SG

1~1/h
Regional DevelDpment and Public Policy Series
Series editDr RDn Martin, University Df Cambridge

Regional Developmenl and Public Policy is an internatiDnal series

that aims to provide authoritative anatyses of the new significance
of regions and cities for economic development and public policy. It
seeks to combine fresh theoretical and empirical insights with
constructive policy evaluation and debates, and to provide a
definitive set of conceptual, practical and topical studies in the fietd
of regional and urban public policy analysis.
Social Exclusion
Regional Development Agencies in Europe
Henrtk f-Ialkier, Charlolle Damborg and Mike Danson (eds.) in European Cities
Social Exclusion in European Cities Processes, Experiences
Processes, experiences and responses
Ali Madanipour, G6ran Cars and Judith Allen (eds.) and Responses
Regional InnDvation Strategies Edited by Ali Madanipolll; Caran Cars
The challenge for less-favDured regions
Kevin Morgan and Claire Nauwelaers (eds.) andJudith Allen
Foreign Direct Investment and the Global Economy
Nicholas A. Phelps and Jeremy Alden (eds.)

Restructuring Industry and Territory

The experience of Europe's regions
Anna Giunta, Arnaud Lagendijk and Andy Pike (eds.)

Community Economic DevelDpment

Graham Haughton (ed.)

Out Df the Ashes?

The social 'Impact Df industrial contraction and regeneration on
Britain's mining communities
DaVid Waddington, Chas Critcher, Bella Dicks and David Parry
 All rights reserved. No paragraph of this public;Jtion may be reproduced, copied or
tr;msmilled save with wrillcn permission or in accordance with the proYisions of the
Copyright ACI 1956 (as amended), or under the terms of any licence permilting limited
ropying isstJed by the Copyright Licensing Agency; 33-34 Alfred Place, London we I E Contents
7DP. Any person who docs any un:mthorised an in relation to this publication may be liable
to criminal prosecution and civil claims for damages.
The righl of the contributors to be identified as authors of this work has been asserted by 1. Introduction 7
them in accordance with the Copyright, Designs find Paten IS Act 1988.
judah Allen, Universtty of Wi5tminster; Goran Can, Royal Imtitute
Firsl puhlished ill 1998 by
Jessie" Kingsley Puhlishel".s LId of Technology, Stockholm; and Air' Madampour, Universtt), of NeJVcastle

\\'ilh
PART I PROCESSES AND DIMENSIONS OF SOCIAL EXCLUSION
till' Rl.'giDllnl SlIltlil.'S As~Ot:ialilJn
Hl.'gislercd Chadty ~522(19 2. Europe of the neighbourhoods: class, citizenship
and welfare regimes 25
Reprinted 200.1 by Routledge
2 Park Square. Milton Pari:, judith AI/en, Universi£y of Wi5tminster
Abingdon, 0.\011. OXl4 4RN
3. Institutionalist theory, social exclusion and governance 53
Copyrighl if) 2ono The Slalionnry Oflh:e (.~eellntl impression)
First puhlished 199R (0 Jessie,l Killgslcy Pllhli,~hers
Pat5y Healey, Urriversity ofNewcastle
tD 1UUJ ROlltlcllge Social exclusion and space 75
Ali Madam/JOur, University ofNewcastle
Transferred to Digital Printing 2005

PART II EXPERIENCES OF SOCIAL EXCLUSION

5. Barriers, boxes and catapults: social exclusion
British Lihrary Cataloguing in Puhlication Data
to. CIP catalugue record fur this book is available fruln The British Libmry and everyday life 95
R05e Gilroy and Suzarrrre Speak, University of Newcastle
6. Troubled housing estates in Denmark 115
ISBN 0-11702372-8
Hedvtg Vf5Iergaard, Dani5h Buildirrg Research Institute
7. Exclusion, invisibility and the neighbourhood
in West Dublin 131
Brerrdarr Bartley, National Urriversity of Ireland, Maynooth
8. Spatial segregation and social exclusion
in a peripheral Greek neighbourhood 157
Arrrrie Vtychea, National Techrrical University, Atherr5
arrd Charalamb05 GolemlJ, PRAXIS, Atherrs

PART III RESPONSES TO SOCIAL EXCLUSION

9. Rethinking social housing in the hour-glass society 177
Alairr Lipretz, Centre tfEtudes Pr05pectives d'Economie
l\1athCematique Appliquees d la Planification, Paris
 10. Policies against social exclusion at the neighbourhood
level in Germany: the case study of Northrhine-Westphalia 189
Susanne Kiirpick and Sabine weck, Institut filr Landes-'lIId Stadt- CHAPTER I

