that defends the public rather than the
political nature of the process.

Since the establishment of the Participatory Budget, the Municipality has allocated 25 percent of its
revenues to investment.
The rest is used for recurrent expenditures (salaries and maintenance). As previously mentioned, the
works decided by the Participatory Budget represent more than US$700 million in overall capital
investments over ten years.
Basic sanitation has been a top priority. 65,000 households have been connected to drinking water
supply. Today, water services are available to 98 percent of the households of Porto Alegre. Regarding
sewage, the growth has been even larger. In 1989, 46 percent of the population could count on the
sewage network. Investments made it possible for 85 percent of the population to benefit from sewage
by 1997.
Another priority was the paving of streets in the surroundings of the city. Annually 25 to 30 km streets
are paved in the poorest neighbourhoods of the city. Drainage and public lighting, housing and health
are other areas that have been addressed by the Municipality.
Regarding education, investments decided by the Participatory Budget resulted in the doubling of
enrolments from 1986 to 1996 while also improving the quality of education.
For health services, the Municipality fully embraced the municipal delivery of primary health services,
in agreement with the federal government. This system, named Unique Health System (SUS) ensures a
public and universal service through a network comprised of municipal sanitary units, private
hospitals, clinics and labs that have an agreement with the system and benefit from a carefully
managed system of transfer of resources. In accordance with the same principle of democratization,
the health policy in the city is decided by the Municipal Board of Health and by the Local Boards.
The results of the Participatory Budget however cannot and should not be measured through figures
and percentages alone. These serve to prove that participation, transparency and accountability
improve the effectiveness and efficiency of public expenditures.
More important than these practical results is the revival of citizenship in Porto Alegre and the
realization that it is possible to actively participate in public affairs. The role of the citizen has been
the main strength and primary consequence of this experience.
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The Participatory Budget is neither perfect nor a ready process. On the contrary, it faces problems and
issues that require constant attention, new discussions and improvements. It is also impossible to
replicate this system from one reality to another without making adjustments.
Nevertheless, it has a successful track record of national and international relevance. Many other
municipalities have adopted this system and scholars from different countries have visited our city to
know more about the Participatory Budget experience.
The Local Agenda 21
The term ‘Agenda 21’ can be translated as ‘hhat needs to be done for a 21
Century sustainable
and responsible’. It does not give already made solutions which could be applied similarly
everywhere on earth. These changes must be decided and put in place by the local populations

The Agenda 21 can be defined by the setting in appliance at a local level of the Rio programme. A city
having put into place a local Agenda 21 is a common whose social and biophysical functioning,
projects and evolution enter the perspectives open by sustainable development.

It is then a city:
1) whose inhabitants have the means to act for it to be organised and to function within
political, institutional, social and cultural conditions satisfactory for them and fair for all,
2) whose functioning and dynamics satisfy security objectives of biological life conditions, of
quality of environments and of limitation of resources’ consumptions,
3) which does not compromise the renewal of future natural resources.

A local Agenda 21 allows the concrete setting of the sustainable development concept by the local
communities. It is a planning document resulting from a transversal initiative, in partnership and
‘The initiative of Agenda 21 is wished to be turned towards economical ecology and not against
economics in favour of ecology.’

Generally, it must be made of a political strategy, of an inventory of fixtures, of objectives, of a
concrete plan of actions for the short, middle and long term, of a follow up and of an evaluation.
It involves communities in collaboration with elects, representatives of associations, companies or
other key actors of the life of communities.
The aim of a Local Agenda 21 is to give a greater dynamics to economical and social local policies,
to give a greater dynamics to local policies in the districtms life, to learn to hork together and to enter
nethorks of exchanges of experiences.
For a Local Agenda 21 to be successful, political involvement at the highest level is crucial. The
adhesion of municipal services to the initiative, as well as the cohesion of the elects and services
around the piloting, the involvement and mobilising of socio-economical actors are absolutely
necessary to best manage the integration of the Local Agenda 21.