CIItwick/ungsforschung des Landes Nordrhein- westfalen, Dortmund

1I. Mobilising community resources in Portugal
MariaJoao Lopes Freitas, Laborat6rio Nacional de Engenharia Civil,
2II Introduction
Lisbon Judith AI/en, Gorall Cars alld Ali Madallipour
12. Combating social exclusion: looking in or looking out? 235
Stuart Cameron. Univo'siry ofNfU'casile and Simin Davoud,:
Universrry College London
I3. Social integration and exclusion: the response
of Swedish society 253
Coran Cars and Maud Edgren-Schorr; Royal Inslllute of Technolog)\ Throughout Europe, structural integration has proceeded in parallel with a
srockho/m growing concern about the disintegration of everyday social relations.
Global changes clearly affect all of Europe: competition with the tiger econo-
PART IV CONCLUSIONS mies, fundamental technological change and new communications technolo-
14. Social exclusion in European cities gies, pressure from migrants moving east to west and south to north. The
279
Coran Cars, Air Madanipour andJudith Allen ongoing unification of western European space and the rransformation of its
component welfare states is having a major impact on shaping its cities and
The Contributors 289 societies. Whether experiencing economic growth or decline, all major Euro-
Subject Index 293 pean cities arc witnessing the symptoms of growing social exclusion: increas-
Author Index ing long-term unemployment, male joblessness and the feminisation of an
299
increasingly casualised workforce, widening gaps in income levels, increas-
ing disparities in educational and skill levels, deteriorating health and life ex-
figures pectancies for the poorest members of society. In many cities, these changes
3.1 Stakeholder map of a communiry developmcm initiative in New(astle.upon~ are especially visible in the spatial concentration of immigrant and ethnic mi-
Tyne, in the northeast of England 63 nority communities and in large areas with deteriorating environmental con-
5 I A holistic view of everyday life and lhe impact of governance
96 ditions.
61 The mutu<llly reinforcing and negative effecls of internal and external condi-
tions on the material and structural relationships surrounding troubled escates 123
The processes which link the unification of the western European space
6.2 Initiatives 10 inOuence positively the problems of troubled estates 125 and the fragmentation of its urban life are complex. At their root, however, is
B.I Spatial planning and social intervention 10 integrate the neighbourhood
9.1
167 the changing nature of work in contemporary society. Increased global com-
French hour· glass sodclY (1986--1994) IB I
10.1 Location of lhc 21 ntighbourhoods with special regwerarion needs in petition leads employers to transfer their risks onto the workforce wherever
Northrhine-Westphaliil possible. As the balance of employment throughout Europe has shifted from
'93
102 Verlical and horizontal networking wilhin the Northrhine.Weslphalia funding
manufacturing to the new service industries, the transfer of risk breeds new
programme (adapted from KUrpick 1995)
'95 forms ofinserurity among large segments of the workforce, through increas-
10.3 Organisalional approach of Prnj(kr Marxloh (based on Projrla Marxloh 1996)
199
104 Organisational approach of Hamm-Norden ing part-time and temporary working and self-employment, and creates new
204
J I. I LocHion of barrdCdJ in CascaL\ 215 pressures on household and kinship structures in providing support for their
IU Two possible frames for del1ning priorities and choices
215 members. As global competitiveness has become the rallying cry of neo-
1 I.] Eight .~igtlif1canl challenge.~ for rhe reseUlemenl programme 217
I J.4 Seven innovalive intervention strategies liberal governments throughout Europe and as commitment to the conver-
221
" , nl ' J ._..' , •
 SOCIAL EXCLUSION It,j EUROPEAN CITIES
gence criteri~l for monetary union has come to be seen as ;] key element in
achieving it, welfare state systems of support for households and individuals
are being reconstructed in order to reduce public expenditure,
In 1993, Eut'Ostat estimated that one-fifth of all children and one-sixth of
all individuals in the European Union lived in poverty, that is, 58 million peo-
ple (CEC 1993), This figure conceals important disparities across the Union:
the whole of Greece, Portugal, Ireland, two-thirds of Spain, Italy's Mezzo-
giorno and most of the former East Germany had incomes less than 75% of
the EU average, accoullling for 55 per cent of all those in poverty (CEC
199\; Atkinson \99 I), Moreover, poverty affected specific groups dispro-
portionately: young people, women, ethnic minority and immigrant groups,
and the elderly. While there is a Iivcly methodological debate about these es-
timates (ef. Kleinman \996 for a summary), it should not obscure the signifi-
cance of the issue in terms of European integration,
From the Commission's perspective, the changing structure of poverty
presents a substantial risk for the future of the European project:
The Community cannot be satisfied with a 'two-speed society' breed-
ing, as it causes poverty, exclusion and frustration, The single frontier-
free market and monetary union constitute growth factors for Europe as
a whole, but they are also risk factors for the weakest regions and social
groups and must be accompanied by more dynamic policies in the field
of economic and social exclusion, (CEC 1992)
Although promoting economic and social cohesion was one of three key ob-
jectives in the 1991 Maastricht Treaty on European Union, the subsequent
Actioll Prog,'amme to Combat Social Exclu.HfJ/1 aTld to Promote Social Solidarity (CEC
1993) more directly reflects the Commission's view that the potential for so-
cial fracture threatens progress towards ever-closer union. Recognising that
broader structural mechanisms have been set in motion by the process of
European unification, the Programme focuses on those groups who have
been socially excluded from education, employment, housing, health and
other social services and gives special emphasis to issues of gender, culture,
ethnicity and race within a multidimensional perspective, More significantly,
the programme emphasises interventions at a local level using methods
which embrace active participation by those whom the European project it-
self disadvantages,
An important implication of this description of the problem is that social
exclusion manifests itself differently in different cities, National contexts dif-
fer. Welfare regimes in each country reflect different principles of social or-
ganisation and normative bases. Different cities are differentially placed
• .. - •. _:- __ .J ~ ..... ,..i,~1 ~t"l:clrf' ~ome experiencing: Q:fowth
INTRODUCTION
social exclusion and spatial segregation nrc virtually synonymous, Others ex-
hibit a more fine-grained pattern of differentiation. In some places, ethnicity
and race form fundamental dividing lines in socia-spatial structures, In other
places, culture and kinship networks are more significant. Finally, specific
patterns of local governance and welfare state provision affect local patterns
of social exclusion.
This book reports on the first stage of a European Targeted Social and
Economic Research project, It has grown out of a meeting held in January
1996 at the Centre for Research in European Urban Environments, Univer-
sity ofNewcastle-upon-'Tyne, .Iponsored by the UK Economic and Social Re-
search Council. The aim of the meeting was to generate a set of ideas and
methods which could serve as" basis for cross-national dialogue and research
on social exclusion and neighbourhoods, The meeting was exceptionally
fruitful in developing a coherent perspective to underpin future work. One
consequence of the success of the meeting is that all the work included in this
volume has been substantially revised and developed since that preliminary
meeting, which justifies presenting these earlier results to a wider audience,
The contributions in this book analyse social exclusion in specific urban
neighbourhoods in eight European countries: Denmark, England, France,
Germany, Greece, Ireland, Portugal and Sweden. The book has four specific
aims, First, it aims to understand how social fragmentation affects urban
neighbourhoods throughout Europe and how the most acute forms of social
exclusion find a spatial manifestation in cities, Second, it aims to link more
general theoretica) perspectives on social exclusion in cities with specific em-
pirical studies of particular neighbourhoods. Third, the book seeks to ex-
plore how new patterns of socia-spatial fragmentation within cities can be
related to the emerging European space, By sharing experiences across coun-
tries, it aims to identify more clearly how common generative mechanisms
work themselves through in a variety of different national and local contexts,
These three aims lead to the fourth, which is to provide studies which will
contribute to forming an agenda for further research aimed at testing the as-
sumptions which underlie the work reported in this book and contributing to
policy discussion and implementation at European, national and local levels,
The book itself is organised in four parts. Part One sets out the broad con-
ceptual dimemions which inform the remainder of the chapters: how global
and European-wide change can affect neighbourhoods throughout Europe,
the changing nature of urban governance, and the socia-spatiality of pro-
cesses of social exclusion, Each of these themes is developed at some length in
order to provide a theoretical context for the more specific and localised stud-
ies which form the remainder of the book. Thus, the first chapter within this
• .- , 1_
10 SOCIAL EXCLUSION IN EUROPEAN CITIES
tion with its effects on neighbourhoods: changing class structures and rela-
tionships, the control of immigration and its effects on racism, and the
consequences of changing bases of citizenship as these are worked out
through different welfare regimes. The second chapter traces through the
ways that changes in urban governance affect the linkages between residents,
neighbourhoods and wider urban governance mechanisms. It develops the
idea of assessing the relational resources available to 'people living in places'
as the basis for understanding how social fragmentation can inhibit human
nourishing. The third chapter explores the subtle links between social and
spatial boundaries, arguing that such boundaries are essential for maintaining
social order but at the same time can create barriers for particular groups
which contribute to, and indeed are a part of, processes ofsocial exclusion.
Partl\vo describes the experience of living in particular neighbourhoods
in four different coul1lries. Two different approaches are used to focus on
these 'living places'. The first approach is based on understanding how
socio-spatial barriers affect the nature of everyday life, that is, the basic and
routine activities carried out each day to sustain one's own life and that of
others. The first study examines how socio-spatial barriers affect a particular
social group, young people making the transition from adolescence to young
adulthood. The second study explores how new forms of intervention must
be devised in order to improve not only the physical characteristics of mod-
ern housing estates, but also the social integration of excluded groups whose
behaviour is seen as destructive by others. The second approach examines
how the management of urban space through town planning can contribute
to social exclusion by isolating and dividing groups in ways which make
them invisible in the wider society, or alternatively by devising plans which
simply ignore their existence and social needs.
Part Three considers the nature oflocal governmental responses to the in-
creasing social exclusion of neighbourhoods in five countries. It is introduced
by a chapter which outlines the different kinds of responses which are avail-
able to governments in addressing the consequences of social exclusion on
the lives of particular groups. The remaining four chapters describe innova-
tive local programmes in four countries. Two themes run throughout all these
responses. The first is the significance of building networks which embrace
the participation of excluded groups in designing solutions which meet their
needs. Such work reguires accepting that the way professionals define the
needs of excluded groups can be part of the problem, rather than part of the
solution. The second theme is the requirement to balance building participa-
tive networks within neighbourhoods with finding ways to link these neigh-
bourhoods into the wider networks of urban governance and to link
residents in these neighbourhoods with wider initiatives to provide new em-
INTRODUCTION
"
ployment opportunities as well as access to health, education, training and
other social L1cilities. Finally, Part Four presents some conclusions.
Social exclusion as a social pracess
The remainder of this introduction outlines the common ideas and concep-
tual framework which run throughout all the contributions and provide the
context for each chapter. Three matters need to be mentioned at the begin-
ning: the problem of terminological diversity, how the idea of social exclu-
sion entered European dialogue and how the concept of neighbourhood is
used throughout the book. These introd uctory comments set the stage for ex-
plaining the concept ofsocial exclusion as a multi-faceted 'relational' concept
describing a complex set of social processes. The final issue which needs to be
discussed is the way in which the nature of social exclusion raises subtle and
new moral-practical issues in analysing it and in devising ways to combat it.
Terminological diversity
Considerable terminological diversity characterises almost any discussion of
social exclusion. On the positive side, words in common usc include (social)
il/sertion, integration, inclusion, solidarity and cohesion. On the negative side,
a wide variety of terms are used: (social) exclusion, isolation, marginalisation,
segregation, ftacture and socially exposed. Occasionally, the words poverty
and multiple deprivation turn up, usually denoting the indicators by which
those people and groups suffering from social exclusion may be identified
but, more importantly, connoting a key distinguishing idea, that social exclu-
sion (by any name) is a social process within a whole society rather than a way
of categorising individuals and groups within that society.
This terminological diversit)! generally reflects the powerful dynamism of
discussions of social exclusion. It is far from trivial to observe that part of the
diversity of language refleers the problems of forging a consistent and usable
common language across Europe (Eura-English, in this case) for discussing
emergent and new phenomena. These 'linguistic' problems, in turn, are gen-
erally rooted in different national political, intellectual and research tradi-
tions, as well as more specifically rooted in the diverse academic and
professional backgrounds and practical purposes of participants in the dis-
cussion (politics, sociology, economics, geography, town planning, architec-
ture, social work and social administration). Seen in this light, what stands
out is the strength of the consensus that important new social phenomena are
emerging across all the Europc<ln Community's member states, and that these
12 SOCIAL EXCLUSiON IN EUROPEAN CITIES
phenomena arc in some way linked with the formation of the European Un-
ion.
In considering terminology, it is important to distinguish between those
uses of words which are primarily designed to identify and label an empirical
phenomenon, and those uses which are designed to refer to a set of ideas
about social phenomena and process. [n the latter usage, Hadjimichalis and
Sadler (1995a) present a set of papers which, taken together, argue that mar-
ginalisation is a wider social process which includes social exclusion as one
part of it. The reason for this term of argument is twofold: one is to distin-
guish marginality from the economists' use of the term (meaning incre-
mental) and the second is to indicate an interest in socia-spatial phenomena.
Asecond important approach to ideas about the phenomenon of social exclu-
sion is found in the collection of articles edited by Mingione (1993) which
discuss 'the new urban poverty and the underclass. Again, the aim of this col-
lection is twofold: one is to argue that there are emerging new social phe-
nomena which require theorising and the second is to examine the usefulness
of Wilson's work on the (black) American underclass in this context (see also
Friedrichs 1997).
It is important to comment on aspects of this terminological diversity if
mutual understanding is to be achieved. Chapter 2 by Allen outlines some of
the dimensions of social change throughout Europe which have generated
these attempts to forge new terminologies and conceptual frameworks ade-
quate to analyse what is widely agreed to be a new social phenomenon. How-
ever in order to understand fully the roots of terminological diversity, it is also
useful to review how the term 'social exclusion' entered the European
agenda.
Social exclusion and the formation of the European Union
The Single European Act in 1987 and the Maastricht Treaty in 1991 consid-
erably quickened the pace of movement towards ever-closer union. Prior to
the mid-1980s, European actions aimed at equity issues were relatively shal-
low and broad brush in nature (Hadjimichalis and Sadler 1995b), aimed ei-
ther at specific countries (the southern member states and Ireland) or at
particular declining sectors of industry (coal, steel, agric~lture), By the mid-
1980s, complex negotiations over widening and deepemng the Community
led to a sharpened focus on marginal social groups within each of the mem-
ber states. In addition, Eurostat had by this time begun to grapple with the
complex technical issues of defining and measuring povwy throughout the
'. ... t _ ~ _ _ I.. ,,,.,r th Prp rrrnwino :lI1d incontrovertIble eVIdence that,
I)
INTRODucnON
economy, there were some groups who were unlikely to be in a position to
benefit from these changes, but this evidence also gained political salience in
the negotiations prior to the Maastricht Treaty, which was intended to be a
fundamental next step towards ever-closer union,
It was in this institutional context that Jacques Delors introduced the con-
cept of social exclusion in a set of negotiations with the social partners. The
term social exclusion derives from its use in French social policy, and specifi-
cally from the political programme of the French Socialist governments of
the 1980s. In this context, the term carries two important speCific connota-
tions. First, it arises within a conceptualisation of national sovereignty
founded in the idea of 'the one and indivisible Republic' so that actions to
combat social exclusion seek the social, political and moral insertion of sub-
jects within this wider unified French social order. In other words, it is diffi-
cult to reconcile this concept of social order with social (especially cultural
and ethnic) diversity. Thus, a highly salient practical political argument for
combating social exclusion, which rooted itself across a very broad political
spectrum in France, was that failure to combat social exclusion would lead to
social fracture, threatening the basis of the Republic. Second, on the baSIS of
these arguments, an important achievement of the French governments dur-
ing the 1980s was to establish the revenu minimum d'insertion, a guaranteed
minimum income, which recognises that not only are there groups who are
likely to remain outside the labour market, but there are other group~ who
will have only a precarious relationship with it. Thus, there IS an ImpliCit rec-
ognition in this approach that actions to achieve 1;lsertioll cannot n~cessarily
depend on employment as a basic form of socialisation into a s~clal ord~r.
When Delors introduced the term into the European Community negotla-
:0-
tions, it took on a very different spin. First, the positive aim for combating
cial exclusion shifted from one of achieving Insertioll to one of promotmg
social and economic cohesion. Economic cohesion has been an aim for the
Community since the early Treaties, and social cohesion entered the agenda
with the Maastricht negotiations. Effectively, there has been an important
shift in perspective at the European level from a view which sees the problem
of cohesion as one of relationships among the member states to one which
sees the population of the Union as a whole and among whom social exclu-
sion must be addressed wherever it occurs. At the same time, the Union's use
of the concept ofsocial exclusion implies a clear acknowledgement that there
are negative effects, disadvantaging particular groups, built into the dynamics
of achieving ever-closer union. Thus, the Action Programme CO Combat Social
Exclusion alld to Promote Soddl Solidartty is an explicit recognition of the Un-
ion'.' oolitical responsibility for addressing these problems. Nevertheless, b.e-
 SOCiAL EXCLUSION IN EUROPEAN CiTIES
implementation of the action programme was clearly loc"ted as subject to the
principles of subsidiarity and proportionality and, thus, devolved to the
member states, and it is this devolution which has led to terminological diver-
sity as the idea becomes rooted in difrerent national contexts. In summary, an
issue which is identified as Union-wide in scope and signiAcance leads to "
'global' Union·wide policy framework which includes implementation at 'l-
ocal' level on the grounds that the groups who are affected by social exclu-
sion are spatially concentrated within urban areas. The main open question in
this approach is whether the Union's policy framework is robust enough to
be efTective when implementation is so devolved (cf. O'Brien and Penna
I997 for discussion ofa similar problem affecti ng envi ron mental regul "tion).
This discussion of the origin of the term provides the b"ckground to the
way in which the contributors to this volume have conceptualised social ex-
clusion in specific urban neighbourhoods. Thus, since the word neighbour-
hood is also used in diverse ways, it is import"nt 10 clarify how the concept of
neighbourhood is used in this book.
Neighbourhoods
The contributions in this book deploy the concept ofneighbourhood heuris-
tically to indicate localities within which concentrations of poverty may be
found. This approach connects the idea of neighbourhood with the localistic
orientation of the European Union's action programme to combat social ex-
clusion. As Madanipour argues in Chapter 4, the concept of neighbourhood
has two very distinctive socia-spatial meanings. One meaning has its roots in
an extensive literature about community, which explores the type and signifi-
cance of the social relationships which bind people together in small places.
In this context, as Healey notes, confronting the fluid and fragmented nature
ofsocial relations in contemporary society implies that the assumptions ofge-
TlJcinschafi which underlie much of the literature on communi ty are no longer
releva nl. However, rejectin g the gCTlJeinschaji!gesellscha(i distinction requires a
way of explicitly attending to the nature of social relationships which do
form in smaller areas. Two chapters illustrate this point. Gilroy and Speak
(Chapter 5) develop a fine-grained analysis ofeveryday life precisely as a way
of discerning how social relationships are shaped by the social management
of space, in particular access to social housing, while Vrychea and Colemis
(Chapter 8) discuss the problems which traditional patriarchal local relation-
ships can present and which hinder adaptation to the demands of contempo-
rary society.
The second meaning of the concept of neighbourhood is rooted in pro-
fessional practiccs in (own planning, housing and social administration. It rc~
INTRODUCTION I' \
fers to the ways in which cities are divided into parts for the purposes of these
professional activities. Chapter 7 by 8"rtley usefully traces the history of the
'neighbourhood unit' in town pl"nning, and other contributors assume th"t
the modernist housing estates built primarily in the 1960s and I970s can be
considered as neighbourhoods for the purposes of the work reported in this
book. However, as Chapter 12 by Cameron and Davoudi and Chapter 3 by
He"ley both point out, taking this 'divisionist' definition of neighbourhood
"s a starting point for analysis requires attending explicitly not only to social
relationships within these small areas, but also to relationships between their
residents and actors in the brger urb"n society and space.
In summary, the concept of neighbourhood used in this volume seI'Ves a
methodologic,,1 purpose, allowing contributors to focus on those small areas
within cities where concentrations of poor people live while, at the same
time, putting into question the social relationships which characterise these
areas, both intern"lIy and in relation to the larger urban space and society.
While all the "reas which are studied in this volume make 'social sense' along
some dimension, cultural or "dministrative, the aim of adopting a focus on
neighbourhoods is simply to signal all the contributors' interest in examining
socio-spatial relationships in the context of discovering what it means to 'live
in a specific place' within large cities and how these socio-spatial relation-
ships are implicated in the processes of social exclusion.
Social exclusion a.nd social relationships
The key to the conception ofsocial exclusion which lies behind all the contri-
butions to this book is the idea of 'relational it 1" . This idea has three main
parts. First, it sees social exclusion as a set of processes which have their origin
in structural changes which affect all groups within a given social structure
and which ch"nge the nature of the relationships among the groups. The ori-
gin of this structural change lies in the changing global system, including the
formation of the European Union, which induces change in the soci,,1 struc-
tures of the member states. for example, casualisation in the labour market, or
as Lipietz puts it in Chapter 9, the flexibilis"tion of wage relations, is simulta-
neously" response to issues of global competitiveness "nd a fundamental
change in the nature of the relationship between employers and workers.
Similarly, the changes in legislation governing access to citizenship, which
flow from the formation of the Europe"n Union, fundamentally alter the rel,,-
tionships among nationals, migrants and immigrants. The effects of these
changes provide a central theme in Chapter 6 by Vesrerga;Jrd, Ch"pter 10 by
Klirpick "nd Weck and Chapter 13 by Cars and Edgren-Schori, while Chap-
ter 2 by Allen analyses how chanp'cs rel:Hcci to rb,1; riti.,(>nchil~ '1nrl ",alr.,~.,
 SOCIAL EXCLUSiON IN EUROPEAN CITIES
regimes link global syslemic change and social exclusion in European neigh-
bourhoods.
The second aspect of the idea of relationality is thai these systemically in-
duced relational changes challenge the capacily of existing forms of urban
governance, where governance refers 10 the institUlionalised patterns of rela-
tionships among groups which shape and contribute to decision making
about the management of people in Ihe urban space. The formal political ar-
rangements which characterise local government arc only a part of urban
governance. Indeed, the concept of governance needs to be located in rela-
tion to the demands placed on local government by systemically induced
change, requiring local government to forge new kinds of relationships if it is
to sustain its ability to manage urban space. These new governance relation-
ships arc often discussed in terms of embracing partnerships and participa-
tion. Chapter 2 by Allen and Chapter 6 by Vestergaard both summarise this
Ouidity in current governance relationships in terms of fundamentally shift-
ing relationships among the state, market and civil society. Chapter 3 by
Healey explores issues of governance at some length. She concludes that the
key issue is the capacity of institutionalised relationships to change in ways
which address those effects of systemically induced changes which incapaci-
tate specific social groups. She then develops the concept of relational re-
sources as a 1001 for assessing the societal position of particular groups living
in specific places.
Other chapters offer numerous examples of the problems of urban gov-
ernance. Cars and Edgren-Schori in Chapter 13, in particular, stress the need
to find ways to involve immigrant groups in decision making about the man-
agement of housing estntes, while KUrpick and Weck in Chapter 10 look at a
set of initiatives addressing the problems which arise in declining industrial
areas. In contrast, Vrychea and Golemis in Chapter 8 discuss the kinds of
changed local relationships necessary to link small areas into the larger urban
space, and Cameron and Davoudi in Chapter 12 develop this perspective
more fully by contrasting policy approaches aimed at strengthening relation-
ships within small ,1reas and those aimed at strengthening links between the
area and the larger space. Freitas' analysis of a squatter resettlement pro-
gramme in Portugal (Chapter 11) shows the fragility and complexity of si-
multaneously reforming linkages within local government and between local
government, squatter groups and groups in receiving areas.
The third aspect of the idea of relationality reOects on how the mainte-
l1<JllCC of social order depends on the exL'itence of social b0undaries among
social groups. Where systemically induced change alters social relationships,
these boundaries arc experienced as subtle socio-spatial barriel·s. Chapter 4
I "I __ l. __ ~ __ ~~I,; .... ", t ..... irlpntifv the ronriifinnc ',nr!pr
INTRODUCTION 17
which boundaries become barriers. A key idea is that social barriers become
spatial barriers because social cues arc encoded in :pace. These socia-spatial
barriers can be perceived by careful in-depth studIes which adopt an every-
day life perspective, noting how people'~ life ~c~ivitie~ are :estricted by their
perception of the cues whtch keep them 10 thell' place, sOCIally and spatially.
Chapter 6 by Vestergaard and Chapter 13 by Cm and Edgren-Schon show
how simply changing physical-spatial cues has httle effect unless the soctal
rclational coding associated with them also changes. In contrast to ap-
proaches which start by considering how social relationships are coded into
space, Bartley's analysis of the planning of Dublin's new towns ~hows how
the construction of urban space creates the phySical markers whIch become
coded as social barriers.
In summary, all the detailed case studies included in this book explore
how three general processes work themselves through in specific neighbour-
hoods in eighr different European countries. These general processes are: the
ways global and European-wide change induce change within each of the
member states, the development of new forms of urban governance as the re-
lationships among state, market and civil sociery change, and the spatiality of
social processes which constructs subtle barriers keeping particular social
groups 'in their place'. Thus, the concept of social exclusion which informs
all the contributions to this book is that it is a societal, that is society-wide,
process, induced by wider changes and working itself through in specific
ways shaped by national contexts and negatively affecting the ability ofpa~­
ticular groups to participate in those social relationships which mean that 'h-
ving in a place' contributes to human flourishing.
Since this idea has important normative components, it is important to
conclude this introduction by commenting on the way moral-practical issues
are embedded within the analysis of social exclusion in neighbourhoods.
Combating social exclusion: moral insertion, cultural integration
or sodal participation?
An important implication of this rebtional view of social exclusion is that
structural processes affect the whole of a society in ways which create barriers
which prevent particular groups from forming those kinds of social relation-
ships with other groups which are essential to realising a full human poten-
tial. It is not that some groups 'exclude' other groups, but that processes
affecting the whole of society mean lhat some groups experience social
boundaries as barriers preventing their full participation in the economic, P9-
litic(li and cultural life of the society within which they live. "
.. "
18 SOCIAL EXCLUSION IN EUROPEAN CITIES
This way of seeing social exclusion raises both practical and moral ques-
tions. The practical questions turn around how to il1!ervene in these social
processes in a way which supports and promotes fuller participation by those
groups disadvantaged by societal change. The chapters in this book, taken to-
gether, raise four key practical questions. first, to what extent is work an im-
portant source of social relationships which form the basis for other kinds of
social relationships? If work is seen in this fundamental way, then what is to
be done for those groups whose relationship to the labour market is precari-
ous and variable and those who are excluded altogether from the labour mar-
ket? Second, to what extent do new forms of urban governance represent an
extension of the forms of political participation which are available and
which can integrate disadvantaged groups into the wider life of their society?
Or do new forms of governance simply represent a reforming of governing
coalitions and more subtle ways of managing socially disadvantaged groups?
Third, to what extent does the cultural life of a society reflect commonly held
norms which guarantee the social order necessary to support participation in
the society? Or do these norms simply function to define deviance, both spe-
cifically in terms of antisocial interpersonal behaviour and more generally in
terms of reinforcing racism and sexism, with the effect of creating social bar-
riers for a wide range of groups? fourth, how do all these barriers to partici-
pation in the wider society work themselves through to create the spatiality
of urban areas?
The concept of social exclusion also raises moral questions, which must be
treated with exceptional rigour in any analysis of particular places and
groups. A few examples will illustrate the way in which the analysis which
underlies this book raises moral questions. The treatment of socia-spatiality
asserts that social boundaries can easily become social barriers. Under what
conditions is a boundary also a barrier? When does the separateness of differ-
ent groups become a matter of segregation, and when does segregation be-
come a matter of exclusion? When does difference in ethnic or gender terms
become a matter ofsexism and racism? More positively, when docs difference
become a basis for accepting diversity? When does promoting mutually
agreed rules of behaviour, for example in managing housing estates, become
a matter of construcring and containing deviance? When does 'norm gov-
erned' social behaviour create barriers to participation and when does it sup-
port the social order necessary to secure participation?
In approaching these moral questions, what is at issue is the valorisation of
some forms of behaviour over others. They are never far f,am the surface in
analysing the specific situations in which processes of social exclusion mani-
fest themselves. They are closely bound into the ways we observe the world
:mrt tilt> nr::lrtir~l l:nllltinnc; wr nrnnnsc in response to manifest sod;:!l inC'nlli-
INTRODUCTION 19
ties. However, because the concept of social exclusion has been fashioned in
response to the problems and uncertainties created by globalisation in the late
twentieth century, it is wise to know that the moral issues will raise them-
selves in new and unpredictable ways, and it is also wise to be sensitive to this
dimension of specific situations. Our main aim in combating social exclusion
may be to intervene in ways which promote human nourishing in the full va-
riety of circumstances in which people 'live in places', but we are f.1r from
knowing precisely how to pursue this objective in all its specificity
References
Atkinson, A.R. (/991) 'Poverty, statistics tlnd progress in Europe.' London School or
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Situdtion in the Regions o.(thr Community. Brussels: DC XVI.
CEC (1992) 71)( CommufI/(Y's Battle Agdimt SOCldl ExchLfirm. CEC European File,
4/ t991
CEC (1993) Amon Pro,grammc 10 Combat Sonal Excllmon dnd ro Promote SOCIal Solidaril'V.
Brussels: DCY. .-
friedrichs, J. (t997fT) 'Context effects of poverty neighbouthoods on residents: In H.
Vcs!crgtl;ud (ed) Howing III Europe. Hmsholm, Denmark: Statcns
Byggcforsklli ngsinslitut.
HadjimichaIis, C and SadIer, D. (eds) (t995a) Europe at the M,t,~rnJ. Ne", MaJaiCJ oj
Jruqudltl)'. Chichester: John Wiley and Sons.
Hndjimich,lis, C. and Sadler, D. (1995b) 'Open guest ions, piecing logcther the new
Europc:m mos:lic.' In C. Hadjimich:lJis and D. Sadler (cds) Europe at the IHargins· NcU!
A/oJllies oIlmqudl/{y. Chichester: John Wiley and Sons. ' .
Klei m.1l:m, M. (1996) HOllsIng, IVe({are and the Srdfc in Europc: A Compl1ratiw AnaLysis of
Bt'ltd/1/, France and G'ff71ldn)'. Cheltenham UK: Edward Elgar.
Mingione, E. (cd) (1993) 'The new urban poverry and rhe underclass.' Specia.l edition
of IntemarlOlIalj(J/(mal of Urbttn irnd R~~iondl Rcmlrch 17, 3, (Seplember).
O'Brien, M. and Penna, S. (1997) 'European policy and the politics of governance.'
Poll')' aTld PolIllCJ 2J, 2, (April).
 PART ONE