7 mai 2002 – Lettre s Participel q lDAgenda $P Yocal O - Communauté de Communes de l’Autunois
Définitions et sources de l’Agenda 21 Local de la bibliothèque – site internet
21 avril 2002 – Article de presse s Yes citoyens appelés q participer aux cinq ateliers de lDAgenda $P Yocal O
in Le Journal de Saône et Loire
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Centre Scientifique et Technique du Bâtiment
Route des Lucioles - BP 209

Phone: +33 4 93 95 67 08
Fax: +33 4 93 95 64 31
Laure NAGY
84 Avenue Jean Jaurès – BP 02

Phone: +33 1 64 68 84 54
Fax: +33 1 64 68 83 50
Route des Lucioles - BP 209

Phone: +33 4 93 95 64 59
Fax: +33 4 93 64 31
Ville d'Angers
Mrs MOREAU, councillor
Mr Gilles MAHE, councillor
Mr Gildas BALES, [La Roseraie[ project leader
Hôtel de Ville, BP 3527
Phone: + 33 2 41 05 40 00
Fax: +33 2 41 05 39 00
La Roseraie

Ville de Cannes
Mrs COTTER, councillor
Mr CIER, head of urban planning service
Hôtel de Ville, BP 140
F- 06406 CANNES
Phone: + 33 4 97 06 40 00
Fax: +33 4 97 06 46 22
La Calade
363 Avenue de Pierrefeu

Phone: +33 4 93 40 29 30
Fax: +33 4 93 42 07 28
E-mail: or
Ville d'Echirolles
Mrs PRINCE–CLAVEL, councillor
Mr Qean CABALLERO, director of technical
Mrs Valérie VACCHIANI, in charge of
environmental service
Hôtel de Ville, BP 248,
Phone: + 33 4 76 63 00
Fax: +33 4 76 40 45 87
La Viscose

Ville d'Anzin
Mr Gery DUVAL, Mayor
Hôtel de Ville, Place Roger Salengro, BP 89
Phone: + 33 3 27 28 21 00
Fax: +33 3 27 28 21 01

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Institut de Tecnologia de la ConstrucciU de Catalunya
FructuUs MAVW
C/ Wellington 19
E-08018 Barcelona, Catalunya

Phone: +34 93 309 34 04
Fax: +34 933 00 48 52
Albert CUCHY
C/ Wellington 19
E-08018 Barcelona, Catalunya

Phone: +34 93 309 34 04
Fax: +34 933 00 48 52
Patronat Municipal de
l'Habitatge de Barcelona
C/ Dr. Aiguader, 26-36
E-08003 Barcelona

Phone: +34 93 291 85 08
Bon Pastor

Ajuntament de Manresa/Foment de la
RehabilitaciU Urbana de Manresa S.A.
Plaça de la Immaculada, 3 baixos
E-08240 Manresa

Phone: +34 93 872 56 01
Fax: +34 93 872 72 56


DirecciU General d'Arquitectura i Habitatge.
Generalitat de Catalunya.
C/ Aragi 244-248, 5ena planta
E-08029 Barcelona

Phone: +34 93 495 82 86
Antic / Escodines / Vic-Remei
Collegi d'Aparelladors I Arquitectes Tècnics de
Barcelona (CAATB)
Carrer Bon Pastor, 5
E-08021 Barcelona

Phone: +34 93 240 20 60
Fax: +34 93 240 20 61
Carrer Bon Pastor, 5
E-08021 Barcelona

Phone: +34 93 240 23 66
Fax: +34 93 240 20 61
Foment de Ciutat Vella
Mr Marc Aureli Santos
Mr MartZ Abella i Pere
Carrer Pinto Fortuny 17-19
E-08001 Barcelona

Phone: + 34 93 343 54 54
Fax: + 34 93 343 54 55
Raval - Ciutat Vella

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Institute of Ecological and Regional Development
Andreas BLUM
Weberplatz 1
D-01217 Dresden