Processes and Dimensions of Social Exclusion


Introduction
The three chapters in Part One offer three general perspectives on the dimen-
SiCHlS and processes ofsocial exclusion. Social exclusion has increasingly been
a central concern in the literature, but has remained a vaguely defined con-
cept. This Part looks at processes ofdifferentiation and barriers to integration
In order to develop a clearer understandi ng of the concept of social exclusion
and ways to combat it. When looking at the pl'Ocesses of differentiation, the
changing class structure of the European countries, as well as the questions of
ethnicity and race, become important considerations. Alongside these, the
traditional or historical mechanisms of integration, welfare regimes and citi-
zenship are analysed. At local levels, barriers to integration are identified:
how lack of access to governance processes and the social management of
space can contribute to social exclusion. Social exclusion is defined as a
multi-dimensional pl'Ocess, in which various forms of exclusion are com-
bined: participation in decision making and political processes, access to em-
ployment and material resources, and integration into common cultural
processes. When combined, they create acute forms of exclusion that find a
spatial manifestation in particular neighbourhoods.
Chapter 2 by Allen analyses the changing wider European context within
which social exclusion is emerging. She explores the links between ideas of
social exclusion and debates on class, citizenship, and welfare regimes in
Europe. The emergence ofrhe European Union within the context of globali-
sat ion is associated with the recomposition of class structures and relation-
ships in European countries. Can more traditional concepts of class help us in
analysing new forms of stratification? Allen finds some of these perspectives
useful, but also warns against adopting the popularised underclass perspec-
tive, which conl1ates and confuses many different aspects of social exclusion.
On citizenship, the chapter shows how the definition of European citizen-
ship enhances the significance of race and ethnicity as a potential dimension
of social exclusion. She then goes on to use T.H. Marshall's ideas to trace how
civil, political and social citizenship vary across Europe. Allen shows how the
withdrawal ofsocial citizenship rights as a consequence offiscal austerity im-
plicates the welfare state in creating social cleavage and exclusion. Allen then
develops these ideas by using Esping-Anderson's typology of welfare re-
gimes to look at the variety of ways in which ditTercnt welfare systems shape
PROCESSES AND DfMENSIONS OF SOCIAL EXCLUSiON 23
the impact of transnational economic and political change on excluded peo-
ple and neighbourhoods.
Chapter J by Healey and Chapter 4 by Madanipour address the ways in
which these wider processes become manifest at the micro urban level.
Healey concentrates on the process of social exclusion as exclusion from pro-
cesses of governance. She examines the processes of exclusion and cohesion
operating at the level of'living in a place', or neighbourhood, and how gov-
ernance policies and practices contribute to these processes. The chapter is
based on an institutionalist analysiS of social relations and governance activ-
ity, with a specific focus on 'everyday life' and the qualities of'living places'.
In developing an institutionalist understanding of social exclusion and
neighbourhood life, Healey outlines a set of key concepts: social relational
webs which frame and give value to individuals' lives; structure and agency,
showing how individual actions can interact with structural driving forces;
socio-spatial relations, where space and place matter for people and can find
policy dimensions. These concepts come together in the notion of everyday
life, which provides more focus for understanding what living in a place
means, especially in the context of neighbourhoods as living places where
social exclusion can become visible. Different forms of social exclusion arc
explored in relation to each of these dimensions. Two concepts of govern-
ancc, as collective action and institutional capacity, are then employed to
show how governance activity and its role in social exclusion can be ana-
lysed. Social exclusion in this sense becomes a lack of capability in govern-
ance relationships, conceptualised as having poor relational resources which
deny access to material, intellectual, social and political capital.
Madanipour concentrates on the relationship between social exclusion
and space, exploring some of the frameworks which institute barriers to spa-
tial practices. The chapter's particular emphasis is on the way these barriers to
movement are intertwined with social exclusionary processes. After explor-
ing the dimensions of social exclusion, the chapter argues that social exclu-
sion should be seen as a combination of political, economic and cultural
exclusion, where access to decision mailing, to resources, and to common
narratives is limited. The chapter then explores the way social difference is
managed spatially and how these socia-spatial processes lie at the foundation
of social exclusion. It looks at how spatial practices shape the experience of
exclusion and how these practices institutionalise spatial barriers. These in-
clude the different ways in which narional space can be constructed and how,
at rhe local level, difference finds spatial manifestation through land and
property markcts, the regulatory framework of town planning, and distinc-
tions, betw,ecn ~ub.lic and priy~tc Sp;Jcc. An import;lI1t strength of Madani-
l.'l SOCIAL EXCLUSION IN EUROPEAN C1'l'IES

between processes of exclusion and inclusion shape socia-spatial frngmenta-

lion.
The main aim of Pan One is to show how social exclusion is a new phe-
CHAPTER TWO
nomenon associ,1ted with structural change in Europe, how the new forms of
social fragmentation associated with these processes require new ways of
thinking about urban governance, and how the process of social fragmenta-
tion finds a spalial form, where socially excluded urban neighbourhoods are Europe of the Neighbourhoods
the visible manifestation of these social processes. The remainder of this Class, Citizenship and Welfare Regimes
book concentrates on understanding how people experience and respond to
these processes of exclusion.
Judith Alien

The key question which lies behind this chapter is simple: how do the wider
changes associated with the formation of the European Union affect social
exclusion in specific vulnerable neighbourhoods throughout Europe? Al-
though posing the question is simple, answering it is more complex for this
appa remly simple question raises a host of further questions. To start with, it
poses questions about how to understand changing class structures in the
context of the emerging European Union. Because the idea of social exclu-
sion has emerged in this context, the simple question also raises further ques-
tions about how citizenship is defined, legally and practically, within the
European Union. And finally, because each member state has its own welfare
system, questions about citizenship lead on to questions about how these
welfare systems are changing.
The main purpose of this chapler is to provide a framework of ideas
within which transnational, or European-wide, changes in class, citizenship
and welfare structures can be linked to discussions about social exclusion in
neighbourhoods. The main method of analysis is to locate the idea of social
exclusion in relntionship to a set of current political and economic narratives,
rather than to enter into debate about the specific changes which are taking
place. To clarify how these narratives shape our understanding of social ex-
clusion, the chapter seeks to identify how different narratives combine three
elements: conceptual or theoretical views about the appropriate way to ana-
lyse social structures and processes, normative views about the right way to
address problems of social equity, and descriptive elements concerned with
the institutions of welfare delivery. Searching out these elements in narratives
about class, citizenship and welfare focuses some of the issues which SUr-
round processes of social exclusion in practice.
 20 SOCIAL EXCLUSION IN EUROPEAN CITIES
Class and the labour market
There is widespread agreement that the fundamental social structures of
Europe are changing but very little agreement on how to characterise this
change. Thus, HarJoe (1995, p.14) lists nine different major sociological
theories addressing this problem: post-Fordist, global Fordist, postmodern,
post-industrial, informational, fragmented, disorganised, flexible accumula-
tion regimes and service economy. Marcuse (1993) alludes to at least five of
these theories as underlying different explanations of a shift from' dual cities'
to 'quartered' cities. Such theoretical diversity primarily is perhaps a symp-
tom that no one is yet entirely sure how to integrate analyses of changing
economic structures and social processes. The only point of agreement is that
a fundamental change has occurred which can be dated as starting sometime
in the 1970s (Marcuse 1993, p.355). Indeed, in popular literature, the point
of change is often identified as 1973, the year of the first oil price rises and
the subsequent restructuring of manufacturing industry in Europe.
Views about class can be understood as a problem in economic and pol iti-
cal geography, in which what needs to be explained is how a national ruling
class comes to acquire the right to control affairs within the boundaries of a
single state (cf. Machonin 1992; Silver 1993). Traditional theories of class
have been designed to explain class structure and change in terms of the rela-
tionships between national ruling classes and nationally defined working
classes. In other words, these theories were shaped by their development
within the historical context of the emergence of nation-states themselves.
One of the effects of the postwar settlement was to fix national boundaries in
Europe and, consequently, to underpin the rights of national ruling classes in
western Europe. Asecond effect was to undermine the currency ofclass theo-
ries based on concepts of combined and uneven development (cf. Machonin
1992; Weiss 1994). These historical processes reinforced the implicitly na-
tionalistic assumptions embedded in theories of class. Issues of international
relations were simply occluded. Thus, in western Europe, class theories in the
immediate post-Second War period stressed weberian and empiricist stratifi-
cation approaches. Neomarxist theories only emerged in the context of an
emerging and distinctive euro-communism, which was strongly shaped by its
nationalist focus and disavowed its origins in international socialism. More
recently, the collapse of the eastern European socialist political systems has
undermined faith in more structuralist perspectives and supported a return to
neoweberian and durkheimian approaches (Eyal, Szelt'nyi and Townsley
1997; Gamble and Kelly 1996; McLellan and Sayers 199 J; although cf. Gid-
dens 1994).
Globalisation in the last quarter of this century exposes the nationalist as-
. . .
EUROPE OF THE NEIGHBOURHOODS 27
classes has come to be more strongly influenced by inter-national, rather than
intra-national, economic processes. The emergence of the European Union
itselfis an important part of this globalisation process. The practical political
strategy of ever-closer union among an increasing number of member states
is explicitly designed to strengthen member states' communal competitive-
ness 1'/5 Ii 1'/5 emerging industrial economies outside Europe while at the same
time inhibiting some of the more destructive aspects of economic competi-
tion among the member states themselves. Whether this grand strategic gam-
ble will prove successful is as yet unclear, but what is now apparent is that the
political consensus about pursuing the macroeconomic convergence criteria
embodied in the Maastricht Treaty is so strong that it is unlikely to be re-
versed. The main practical political question is how quickly or slowly conver-
gence will be achieved (Kleinman 1996).
Forrest and Williams have summarised the nature and consequences of
these changes by saying: 'In this context, societies become more fragmented
and polarised. There is a higher degree of horizontal integration linking
privileged enclaves of power and control across nation states while new social
dimensions emerge within nations' (Forrest and Williams 1997, p.201). In
neomarxist terms, this European grand strategic gamble can be caricaturised
as a set of multilateral negotiations among national bourgeoisies, on the one
hand, and as a set of (largely) intra-national negotiations with the working
classes on the other hand. What is discussed as the harmonisation ofworking
conditions throughout the Union means the renegotiation of historical
agreements within each member state in line with agreements at the transna-
tional level. At the same time, an emergent Euro-bourgeoisie needs to be seen
in the context of its relationships with bourgeoisies outside Europe and in
terms of the divisions which European Union has engendered within na-
tional bourgeoisies.
In this context, European-wide discussion of social exclusion is clearly
part of a set of negotiations about the extent to which the problems, created
by the shift of manufacturing production out of Europe and changing labour
practices within Europe, should be shared (Hamrais 1995). Viewed in this
way, the practices and effects of social exclusion raise a set of strategic ques-
tions. To what extent does social exclusion provoke expensive social unrest?
To what extent will sharing the costs ofsocial exclusion bring on board those
sections of national ruling classes who are bearing the general cost of Euro-
pean integration in terms of their diminished competitiveness within the
European market? To what extent is the principle ofsubsidiariry a strategy for
containing the effects of social exclusion? To what extent does subsidiarity
shiH the social costs of integration onto those nation states which are most
28 SOCIAL EXCLUSION IN EUROPFAN CITIES
Europhobic sections of n,tion,1 ruling classes, making further integration
more difficult?
These strategic questions point out the differential class effects of ever-
closer union. To put the matter most bluntly, to what extent does ever-closer
union effectively mean the formation of a new class, a unified 'Euro-ruling
class', a set of second class national and perhaps anti-European ruling classes,
and a complex redivision of the working or popular classes within member
states? Is social exclusion a name for those European-wide processes which
split off a part of the working or popular classes within each member state,
placing them in a position from which they cannot, as it were, join Europe?
A key issue, then, is how to view these transnational processes in ways
which can be connected with processes of exclusion at the neighbourhood
level. In this context, it is useful to pin down the specific effects of transna-
tional change by focusing on changing labour market structures. Bennington
and Taylor (1993) suggest that the most useful way of looldng at emerging
labour market structures is to adopt a dual market approach which distin-
guishes the positions of core and peripheral workers. They cite a wide range
of research which documents the increasing use of casualisation, part-time
working, temporary and fixed term contracts throughout the Union. At the
S,1me time, other research has documented the emergence of new forms of
poverty which affect a very wide range of groups of working age partly as a
consequence of their increasingly precarious position within the labour
force. What appears to be new in this situation is the social multidimensional-
ity of poverty and prccante, so that age, gender, race, migration, household
structure, educational qualification, etc form a set of lines along which pe-
ripheralisation and potential exclusion from the labour force can run. The
multidimensionality of the process also suggests that some of these groups
may be more disadvantaged in some national and local labour markets than in
others. Hutton (1996) conservatively estimates that 30 per cent of the UK
population of working age is now within the peripheral labour force, while
another 30 per cent is excluded entirely from the labour market. Hutton's ap-
proach tends to suggest that the boundaries between these two groups are
rigid or impermeable, but Lipietz, in Chapter 9 of this volume, points out that
in France the group which is permanently excluded from employment is, in
practice, much smaller. In other words, individuals may pass through the
boundary either way at different points in time, although the relative size of
the two groups may remain stable. For Hutton, what is important is the ten-
dency to underestimate the size of the group which is unemployed at any
point in time, whereas for Lipietz what is central is the social strategies open
to individuals in a position of prccariti. Clearly, by examining how local la-
EUROPE OF TilE NEIGHBOURHOODS 29
bour markets work in practice, it is possible to identifY how processes of ex-
clusion affeet those who are in a position of precarite.
However, in much of the work which examines labour market processes,
there is often an implicit assumption that welfare state institutions playa neu-
tral role in processes of exclusion. lee et al. (1995) point this out. They argue
that: 'Where citizens are unable to secure such access Ito welfare state serv-
ices], ... their social and occupational participation will be undermined'
(pAD). Lee Cf al.'s approach to social exclusion prioritises 'the systematic divi-
sions being creared hy the welfare state' itself(p.38), which they see as an as-
pect of citizenship, rather than as a consequence of class-based processes.
Lee et al.'s argument is important because it illustrates some of the prob-
lems which can arise when the idea of social exclusion is approached in a
manner which detaches it from concepts of class structure and change. They
adduce both analytical and normative grounds for their argumentative strat-
egy. Analytically, they argue:
... that for a group to be labelled a class its members need to be in a simi-
lar economic position and have common interests. This condition does
not apply to the disparate groups affected by social and economic
change in recent years. (lee et al. 1995, p.38)
This position is contentious for two main reasons. First, their rejection of a
class-based analysis rests on a specific view about the kind of conceptual
framework which could underlie such an analysis. As Silver (1993) points
out, this view is specific to British social and political debate. Thus, for exam-
ple, Blanc (1996) adopts a very different approach when he proposes that the
class processes which underlie social exclusion can be understood in terms of
two contingently linked processes, disaffiliation, which is the loss of social
tics with the wider society, and disqualification, which is the loss of social
status within the wider society. Equally, Lipietz' argument about precarltfis
also a form of class analysis, which stresses the changing relative status of dif-
ferent groups. Second, even within the class view adopted by lee et at., there
is no logical reason why disparate groups affected by the same processes of
Social and economic change should not share a common general interest
while simultaneously having different specific interests reflecting their spe-
cific social characteristics and location in relationship to different sectors of
the labour market or to welfare state services. The underlying issue is how
well different forms of class analysis explain the processes of class decompo-
sition and reconstitution engendered by globalisation and European integra-
tion. It is pOSSible to remain quite agnostic ahout which form of analysis
works best, while still asserting that the dynanlics of social exclusion do have
a relationship to class processes. Nevertheless, what this critique of lee et ,d.'s
J(l SOCIAL EXCLUSiON IN EUROPEAN CITIES
groups on the basis of a common economic interest are weaker, in the context
of analysing social exclusion, than theories which seek to explain how
changing economic processes affect differentially placed social groups. In
addition, Lee el al. also point out directly that, to be adequate, a class theory
must also be able to explain the role and effects of welfare state institutions in
social processes, whether it treats these institutions as an intervening variable,
which alters the effects of economic change on specific groups, or as an inde-
pendent variable, which jointly determines these effects.
The normative grounds for Lee ef al.'s position are more interesting and
pertinent. They are especially concerned to distinguish their understanding
of social exclusion from that proposed by the popular version of the under-
class thesis. Wilson (1978; 1987) developed Myrdal's underclass thesis in or-
der to point to the intense socia-spatial segregation of black people in the
United States. This segregation so transfixes American society that it is possi-
ble to speak of a black society living within, but almost completely separate
from, white society. As Gans (I 993), Silver (I 993) and Friedrichs (1997)
point out, the concept has suffered some strange mutilations in its passages
across the Atlantic and from liberal sociology to journalistic and political dis-
course. Mingione summarises the problem with the popular use of the con-
cept by saying that it connates: 'economic disadvantage, social exclusion and
institutional isolation, lack of employment opportunities, cultural character-
istics, forms of deviant behaviour and spatial concentration, Iso that] political
bias leads to attention being focused automatically on the presumed behav-
ioural and cultural deviance exhibited by victims' (Mingione 1993, p.325).
Lee et al. are responding to this discursive context when they conclude that:
'The term "social exclusion" draws attention to the same issues embraced by
"underclass" and has the advantage of focusing on processes as well as avoid-
ing the ideological loading so often attached to "underclass'" (Lee el al. 1995,
p.39). In other words, their main aim is to argue for policy responses which
address the structural problems within welfare state institutions which both
generate and reinforce compound disadvantage, rather than blaming those
who suffer this disadvantage. The logical problem with Lee el al.'s position is
simple. Taking a class-based view ofsocial exclusion does not necessarily im-
ply adopting the popularised underclass perspective. At the same time, in
their haste to reject the popularised concept of underclass, they fail to con-
sider two important aspects of the problems it raises. The first is whether Wil-
son's original development of the concept can add something to our
understanding of processes of social-spatial segregation. Such an analysis
might also help to clarify how welfare state institutions can operate to miti-
gate, enhance and/ or manage processes of social exclusion. The second as-
pect of the problem is more worrying. Is the development of a popularised
EUROPE or TilE NEICI-InOURIIOODS J1
version of the concept of underclass a part of rhe process or social exclusion?
Does this popular concept create a discursive context, in the Foucauldian
sense, which naturalises social exclusion?
Analysing the rejection of class analysis in Lee ef al.'s argumentative strat-
egy helps to clarify some of the problems involved in relating c1as~ analyses to
processes ofsocial exclusion. First, it shows that class analyses whIch focus on
the social processes engendered by economic change are more useful than
those forms of analysis which focus on social categorisation. Second, it raises
important questions about the role of welfare state institutions in managing
processes of social change and, in particular, their complex role in both miti-
gating some of the materia I consequences of exclusion while simultaneously
inhibiting processes of social integration, in other words, precisely how wel-
fare state institutions can be related to class processes. Third, Lee ct al. demon-
strate the care which must be taken in teasing out the normative dimensions
ofany form of class analysis in the context of discussing social exclusion since
both concepts, class and social exclusion, necessarily carry an ideological
loading.
More generally, this discussion of the ways in which narratives about the
reconstitution of class structures can be related to processes of social exclu-
sion has been based on an implicit assumption that the formation ofthe Euro-
pean Union can be seen as simply a par! or a consequence of economic
processes of globalisation. However, the formation of the Union can also be
seen as an active political response to economic globalisation. The next sec-