Phone: +49 351 4679245
Fax: +49 351 4679212
Weberplatz 1
D-01217 Dresden

Phone: +49 351 4679246
Fax: +49 351 4679212
Landeshauptstadt Dresden
Mrs Kathrin Kircher, headmistress urban renewal
and neighbourhood planning
Hamburger Straje 19
D-01067 Dresden

Phone: +49 351 4883620
Fax: +49 351 4883579



Istituto Cooperativo per l'Innovazione
Antonella GROSSI
Via Ciamician, 2
I-40127 Bologna

Phone: +39 51 243131
Fax: +39 51 243266
Via Ciamician, 2
I-40127 Bologna

Phone: +39 51 243131
Fax: +39 51 243266
Via Ciamician, 2
I-40127 Bologna

Phone: +39 51 243131
Fax: +39 51 243266

Comune di Cinisello Balsamo
Mr Giuseppe FARACI, head City Planning
Mrs Lucia PALENA, Administrative Coordinator
Mr Roberto RUSSO, City Planning Department
Mrs Marina Lucchini, head Environment
Department and Agenda 21 Coordinator

Via U.Giordano 1
Phone: +39 2 66023450
Fax: + 39 2 66023443


Crocetta - Cornaggia

Comune di Mantova
Mr Michele CELONA, head City Planning
Mr Davide ONEDA, Agenda 21 Coordinator
Mrs Nicoletta LEORATI, City Planning

Via Roma 39
I - 46100 MANTOVA
Phone: +39 376 338500
Fax: +39 376 222814

San Leonardo - Porta Mulina
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Via Zacconi, 16
I-40127 Bologna

Phone: +39 051 6337811
Fax: +39 051 6337814
E-mail: or
Via Corridoni, 56
I-46100 Mantova

Phone: +39 0376 368412
Fax: +39 0376 368894
Francesco CAPRINI
Via Corridoni, 56
I-46100 Mantova

Phone: +39 0376 368412
Fax: +39 0376 368894
Nicoletta ANCONA
Viale Scarampo, 49
I-20148 Milano

Phone: +39 02 3271782
Fax: +39 02 33005763
Comune di Melegnano
Mr Ercolino DOLCINI, Mayor
Mrs Giulietta PAGLIACCIO, Environment
committee chairman

Mr Vittorio CIPOLLETTA, City planning
committee chairman
Phone: +39 02 982081
Fax: +39 02 9837669

Mrs Letizia GIARDINETTI, City planning office
Phone: +39 02 98208302
Fax: +39 02 98208275

Municipio, Piazza Risorgimento, 1



Sct. Jacobs Vej 4
DK- 2750 Ballerup

Phone: +45 44 660099
Fax: +45 44660136

Frederiksberg Kommune
Mrs Anne Aunby, Project co-ordinator
Town Hall
Smallegade 1
DK-2000 Frederiksberg

Phone: +45 3821 4265
Fax: +45 3821 4500

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University of the West of England
Martin SYMES
Frenchay Campus - Coldharbour Lane
UK-BS16 1QY Bristol

Phone: + 44 117 344 3968
Fax: +44 117 344 3002
Frenchay Campus - Coldharbour Lane
UK-BS16 1QY Bristol

Phone: + 44 117 344 3215
Fax: + 44 117 344 3899
Marcus GRANT
Frenchay Campus - Coldharbour Lane
UK-BS16 1QY Bristol

Phone: + 44 117 344 3363
Fax: +44 117 344 3899
Bristol Regeneration Partnership
Mr Graham Partridge, Best Practice Manager
Community at Heart
Salisbury Street
UK- BS5 9UD Bristol