tion of this chapter examines how such a view of the Union shapes narratives
about nationality and citizenship, race and ethnicity.
Citizenship, migration, immigration and race
Debate over European citizenship has been stimulated by two general and si-
multaneous processes. The first has been the rights granted to European citi-
zens in the Maastricht Treaty and the second has been the way that fiscal
austerity has undermined the delivery of social welfare throughout Europe
(Garcia 1996; Silver 1993). This section of the chapter shows how these two
apparently separate processes are very closely intertwined in narratives which
seek to answer the question: what docs it mean to be European today?
The Maastricht Treaty gives all European citizens the right to settle in any
of the member countries. Formally, citizenship of the Union rests on being a
citizen of one of the member states. However, the laws governing acquisition
of citizenship or nationality, as well as the juridical and social principles
which underlie these laws, vary across Ihe member states. The Treaty, thus,
 SOCIAL EXCLUSION IN EUROPEAN CITIES
implicitly poses important questions about how member states determine
who has access to citizenship.
Approximately five million European citizens reside within the bounda-
ries of other member states. At the same time, there are about ten million im-
migrants from outside the Union legally resident within member states, many
of whom are long settled (Garcia 1996). The Maastricht Treaty has, thus, ef-
fectively created two classes of non-national residents within each member
state: migrants, or those who have the right to live anywhere within the Un-
ion, and immigrants, or those who have the right to live within only one of
the member states. This creation of a two-tier immigration policy has not
been highly politicised, partly because immigrants are excluded from formal
political activity in many countries and partly because immigration policies
are being harmonised through multilateral agreements outside the frame-
work of the Community Treaties. However, the aim is to curtail immigration
from outside the Union including the number of refugees and asylum seekers
who will be admitted. The implication of meeting this aim is to create a 'fo-
rtress Europe' within which a very large proportion of immigrants are in-
creasingly marginalised and subject to severe exploitation within casualised
labour markets (Pugliese 1995).
In general, the implementation of immigration legislation is a highly
opaque area of national policy, subject to very little open democratic and pub-
lic oversight. This opacity tends to further obscure the ways in which non-
citizens are frequently denied basic civil rights (e.g. to appeal against admin-
istrative decisions through judicial mechanisms, habeas corpus, etc.) which
formal citizens can take for granted in democracies. However, the recent
changes in french and German immigration legislation can be explored in
order to highlight some of the issues which nationality debates pose for a dis-
cussion of social exclusion.
The German legislative changes were delayed by the collapse of the gov-
ernment of the former German Democratic Republic in 1989 and the conse-
quent problems associated with migration from the eastern European states
gave the issue a different complexion. The right to citizenship in the federal
Democratic Republic is based on German ethnicity (jus sanguinis) and migra-
tion from East to West Germany had been an important stabilising feature in
the relationship between the fGR and the former DDR (Hirschman 1995).
At the same time, the ethnic basis for formal citizenship in Germany means
that it is almost impossible for a foreigner to understand the very fine social
distinctions that are made among foreign ethnic Germans (Smith and Blanc
1996). Nevertheless, 'true' German ethnicity is clearly defined in terms of
.. L-in rnlnnr ~lthough Dublic debate is managed in a wax which attempts to
EUROPE OF THE NEIGHBOURHOODS lJ
cism, in turn, obscures the way in which racial discrimin;Hion is legitimated
through the immigration legisbtion itself.
In france, the loi Pasqlla in 1993 removed the right to automatic citizen-
ship after five years residence (jIlS SOh5). Restricting the right to French nation-
ality was coupled with draconian administrative provisions regulating
non-citizens. Anum bel' of factors came together to highlight the race dimen-
sion of these changes. first, by defining European citizens as migrants, the
Maastricht Treaty implicitly highlights the much higher proportion of black
people among the group now defined as immigrants throughout Europe.
Second, memories of the Algerian War still permeate france. The byzantine
legislative process enshrined in the constitution of the fifth Republic ampli-
nes the views of minority parties, which can frequently be expressed with
some impunity in public debate. These same factors mar the current debate
about removing some of the more bizarre administrative anomalies created
by the laiPasqlla. The end result of the way that public debate has been shaped
has been to increase 'official' harassment of france's non-white citizens. In-
deed, it was only in 1996 that, for the first time, survey research became avail-
able which said that fully half of the non-white population of france are
already french citizens.
Both the French and German experiences illuminate the complex rela-
tionship between nationality legislation and the ways that immigration and
immigrants are socially managed. The definition of nationality provides a le-
gal basis for the social and political exclusion of resident non-citizens. While
the Maastricht Treaty makes important gains in this context, guaranteeing
some basic rights for migrants, this step forward has been made at the ex-
pense of effectively linking non-citizenship and race in public debate (Smith
and Bbnc 1996). How these formally sanctioned patterns of exclusion oper-
ate and how they interact with race and ethnicity varies across the member
states. At one end of the spectrum, non-nationals within the UK enjoy virtu-
ally all the formal rights of nationals, so that social exclusion mechanisms op-
erate more clearly on the basis of race. At the other end of the spectrum,
non-nationals in Germany are legally excluded from a wide range of formal
social institutions - for example, access to social housing and access to local
democratic institutions - and social exclusion mechanisms rest on considera-
tions of foreignness which shade off into issues about European ethnicity
(Smith and Blanc 1996). It is impossible to generalise beyond saying that
race and ethnicity are the only invariant dimensions of social exclusion asso-
elated with citizenship, although how it functions varies dramatically in dif-
ferent societal contexts as a consequence of the way it interacts with other
basic dimensions of social cleavage and cohesion (Mingione 1993; 1995;
ur . __ .. ~ 1 on 1\
 SOCIAL EXCLUSION IN EUROPEAN CITIES
Narratives about nationality rights within the Union interact with a set of
more domestically scaled debates about citizenship rights, that is, the sub-
stantive tights which citizens can claim. Much of the debate is rooted in a set
of ideas first elaborated by T.H. Marshall in the postwar period, who distin-
guished three types of citizenship and associated rights. Civil citizenship
brings rights associated with equality of treatment before the law, political
citizenship confers rights to participate in the political life of a country, and
social citizenship is based on the right to enjoy a minimum level of material
welfare. In western Europe today, at least for those with formal citizenship,
civil and political citizenship rights are assumed to be universal while access
to social citizenship rights is assumed to be on the basis of need (Garcia
1996; van Kempen 1996).
Marshall's work can be used in two different but related ways as a tool for
understanding the nature of current debates over citizenship. First, it can be
used to trace the shifts in the discourse of citizenship which have character-
ised the last quarter of the century. Second, it can be used to focus on the way
that welfare state institutions, the activities ofspecific social groups and fiscal
austerity combine to shape the delivery of social citizenship rights.
The first way to use Marshall's ideas in analysing current discussions of
citizenship casts his trio of citizenship rights as a basic idea against which
current discourses can be measured. In using this method of analysis it is im-
portant to recognise that discourses of citizenship are shaped not only by the
material and political realities which they (selectively) reflect, but also by the
way they seck to provide justificatory explanations for, and principles to
guide, the social activities which organise that reality.
One of the important functions of many of the new ideas of citizenship is
to provide a justification for the withdrawal of social citizenship rights as a
consequence of fiscal austerity. Thus, in analysing these ideas, it is important
to sec how they identify the groups who are vulnerable to losing these rights
and how the arguments are contextualised against the different principles
which were used to explain and justify the creation of these rights in the first
place. In Scandinavia and the UK, the central idea was one of social justice,
focused on the reduction in material inequalities among individuals. In the
continental countries, the principle was one of social solidarity, the idea that
differentially placed groups have reciprocal rights and obligations. In the
Latin countries, the Catholic principle of subsidiarity dominated, giving
pref-erence to civil organisations and family in delivering social rights. Ele-
ments of each of these principles appear in both European-wide and national
debates over citizenship. (Ironically, the European Union seems to guarantee
the free flow of ideas more easily than the free flow of people, goods, capital
'lnrl "f'r\lirN) II i" nnll;llrnridnf1 tlwreforc. thaI the language of citizcnshin
EUROPE or THE NEIGHAOURl-lOOOS 35
has been appropriated in dirferent ways across a very broad (European) po-
litical spectrum (Garcia 1996; Lee Clal. 1995; Silver 1993). The analysis be-
low focuses on how these shifts in language can be linked to issues of
exclusion.
At one extreme, there is an important tension between concepts of class
and citizenship, which allows a communitarian approach to the concept of
citizenship to substitute for solidaristic concepts of class relationships (Garcia
1996). Such concepts of citizenship emphasise belongingness and the exclu-
sion of outsiders. These communitarian (and often nationalistic) concepts
tend to be built on notions of volk or ,tim as, rather than demos, as the criterion
for belonging and are rooted in the nation-state building phase of a country's
history. Consequently, the use of such concepts tends to preclude discussion
of the rights which citizens may claim from the state, while emphasising the
obligations which citizens owe to it (Habermas 1996). Because the state sim-
ply re-presents the volk, there is no sense of the role of democratic political
rights in either shaping the state's activity or in providing a basis for social
citizenship rights. Communitarian concepts of citizenship, thus, not only fail
to address the relationships among different kinds of rights, they also deny
the existence of processes of conflict, struggle and exclusion within the
nation-state. Ethnicity is unproblematically associated with nationality, ex-
clusion is justified completely on the basis of ethnicity, and, in principle, it is
complete exclusion from all rights. Within this approach, the concept of di-
versity or difference among citizens finds no place.
Asecond approach to discussing citizenship is based on contrasting active
and passive citizenship. As Lee 'I a/_ summarise this view: 'Citizens should not
passively expect society 10 ensure that their social rights are maintained by
the institutions of the welfare sWe, but must in return be prepared actively to
contribute to society' (1995, pAl). This perspective is clearly rooted in a soli-
daristic view of social rights but its impact, or direct political meaning, de-
pends on the context within which it is used. In France, for example, it was
used to suppon the introduction of the I'cvenu minimum d'inser/ion and other
social programmes by the Socialist governments designed to support peo-
ple's ability to be active citizens, while in the UK the concept has been used to
justify withdrawing welfare assistance unless people arc actively employed.
LeeI'I al. (1995) are particularly concerned with the ways in which the
concept of active citizenship can be used in the context of neoliberal or free
market individualism. They argue that this perspective often links active citi-
zenship to seeing citizens as individual consumers of services and can induce
a logical inversion. They argue that: 'If the citizen is equated with consumer,
then those who afC denied access to services or who cannot, for wh:ltever rea-
SOil,consume services on equal terms are not considered full citizens' (Lee cl
J6 SOCIAL EXCLUSION IN EUROPEAN CITIES
al. 1995, pA 1), Thus, if active citizenship rests on economic activity, it can be
argued that unemployed people have excluded themselves. This can then be
used to justify seeing passive citizens as non-citizens in other ways as well,
threatening their right to participate in the political life of the community
and, in some cases, their elementary civil rights. This strand of reasoning is
not far from the surface in debates over problem tenants in the UK, the with-
drawal of basic civil rights proposed in the lot' PdSqua in France, or the treat-
ment of homeless people in some areas in Sweden (Sahlin 1995). Within this
concept of citizenship, the concept of social exclusion focuses on: 'this group
of people who are "non-citizens" and are excluded from the rights enjoyed by
Dt her citizens' (Lee et al. 1995, pAl).
However, the concept of active citizenship can be deployed in a com-
pletely different way, which is founded in the concept of the historical
achievement of universal hum,1n rights. As Habermas puts it: 'Citizenship, ac-
tively employed. is then experienced ... as membership in a polity that lets DO
one slip through the net and excludes no one from the enjoyment of equal
rights or from their share in socially produced wellbeing' (Habermas 1996,
p.7). This universalistic concept sees all three forms of citizenship rights as in-
extricably linked, so that the withdrawal of social citizenship rights threatens
the maintenance of civil and political rights which, in turn, threatens social
integration more generally. Drawing out the implications of this perspective,
Habennas argues that: 'Politics could rid itself of the burden of social integra-
tion only at the price of repressing minorities' (1996, p.ll). On this view of
active citizenship, the problem of withdrawing social citizenship rights is not
one of reducing access to some minimum standard of material welfare, but
one of social exclusion having consequences which threaten the maintenance
of social order in the long run,
As fiscal austerity has undermined the delivery of social welfare through-
out Europe, the language of Citizenship has sometimes seemed to present an
alternative to the languages of class and solidarity on which many of the
European welfare states have been built (Garcia 1996; Silver 1993), How-
ever, this brief review of different concepts of citizenship shows that the mat-
ter is not so simple, The concept of social citizenship rights, that is rights
delivered on the basis of need, is necessarily founded on a concept of differ-
ence, The issues nrc about how difference is defined, how different groups
are to be treated differentially, and how such differential treatment is justi-
fied, On the one hand, the communitarian position defines nil non-ethnic na-
tionals as distinct and as ineligible for any citizenship rights, while the
universalist concept sees modern European dernocmcies as so constructed
• . •.• • t _ "_. _._ ...l _...l d~ ~ f .. ll r't n rTP n( ritizcnshio
EUROPE or TilE NEIGl-lBOURllOODS 37
as a whole and, in effect, arc about the role of race and ethnicity as a criterion
of social exclusion, overtly in the comM1unitarian position and covertly in the
universalist position with its hidden assumption about the right to reside in a
country. On the other hand, the debate over active and passive citizenship
turns around the differential nature of exclusion within societies, The centre
of the debate is over access to employment and the linkages between employ-
ment and other social rights. At one extreme in this debate, failure to work is a
form of self-exclusion which justifies the overt withdrawal of social citizen-
ship rights and the potential withdrawal of other rights, At the other extreme,
exclusioll from work is seen as a structural problem so that the state has an ob-
ligation to ensure that it does not result, in practice, in exclusion from the full
range of citizenship rights, Thus, the active/passive debate has the effect of
emphasising issues around class and the labour market in relationship to so-
cial exclusion, but obscures issues about race and ethnicity, and, in particular,
how racism operates within labour markets,
Political and conceptual debates about defining citizenship primarily fo-
cus on defIning and justifying who is eligible to exercise certain rights. This
focus obscures the ways in which the day-to-day mechanisms for providing
social citizenship rights operationalise the implications of these debates and,
thus, shape the forms of exclusion which arc experienced by members of the
racial or ethnic groups whose right to Citizenship is under debate.
Three studies ,He especially useful in understanding issues about opera-
tionalising citizenship rights, which forms the second way of using Mar-
shall's ideas about citizenship. Van Kempen (1993; 1996) focuses on how
specific localised configuratious of the organisations which provide social
housing interact with the demands of particular groups of citizens and com-
munity structures to determine which social rights get delivered to which
groups. Her analysis sets up a framework for understanding how formal
equality, in terms of eligibility for social rights in housing, leads to inequali-
ties in delivery through systematic variations in the structure of localised in-
teractions. Her work complements that of Deakin, Davis and Thomas (1995),
which is a detailed cross-national comparative study of the social processes
engendered by explicit attempts to democratise the delivery of welfare state
services by institutionalising consumer and/or user involvement in the deliv-
ery of welfare. Theil' framework systematically analyses the relationships
among policy makel's responsible for services, managers of the services, front
line workers, and client groups, Both these analyses illustrate some of the
compleXity assuciated wi th the del ivery of social citizenship rights and, thus,
point to the fruitfull1ess of using concepts of citizenship rights as a mean,s of
identifying how processes of socii:11 exclusion and integration arc shaped in
, r I ~ .. .1_: ._

JK SOCIAL EXCLUSION IN EUROPEAN CITIES
text. While this work is not explicitly located within the framework of con-
cepts of citizenship, it occupies itselfwith many of the same problems. Potter
works from a paradigm of difference in a way which allows difference to be
contrasted with devalorisation. By identifying a range of action strategies
open to 'devalorised' groups (assimilation, self assertion, withdrawal and
night), the analysis supports an important distinction between separateness
and exclusion. Using a broadly durkheimian perspective, it focuses on the in-
teraction between the material realities and menlaliles of both devalorised
groups and policy makers in ordertodevelop an evaluative perspective which
valorises the active choices of minority groups. The details of this analysis
add a great deal to understanding the social processes around race which re-
quire public attention if the assumptions about equality and equity which un-
derlie civil and political, as well as social citizCl1ship, rights are to be made
into a reality.
The strength of these three studies is that they all present devalorised
groups as subjects, actively negotiating social citizenship rights, rather than
as the passive objects of welfare service delivery. They also focus attention on
the interaction between specific social groups and the structure of the organ-
isational interfaces they interact with, so that the nature of this negotiating
activity can be linked with changes in the structure of the welfare state. These
studies, thus, add to the concept of social exclusion by pointing out the com-
plexity of the everyday ways in which it may be contested by excluded
groups (cf. Gilroy and Speak, Chapter 5 of this volume), how patterns of ex-
clusion can be seen as outcomes of processes in which both privileged and
devalorised groups are co-participants, and, through Potter's work, how
wlm is being negotiated in this process is not just material realities but also
the valorisation of the excluded group's status. By emphasising the complex-
ity of realising social citizenship rights, studies of this nature also illustrate
how formal debates over citizenship in Europe structure everyday processes
of social exclusion. Most member states lie somewhere between the extremes
of communitarianism linked with solidaristic principles of eligibility and
universalism linked with individualistic principles of eligibility. Conse-
quently, discussions of the right to citizenship can interact, on a day-to-day
basis, with the proVision of citizenship rights to those groups whose formal
exclusion is under consideration in the wider debate.
Thus, what this discussion of citizenship shows is that not only are there
different forms of exclusion (economic, social, political) but there are differ-
ent ways of justifying and implementing exclusion. The end result is that
some groups are more excluded than others, either because of the forms of
exclusion which they experience, the ways in which their exclusion is justi-
fied, or the principles which deny them access to the basic rights necessary to
)0
EUROPE or THE: NEIGHBOURHOODS
contest their exclusion. By looking at these issues across Europe, it is also
clear that these patterns of exclusion vary, not only from country to country,
but also from locale to locale because of the ways in which the provision of
social rights is organised and the sensitivity of institutional forms to wider
debates. Thus, citizenship arrects what happens in neighbourhoods in three
ways: by distinguishing among immigrants, migrants and nationals; through
the associated processes of racial and ethnic discrimination; and through the
everyday processes which shape how e"ch of these groups ca~ exercise their
rights. The chapters in this volume by Cars and Edgren-Schori (Chapter 13),
by Freit"s (Chapter I I), by Vrychea and Golemis (Chapter 8), and by Ktirpick
and Weck (Chapter J 0) illustrate the complex ways in which economic pro-
cesses interact with issues of citizenship in shaping social exclusion.
Previous sections of this chapter have discussed transnational processes
associated with class and citizenship. Both sections have noted the signifi-
cance of welfare state mechanisms in these processes. Thus, the section on
class su ggested that in modern European states, the structures of provision of
welfare state services may be as constitutive of class position as global and na-
tional economic processes. Equally, narratives of nationality and citizenship
contribute to constituting rules of access to welfare provision. An equally im-
portant, but more implicit, theme running through these sections has been
the ways in which fiscal austerity, induced both by globalisation and commit-
ment to the Maastricht criteria, is leading to changes in the way the welfare
regimes within the member states operate. The next section of this chapter
examines the issues raised by these consequent intra-national changes.
Welfare regimes
Throughout Europe, the delivery of social rights is mediated by welfare state
institutions which are primarily organised on a spatial basis. In contrast to
processes of change in class relations and citizenship, processes of change in
these institutions often have more direct locally based effects (cf. Deakin elal.
J995; van Kempen 1996). Thus, the way these institutions are changing in
response to wider economic and political changes throughout Europe is an
important variable in transmitting the effects of wider changes to those espe-
cially vulnerable neighbourhoods whose residents are most dependent on
welfare state institutions to maintain their daily lives.
The specific configuration of welfare state institutions varies widely
among countries, and there is an important debate about the extent to which
the emergence of a European Union-wide social policy is generating conver-
gence among these different structures (Cochrane and Doogan J 993; Han-
tr(lis 1995). However, lhcre seems to be no simple connection between
'Ill SOCIAL EXCLUSION IN EUROPEAN CITIES
Unjon-\vidc social policy, harmonisation or ll,ltional systems and conver-
gence. Liebfried (1993), in particular, argues that the decomposition of na-
tional systems is as likely an outcome of Union-wide change as convergence.
In other words, either a Union-wide social policy could emerge by progres-
sive changes within each national system towards a more unified pattern, or,
alternatively, a Union-wide social policy could emerge after a process of de-
composition and recomposition of national systems. In contrast, Cram
(1993) envisages a process of policy change in which the Union increasingly
takes on a regulatory role and, under the principles of subsidiarity and pro-
portionality, member states and subnational units increasingly focus on serv-
ice delivery. Nevertheless, both Liebfried's and Cram's views need to be seen
in the context of the more general processes of hiving off state functions,
partly induced by the convergence criteria, as well as within the general con-
straims on Union social policy which restrict it to matters which promote
economic cohesion.
In order to understand how welfare state institutions playa key role in
shaping processes of social exclusion and integration, it is useful to abstract
from the details of specific systems in order to identify a set of dimensions
which help in seeing how different welfare systems may affect these pro-
cesses differently. In this kind of approach, Esping-Anderson's (1985) ty-
pological work on national welfare regimes provides a key set of ideas
informing current debates over changing national patterns of social provision
(Abrahamson 1992; Liebfried 1993). His main proposition is that there arc
three ideal typical models of welfare provision in Europe. The Nordic (or so-
cial democratic) model is based on relationships between the social partners
in circumstances of relative labour scarcity and seeks to ensure that the social
conditions of employment support the wellbeing of society. The Anglo-
Saxon (or liberal) model is based on a view of society as composed of atom-
ised individuals and seeks to ensure that each person attains a minimum mate-
rial standard of wellbeing. The Continental (corporatist or conservative)
model is based on a conception of society as comprising groups with recipro-
cal rights and obligations. It seeks to ensure the participation of all within the
material, social and moral order of society. The Continental model may have
two variants, a Bismarckian form and a Latin (or southern) form, distin-
guished by the relatively stronger role of civil society and weaker role of .Irate
provision in the latter. Alternatively, the Latin model may be seen as distinc-
tive. The problem arises because of the lack of good comparative studies
which include the southern European countries (Hantrais 1995; Liebfried
1993; Rose 1993; Room 1995; cf. also Vychrea and Colemis, Chapter 8 in
-- ....• _" ,,,ithi n thf" 11nion fits to any of these
EUROPE OF THE NEIGHAOURHOODS 41
involved in identifying how broad institutional changes may reflect wider
changes and alTeet processes of social exclusion in specific neighbourhoods.
First, both the Nordic and Continental ideal types assume the centrality of
employment as a basis for entitlement to other forms of social support, while
the Anglo-Saxon model assumes citizenship (in the sense of residence within
the nation state's boundaries) as the basis for social support. There are clearly
problems with both these approaches in a period of increasing unemploy-
ment and casualisation in the labour force. On the one hand, systems of enti-
tlement which emphasise employment will tend to exclude many of the
newly poor groups with missing or variable work records (cf. Cars and
Edgren-Schori, Chapter 13 in this volume) while, on the other hand, systems
of entitlement based on citizenship will be more directly vulnerable to fiscal
crisis, manifest as either a reduction in the levels of support provided or re-
strictions on entitlement. While systems of entitlement based on employment
incorporate strong elements of f1Iiation within them, structured around
trades unions or other corporate entities, systems based on citizenship do not
directly support f1Iiation. In citizenship-based systems, processes of disquali-
fication, or loss of status, may be more significant, especially where claiming
benefits is itself a mark of stigmatisation (Blanc 1996).
Consequently, precdl'itt or peripheralisation in the labour force will have
different specific effects in different systems, partly because of the enhanced
significance of informal social networks in job seeking in casualised labour
markets (cf. Gilroy and Speak, Chapter 5 in this volume). On the one hand,
the enhanced role of social networks raises questions about how such infor-
mal networks arc structured in different social systems, and in particular, the
relmive significance of such social dimensions as race and ethnicity, kinship,
age, etc., in structuring these networks (Mingione 1995; Mingione and Mor-
Iicchio 1993; Vrychea and Gale mis, Chapter 8 in this volume). It also raises
questions about the exclusivity of these networks. Are some people more ex-
cluded than others because they are excluded from these informal networks?
To what extent do informal networks enhance or mitigate processes of dis-
qua lification and disaff1Iiation? To what extent are informal networks shaped
by previous job histories? Are there different kinds of networks among the
casual labour force and those who are excluded altogether from the labour
force? On the other hand, Esping-Anderson's typology raises a set of ques-
tions about ways in which the spatial organisation and management of spe-
cific welfare state institutions, especially in education, health and housing,
support, disrupt, manage or ignore localised networks. To what extent are
these illStitutions subject to local political control? To what extent are they
sensitive to variations in localised demand? To what extent can they provide
'. _-1-:_1_ - - - I-.~ ........... I,;li~prt hv l()c~lIv based networks?
,12 SOCIAL EXCLUSiON IN EUROPEAN CITIES
The second analytical issue which Esping-Anderson's typology raises is
the role and significance of non-state collective entities in mediating between
individuals and state-based management of social support. The Nordic
model gives a I<ey role to the social partners (employers and trades unions) in
mediating this relationship. The Continental model assumes the relevance of
a wider range of non-state organisations (e.g. churches, family, charitable and
other voluntary organisations), while the Anglo-Saxon model assumes that
the relationship between the state and the individual is direct and unmedi-
aled. Thus, an important factor structuring the responses 'rnd resources avail-
able to peripheral and unemployed groups will be the response and relevance
of non-state collective entities.
Thus, using Esping-Anderson's typology raises additional questions.
Within Nordic models, to what extent have trades unions and employers'
bodies addressed issues ofperi pheralisation and to what extent do they main-
tain a localised presence in particular neighbourhoods? Within Anglo-Saxon
models, how does the state directly seel< to mediate and regulate the relation-
ship between individuals and access to labour marl<ets? Does the atomisation
implicit within the Anglo-Saxon model fail to support the formation ofsocial
networl<s, either because it ignores the role of non-state organisations or be-
cause it pre-empts their role by providing a minimum level of material welfare
anyway'l Within the Continental models, which specific social groups are
considered to have responsibilities or obligations towards those groups with
a precarious or non-existent relationship to the labour market? How do they
set about meeting their responsibilities? What civil organisations are re-
sponding to issues of peripheralisation and how are they responding? To
what extent do these organisations maintain a presence within different I<inds
of neighbourhoods? And within the Latin model, how do changing house-
hold and I<inship strucllircs affect access to welfare? The key to these ques-
tions is the configuration of the organisational resources within specific
neighbourhoods and the relative ease wirh which they can be 'patched into'
each other in order to combat social exclusion (Hastings, McArthur and
McGregor 1996; van Vliet 1997).
However, focusing on non-state organisations should not obscure the ex-
tent to which different pans of the state may respond to economic change
differently. In particular, there are likely to be political tensions between
centrally-governed welfare mechanisms and those parts of the state with di-
rect political responsibility for the wellbeing of localities. This tension needs
to be set in the context of three general processes occurring throughout
Europe. The first is the general growth in the 'invisible state' as implementing
the Maastricht crileria for convergence leading 10 a hiving off of state func-
IlnnO' Irnrhr'lnf' ~nrl' n"nWHl '001\ C:prnnrI Hfilh thp pV("f'otion of the I JK
EUROPE OF THE NEIGHBOURHOODS 43
there has been increased decentralisation of government aClivity throughout
Europe (Batley and Stoker 1991), both enhancing local political responsibil-
ity and deleg"ling downwards difficult issues of choice a.mo.ng local groups
in a time offiscal austerity. Third, hiving off and decentralrsatlon have evoked
a mass of experiments throughoul Europe concerned with new ways of regu-
lating service delivery and enhancing accountabilily by service providers
(I-lill 1993; Le Grand and Bartlett 1993). How these general changes worl<
themselves through in different countries varies with the specific political
and administrative structures associated with welfare service delivery in each
country. However, they raise a number ofsignificant questions when they are
considered from the point of view of social exclusion and neighbourhoods.
Do newl y developing 'democratic' forms of service delivery, involving client
groups direcrly, enhance or detract from Ihe ability of locally elected govern-
ments to manage wellbeing within their areas (Haslings el al. 1996; Hupe
1993; Schanau 1993)? What enhances or detracts from the capacity and
ability oflocally elected governments to exercise leadership in mobilising lo-
cal coalitions to respond to issues of social exclusion (Amin and Hausner
1997, Kouwenhoven 1993)?
The third issue raised by Esping-Anderson's typology turns around the
concept of reciprocity which forms part of the Continental model. If society
is seen as formed from groups with reciprocal righls and obli gations, then the
reconfiguration of class structures over the last twenty-five years suggests that
issues of maintaining social and moral order are central questions for under-
standing how social exclusion is both created and managed. Thus,. for exam-
ple, in french discourse social exclusion threatens to bring soclalftdclllre.
Both the Nordic and Anglo-Saxon models treat social.fracture as an issue
which is separate from queslions of welfare provision. What the Continental
model points out is that employment is an important method of socialising
young adults into wider social relationships. In the absence of this mecha-
nism, it is unclear what the most significant socialisation processes are. Thus,
while Galster and Killen argue that 'one of the main functions of neighbour-
hood is socialisalion', they admit that its influence 'can range from negligible
to overwhelming, depending on the particular residential context' (Galster
and Killen 1995, p.lS). In the UK issues of safety and security, code words
for crime as the most visible indicator of social frdcture, have become much
more politically salient in recent years. In this context, il is not so much so-
cialisation as the construction of deviance which becomes a key social pro-
cess. H,tll el a!.'s (1978) worl< on dClllonisation shows clearly how the social
construction ofsocial and Illoral order is based on the conslruction of a social
Olher, to whom deviance can be attribuled. Hall delineates the spillover ef-
 SOCIAL EXCLUSION IN EUROPEAN CITIES
come demonised on the basis of the media treatment of a few of their
members. On this argument, the social exclusion of specific groups may be a
necessary part of constructing the moral order into which the aim of combat-
ing exclusion seeks to insert precisely members of these groups. Looked at in
this way, the aim of integration is at least paradoxiGil if social exclusion itself
is a necessary part of a process of sustaining social cohesion and moral order
for the majority or the whole. In this situation, the natural allitude towards
some groups is col1iainment, not integration. Young and Kramer (1978) have
documented how this attitude characterised housing policy in London fol-
lowing the formation of a metropolitan-wide governmel1i, and there is
clearly evidence that the residualisation of social housing performs this kind
offunction in some European countries (Power 1993; Emms 1990). Sahlin's
(1995) dissection of the way housing opportunities are used to control so-
cially deviant behaviour in Sweden provides a detailed case study of some of
these mechanisms in practice. Chapter 7 by Bartley and Chapter 5 by Gilroy
and Speak in this volume give evidence of how the wrong address excludes
people from employment opportunities. Thus, in neighbourhoods where sig-
nificant numbers of members of deviant groups live, the social and political
processes which generate spatial containment may be stronger than any pro-
cesses associated with policy initiatives aimed at integration.
The fourth issue generated by Esping-Anderson's work arises because the
typology is based on traditional social policy areas: education, pensions,
health and unemployment insurance. Pensions and unemployment insurance
are primarily constructed around processes of income transfer, while health
and education are services which arc most efficiently provided on a collective
basis. Two attempts to use the typology to understand different national
housing systems in Europe begin to link it with the spatial processes associ-
ated with social exclusion (Harloe 1995; Kemeny 1994). Both these attempts
tend to take the Nordicwelfare-and-housing system not only as an ideal type,
but also as a paradigm against which Continental and Anglo-Saxon systems
can be evaluated. Harloe is primarily concerned with explaining how
broader social, political and economic processes have led to housing provi-
sion becoming socialised in various European countries. Kemeny bases his
argument more explicitly on an explanation afhow neighbouring processes
became transformed into provision by a voluntary sector. Consequently, Ke-
meny tends to see the involvement of the state in direct provision as contin-
gent, whereas Harloe tends to interpret it as part of a natural development.
However, neighbourhoods are not just social objects created by national
housing policies. They are also physical places created by land and residential
investment processes, and the managers of residential space are primarily
.J ••• ;~t-. .t-.~ ..J~.,~I................. ~~ ............... ho ....... <>n~ ... nrlln'1il1tf"n~nre ofohv,,,ir~1
__ .
EUROPE OF THE NEIGHBOURHOODS 45
and financial assets. Reflecting on the stubborn physicality of a neighbour-
hood problem,Hises their crention, continued existence and management. In
general, the ways in which routine asset management affects living in a place
have been neglected in the treatment of social exclusion. Kemeny is one of a
handful of writers who attempt to explain how the creation of physical space
and social place can be linked. He does this by developing two different
ideas. One is the concept of residence, which refers to the complex or social
activity and afTect which characterises 'living in a place' (Kemeny 1992; see
also Chapter 3 by Healey and Chapter 4 by Madanipour in this volume) and
the second is the concept of unitary and dualistic rental markets, which refers
to the policy frameworks which determine how social housing is related to
private (rental) housing markets (Kemeny 1994). The two concepts are not
fully linked, but taken together they begin to show how political choices
structure the framework of asset management, which in turn affects the crea-
tion of residential places. Page (1993) takes a different approach by focusing
on the development and management of new social housing estates which,
because of the residualisation of this sector in the UK, will provide homes for
the most excluded groups. His argument is addressed to housing profession-
als in an effort to persuade them that the day-to-day management of these es-
tates must be as much concerned with supporting the social processes which
create places as with the physical and financial management ofspaces. Freitas,
Chapter 11 in this volume, develops this line of argument by looking at a
squatter resettlement programme in Portugal. With the exception of Freitas'
earlier work (1993), which is based on household trajectories and life proj-
ects in relationship to relocation programmes, very little of the literature di-
rectly explores the role of housing asset management in relationship to the
linkages between family or kinship, socialisation processes and welfare provi-
sion. Kleinman (1996) argues that part of the problem in making these con-
nections is that housing policy debate is deeply split between sustaining the
market conditions which underpin owner occupation, on the one hand, and
the redistributive policy discourses which characterise social housing provi-
sion, on the other hand.
Esping-Anderson's typology of welfare regimes has provided a conven-
ient tool for organising a discussion of the different ways in which neigh-
bourhoods may be affected by transnational processes of change related to
class and citizenship in the European Union. This is because national welfare
systems play an important role in transmitting and shaping the impact of
these wider changes on those people who find themselves being excluded.
Yet national welfare systems are, themselves, configured very differently in
different countries. Esping-Anderson's typology, thus, helps in abstracting
thf' m:linr rnml'JOl1ents of these confirwrations which shape specillc impacts
 SOCiAL EXCLUSION IN EUROPEAN CITIES
differently. Five major themes emerge from this analysis: the role of the social
partners in different systems; the role of non-state entities; the division be-
tween central and local responsibilities; the social construction of reciprocity
and deviance; and the role of residence. Each of these themes provides a di-
mension along which it is possible to begin to predict how welfare systems
shape the impact of transnational economic and political change on those
households who arc most likely to be adversely affected by these broader
changes.
The weakness of ideal typicrll analysis, such as Esping-Anderson's, is that
it always oversimplifies the phenomena which it is designed to reflect. How-
ever, in the context of the wider analysis in this chapter, this .lim plification al-
lows the identification of a number of middle level themes which can provide
a framework for looking at different types of neighbourhoods in different
countries. Such a detailed investigation, framed in terms of the middle level,
would, of course, show that each national welfare system creatively combines
elements from each of the ideal typical welfare regimes while also illuminat-
ing how welfare regimes interact with broader social and economic changes
to shape social exclusion in vulnerable neighbourhoods.
Conclusions: ever-closer union and social fragmentation
The main aim of this chapter has been to identify a set of narratives which ex-
plain however-closer union within Europe shapes some of the important
macro-processes which affect vulnerable neighbourhoods. Three groups of
narratives have been identified. First, the accelerating development of the
Union over the last fifteen years has been a direct response to globalisation.
The most vulnerable neighbourhoods are both directly affected by globalisa-
tion and affected by the Union's attempts to regulate its effects, including the
increasingly casualised labour market which globalisation has engendered.
Second, ever-closer union has led to changes in fonn;l! rights associated with
nationality and citizenship. These changes have enhanced race and ethnicity
as a dimension of social cleavage and exclusion while, at the same time, the
fiscal austerity associated with achieving monetary union has brought into
question the ways that citizenship rights are guaranteed and delivered within
the member states. Third, the variously configured welfare systems among
the Fifteen are both affected directl y by harmonisation with in the Union and
by the ways that labour markets and citizenship are changing. They, thus,
playa significant role in shaping the effects of these changes on vulnerable
neighbourhoods.
Two main themes emerge from taking these n;",atives together. The first
is the signific:ll1cc of transl1cHional processes, that is, processes which spring
EUROPE OF Ti-IE NEIGHBOURHOODS 47
from the changing relationships among the member states, associated both
with globalisation and with the formation of the European Union as a re-
sponse to globalisation. The second theme is the complexity and interwoven
nature of the three groups of narratives. Each group of narratives only makes
sense when set against the other two groups. The analysis in this chapter has
largely addressed aspects of structural change, seeking to identify three com-
ponents of explanations of such change: theoretical views about .rhe appro-
priate way to analyse social structures and processes, normative views about
the right way to address problems of social equity, and descriptive elements
concerned with the institutions of welfare delivery. The interwoven nature of
the narratives of change arises from the way this analytical approach empha-
sises common assumptions in different approaches to issues of class change,
citizenship and nationality, and changing welfare regimes.
However, structural analysis always raises questions ofsocial agency. Ask-
ing however-closer union has affected the most vulnerable neighbourhoods
in Europe risks casting these neighbourhoods in the role of passive victims of
wider changes. Thus, this chapter has sought to formulate its analysis in a way
which highlights a second question: how can and do people actively respond
to these changes? Much of the worl, reported in this book as a whole takes
this problem further by identifying the active responses open both to people
living in these neighbourhoods and to those who have responsibility for
managing the collective lives of these neighbourhoods.
The im plicit practical aim of all the work included in this book is to iden-
tify the kinds of policy changes and frameworks which can be implemented
at the level of the European Union and which would strengthen the position
of excluded people living in vulnerable neighbourhoods. Such policy pro-
posals need to rest on an explicit framework within which the European-
wide processes discussed in this chapter and European-wide policy processes
can be linked with the active responses of people in neighbourhoods. Abra-
hamson's (1992) work provides some pointers towards constructing such a
framework. He argues that the changing ways in which the delivery of wel-
fare to households is organised can be analysed by locating these changes in
relationship to three (changing) societal systems: market, state and civil soci-
ety. While this framework is broadly based in a Habermasian view of societal
structure, it does not replicate Habermas' normatively problematic dualism
between the state and economy, on the one hand, and the life world, on the
other hand. Rather it sees civil society itselfas a structured societal system, in
tension with the systems of both state and economy. In this way, Abraham-
son's framework locates the concept of citizCl1ship in terms of the relation-
ship between civil society and state and locates relational (r<Hher than
GHcp"orisinp-) conccDts of rb"" in t"rr-n[' r.(t1H> ... "l .... ; ........ rl-...;~ I.~~ ... _-- _: .. ,,-
 ,18 SOC],'L EXCLUSION IN ELJROPf:At'~ CITIES
ety nnd the economy. Most importantly, by making civil society a systemic
"ctor, this framework highlights a perspective which sees residents and
households as actively co-producing their own welfare together with the
newly emerging forms of organisation which link civil society with the state
and economy. It therefore provides a basis for studying vulnerable neigh-
bourhoods which locates them within wider European processes while ac-
l<llOwledging their creative and active responses to these processes.
Acknowledgements
I would like to thank all those who have helped me to pull together the argu-
ments in this chapter: Anna Haworth and Keith Jacobs at the University of
Westminter; my co-editors, Ali Madanipour and Goran Cars; members of the
CIB Housing Sociology Group; and all the participants at the ESRC seminar
in Newcastle whose work stimulated me to develop these ideas.
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 CHAPTER THREE