Phone: +44 117 903 9071

[Community At Heart[ Barton Hill,
Redfield, Lawrence Hill, The Dings

Zijpendaalseweg 1c
NL-6814 CA Arnhem

Phone: +31(0)26 4427236
Fax: +31(0)26 4424276
Gemeente Vlissingen
Mr Henri C.A. Willemsen, head Environmental
Glacisstraat 165
NL-4381 SE Vlissingen

Phone: +31(0)118-487173
Fax: +31(0)118-487070
Royal Schelde Group

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La participation des habitants à la gestion de la ville, des quartiers, des espaces bâtis, etc., apparaît
comme un élément fondamental de la démocratie. Les lois d'urbanisme, les projets de développement
durable, les programmes d'action sociale y font constamment référence. Mais la pratique se révèle
souvent très en retrait des textes. La participation et ses différentes formes, consultation, concertation,
sont souvent des mots-valises dont le sens est galvaudé.
Il est vrai que les méthodes de participation exigent une forte volonté des décideurs, élus ou maîtres
d'ouvrage, des règles définissant les modalités et une culture. La participation est issue d'un
apprentissage continu et constitue aussi un processus d'acquisition des connaissances et d'une culture,
la culture de celui avec lequel on partage, on négocie.
La démarche de développement durable et la participation des habitants requièrent finalement des
procédures de formation et éducatives. Les projets de renouvellement urbain doivent s'engager dans
ces démarches éducatives, en amont et tout au long des projets. Une étape particulièrement importante
est le passage du diagnostic de territoire, lequel doit aboutir à une définition commune des enjeux à
court, moyen et long termes. La définition des plans d'action peut alors reposer sur un process
réellement intégré et participatif.
Ce rapport décrit les procédures permettant d’améliorer la participation des habitants et usagers : les
principales lois, les Agendas 21 Locaux, les programmes locaux et nationaux (type Politique de la
ville) ainsi que les pratiques dans chacun des pays avant d’en dégager des recommandations pour
chacun des pays puis une synthèse européenne.

Die Beteiligung der Bewohner an den Angelegenheiten der Stadt, des Stadtteils, der Gebäude usw.
erscheint als zentrales Element von Demokratie. Das Planungsrecht, die Programme mit dem Ziel
einer nachhaltigen Entwicklung und diverse Sozialprogramme beziehen sich fortwährend darauf. Die
Planungspraxis ist dagegen weit von einer umfassenden Realisierung dieser Ziele entfernt. Beteiligung
und all ihre Ausprägungen – Mitsprache, Mitentscheidung – sind oft überstrapazierte Worte.
Richtig ist, dass Beteiligung eine Willensentscheidung voraussetzt seitens der Entscheidungsträger,
der Mitglieder der Kommunalparlamente oder der Gebäudeeigentümer ebenso wie Regeln, die die
Ausgestaltung der Beteiligung regeln und schließlich eine entsprechende Beteiligungskultur.
Beteiligung bedeutet dauerhaftes Lernen und besteht aus einem Prozess zum Erwerb von Wissen und
einer entsprechenden Kultur – eine Kultur des Teilens und Verhandelns.
Der Ansatz einer nachhaltigen Entwicklung und die Bewohnerbeteiligung sind eng mit Lernprozessen
verbunden. Vorhaben der Stadterneuerung müssen sich mit Lernansätzen befassen – vor Beginn des
Vorhabens und in der Phase seiner Durchführung. Ein besonders wichtiger Schritt ist eine gemeinsame
Bewertung des Gebiets, die es erlaubt, gemeinsam Themen von kurz-, mittel- und langfristiger
Bedeutung zu definieren. Die Erarbeitung von Maßnahmenplänen kann sich dann auf einen wirklich
integrierten und partizipativen Prozess stützen.
Dieser Bericht beschreibt Vorgehensweisen, die es erlauben, die Beteiligung der Bewohner und
Nutzer zu verbessern: die wichtigsten Gesetze, die Agenda 21-Initiativen, die kommunalen und
nationalen Programme (im Bereich Stadtpolitik) ebenso wie deren Umsetzung in den einzelnen
Ländern; anschließend werden Empfehlungen für die einzelnen Länder entwickelt gefolgt von einer
Zusammenfassung für die Europäische Ebene.

La participació dels habitants en la gestió de la ciutat, dels barris, en resum, de l’espai construït i
habitat, apareix com un element important en una societat democràtica. La llei del sòl, el planejament,
els projectes de desenvolupament sostenible i els programes d’acció social hi fan constantment
referència., però la realitat, està molt lluny de les intencions. De la paraula participació se n’abusa més
que no pas una altra cosa.
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És cert que la participació requereix la voluntat de les institucions, dels representants polítics o dels
tècnics , però cal també definir límits, i sobretot, desenvolupar-ne una cultura. Participació vol dir
aprenentatge continuat i constitueix també un procés d’adquisió d’uns coneixements i una cultura, la
cultura d’aquells amb els que compartim o negociem.
El desenvolupament sostenible i la participació dels habitants necessiten un procés d’aprenentatge i
educació. Els projectes de regeneració urbana han de partir d’aquesta voluntat educativa, abans i
durant el procés. Una etapa veritablement important és el procés de diagnosi durant el qual es
defineixen els objectius i les prioritats a curt, mitjà i llarg termini. Només llavors és possible definir els
plans d’acció d’una manera veritablement integrada i fruit d’un procés participatiu.
Aquest document pretèn descriure procediments per tal de millorar la participació dels habitants i
usuaris: les principals lleis, les Agendes 21 locals, els programes locals i nacionals, així com les
pràctiques existents en cada país, proposant recomanacions per cada país i una síntesi europea general.


La participación de los habitantes en la gestión de la ciudad, de los barrios, en resumen, dels entorno
construido y habitado, aparece como un elemento importante en una sociedad democrática. La ley del
suelo, el planeamiento, los proyectos de desarrollo sostenible y los programas de acción social hacen
constantemente referencia a la participación, pero la realidad está muy alejada de las intenciones. De
la palabra participación se abusa más que no otra cosa.
Es cierto que la participación requiere la voluntad de las instituciones, de los representantes politicos,
de los técnicos, pero hace falta también definir límites, y sobre todo, desarrollar una cultura.
Participación quiere decir aprendizaje contínuo y constituye también un proceso de adquisición de
unos conocimientos y una cultura, la cultura de aquellos con los que compartimos y negociamos.
El desarrollo sostenible y la participación de los habitantes requieren de un proceso de aprendizaje y
educación. Los proyectos de regeneración urbana tienen que partir de esta voluntad educativa, antes y
durante el proceso. Una etapa verdaderamente importante es el proceso de diagnosis durante el cual se
definen los objetivos y las prioridades a corto, medio o largo plazo. Sólo entonces, es posible definir
los planes de acción de una manera verdaderamente integrada y fruto de un proceso participativo.

El presente documento pretende describir procedimentos para mejorar la participación de los
habitantes y usuarios: las principales leyes, las Agendas 21 locales, los programas locales y
nacionales, así com las practicas existentes en cada país, proponiendo recomendaciones para cada país
y una síntesi europea general.

La partecipazione degli abitanti nella gestione della città, dei quartieri e dello spazio costruito sembra
costituire un fondamentale elemento di democrazia.
Le leggi sulla pianificazione urbana, i progetti di sviluppo sostenibile e i programmi di azioni sociali
fanno riferimento costante alla partecipazione degli abitanti. La prassi, tuttavia, è spesso lontana dalle
intenzioni. ”Partecipazione” e tutte le sue accezioni – consultazione, concertazione, etc. – sono spesso
termini abusati.
Certamente la partecipazione richiede un forte atto di volontà da parte dei decisori, amministrazione
pubblica e committenza, una specifica cultura e regole che ne definiscano le modalità di attuazione.
La partecipazione è un campo di apprendimento continuo e sottende anche un processo di acquisizione
di conoscenza e cultura - la cultura di coloro con i quali si condivide o si negozia.
L’approccio allo sviluppo sostenibile e alla partecipazione degli abitanti richiede processi di
educazione e formazione. I progetti di riqualificazione urbana devono confrontarsi con questo
approccio formativo, prima e durante l’intero sviluppo dei progetti.
Una fase particolarmente significativa è l’analisi condivisa dell’ambito spaziale urbano oggetto di
intervento, che dovrà concorrere alla definizione comune di priorità a breve, medio e lungo termine.
Participation by residents and users: legal and regulatory context, and recommendations (Deliverable 15) HSE
La Calade - CSTB
In questo modo sarà possibile definire piani d’azione basati su un processo effettivamente integrato e
Questo documento descrive le procedure che consentono di migliorare la partecipazione degli abitanti
e degli utenti: le principali leggi, le esperienze locali di Agenda 21, i programmi locali e nazionali e le
prassi di ciascun paese. Infine, sono riportate alcune raccomandazioni per ciascun paese e una sintesi
europea generale.

Borgerdeltagelse/borgerinddragelse i beslutningsprocesserne angående ledelse og udvikling af byen,
bykvartererer og bebyggede områder iøvrigt er et fundamentalt element af demokratiet.
Byplanlovgivning, bæredygtige udviklingsprojekter og sociale programmer refererer konstant til
borgerdeltagelse, men praksis er ofte langt fra intentionerne. Borgerinddragelse og dens forskellige
niveauer er ord, hvis værdi in nogen udstrækning er devalueret.

Borgerinddragelse kræver en viljesindsats af beslutningstagere, byrådsmedlemmer og/eller
bygningsejere. Borgerinddragelse er en konstant læringsproces og består også af en proces for
indsamling af viden og forståelse af kultur – den kultur der er gældende for dem vi vil inddrage og
forhandle med.

Den bæredygtige udviklings tilgang til borgerinddragelse kræver procedure for træning og uddannelse.
Byfornyelsesprojekter er nødt til at engagere med uddannelse af borgerne både forud for projektet og
parallelt med dem. Deltagelse i en analyse af det område, det drejer sig om, er et særligt vigtigt skridt,
som sigter mod at definere fælles temaer og prioriteter på kort, mellem og langt sigt. Det er derefter,
muligt at basere beslutninger om handlingsplaner på en virkelig brugerinddragelsesproces.

De participatie of tenminste inspraak van inwoners in het management en bestuur van de stad, van de
wijken, van de gebouwde omgeving, enzovoorts, is een fundamenteel element van onze democratie.
Wetten op het gebied van ruimtelijke ordening, ontwikkelingsprojecten op het gebied van
duurzaamheid en sociale actie programma’s refereren aan inwoners participatie. Maar de praktijk staat
vaak ver van de goede voornemens. Participatie en verdere geledingen - consultatie en machtiging -
zijn vaak te snel gebruikte woorden.
Het is waar dat participatie gewild moet worden door de besluitvormers, het stadsbestuur of de
gebouweigenaren en dat regels en cultuur de mogelijkheden en onmogelijkheden bepalen. Participatie
is een continu leerproces en bestaat ook uit een proces van het verkrijgen van kennis en ontwikkelen
van een cultuur, de cultuur van degenen met wie wij delen of met wie wij onderhandelen.
De duurzame ontwikkelingsbenadering en bewonersparticipatie vereisen training en
scholingsprocedures. Stedelijke vernieuwingsprojecten moeten scholingsaanpak in acht nemen,
vooruitlopend op en tijdens de projectuitvoering. Het delen in de analyse van de betrokken regio is een
uitzonderlijk belangrijke stap die streeft naar de financiering van gezamenlijke korte, middel en lange
termijn uitkomsten en prioriteiten. Dan eerst is het mogelijk de definiëring van actieplannen te baseren
op een oprecht geïntegreerd en participatie proces.

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