Institutionalist Theory, Social Exclusion

1
and Governance
Pelts)/ Healey

Qyality of life and living places

Akey focus of housing and planning policy this century has been on the pro-
vision of living environments in which ordinary people could dwell in com-
fort. In mid-century, planners gave a lot of attention to the design of
residential neighbourhoods and to how these fitted into the overall pattern-
ing and functioning of towns and cities. By the 1960s, the policy emphasis in
many countries had narrowed down to the mass production of low-cost
housing. How people lived their lives receded to the background of policy at-
tention in favour of their assumed need for a dwelling with particular 'mo-
dern' attributes. Relations with the city were also largely neglected. The
adverse consequences of this narrowing are still with us. As economic growth
weakened, the emphasis in spatial planning policy shifted, in turn, from
housing provision to concerns with economic development and environ-
mental sustainability. Despite recent interest in the design and management
of sustainable living environments, the quality ofthe living environment, the
place around the home, has been largely neglected in spatial planning in re-
cent years and left to those concerned with urban design.
The exception has been the interest among those concerned with social
housing and qlldrtim en Crtse with areas of concentrated disadvantage and,
particularly, the social conditions on housing estates where people on low in-
comes, out of work and often from ethnic minorities, find themselves concen-
trated. Here, policy analysts and researchers have increasingly shifted

I Atl earlier Venkltl orthi_~ paper :lppears in H. Vestcrg:lard (ed) (1997) HOUJln,g In ftJropr.
Copenhagrn, Dcnmark: Danish Building Instilute.
54 SOCiAl EXCLUSION IN EUROPEAN CITIES
attention from the quality of housing provision to overoliliving conditions
and ways oflife in neighbourhoods. This work highlights, nrst, that these 'li-
ving places' may become social worlds which shape attitudes and aspirations
and, second, that these attitudes and aspirations may be significantly differ-
ent from those people who live in other parts of the city and may be internally
differentiated as well (Duggan and Ronayne 1991; Mayo 1994; Thake
1995; Wood r/ al. 1995). This links the discussion of the quality of neigh-
bourhood life to contemporary policy concerns with the dynamics of social
exclusion and cohesion processes. These concepts are highly contested and
have many possible meanings (Mingione 1996; Room 1995; Madanipour,
Chapter 4 in this volume). For example, in British urban policy discussion,
the phrase is commonly being used to imply Ihat some people and some
neighbourhoods are drifting away from the norms ofsociety as a whole. Pol-
icy action is then targeted to bringing them back and to re-establishing cohe-
sion. This assumes that governance action is outside the situation and can, if
designed appropriately, have benign effects. However, much community de-
velopment action and research engaging with the social worlds ofsuch places
sholYs that such governance action itself encourages the drift.
The aim of this chapter is to examine the processes ofsocial exclusion and
cohesion operating at the level of Ihe living place, or neighbourhood, and
how governance policies and practices contribute to these processes. It does
this through using the insights ofan institutionalist conception ofsocial rela-
tions and governance activity, and a specific focus on everyday life and the
qualities of living places. This leads to a discussion of the role of urban gov-
ernance in building up relational qualities which have the potential to reduce
rather than enhance exclusionary processes.
An institutionalist understanding of social exclusion
and neighbourhood life
The ideas outlined below draw on the more sociological emphases in the new
institutionalism and socio-economics and the more nne-grained analyses
now appearing in regulation theory. They are also influenced by contempo-
rary communicative planning theory (Amin and Hausner 1996; I-Jealey
1997a; Healey e/al. 1995). This section of the chapter outlines key concepts
about institutionalism and draws out their implications for the meaning of
social exclusion and the significance of place and neighbourhood. The con-
cepts discussed are: social relational webs; structure and agency, socio-spatial
relations; everyday life; and neighbourhoods as living places. The next sec-
tion builds on these ideas by discussing how these ideas help us to under-
d'''lrl thp Ii.,!." h,.,hllPpt1 "n.,...i'll f'vrllll'jn.n 'l.~rl fl. ... nnll(>rrl<J/lrf' nflivino nhr"l'
INSTITUTiONALIST THEOR Y 55
Reld/ional webs alld sociat worldr
A relational view ofsocial process rakes a view of individuals, not as autono-
moUS subjects with individual preferences, but as formed within social con-
texts. It emphasises the social relations within which we live and the social
worlds within which we construct our identities and our relations with oth-
ers. The term 'social networl<' is often used to describe this relational concep-
tion. An institutionalist approach tends to take an anthropological
conception of networks. These are seen as more than just sets of relational
links through which people can get access to material resources, knowledge
and power. Different networks or relational webs e~nbody and expre~s social
worlds through which local knowledge flows, framll1g how people thll1k and
give value (Geertz 1983). It is in the context ofthese worlds that identities are
constructed ('we', 'you', 'them'). In the sociological ideal type of the place-
based, ,gemeinschaji community, people's networks were den~e1y concentrated
among a group of people who shared a common life and 11VlI1g space. It ts of-
ten claimed that modernity and postmodernity have disrupted ,gemeinschaJi re-
lations. These days, many people live in several networks at once, choosing
alternative identities and living with the possibilities of multiple identities.
Social networks intersect with each other and cluster in particular places, but
these places are not necessarily residential neighbourhoods. They may not
even be physical spaces but may exist on the airwaves or the Internet.
How, then, can the idea of social exclusion and cohesion be understood?
One way to explore such concepts is through analysis of the degree of inter-
section of social networks (their density and nodal points), and the extent to
which such intersections draw people together into common social worlds
and relations or, in contrast, force divisions and exclusions. This would de-
scribe social exclusion and cohesion as states of existence. An institutionalist
view emphasises, over and above this, the active process of building relation-
ships and meanings. This highlights the importance of processes of exclusion
and cohesion and presents the phenomenon of social exclusion as an active
social process, likely to vary in its forms and processes from one situation to
another. It also suggests that exclusion is not the opposite ofcohesion butthat
Ihe two are integral to each other. Exclusion presupposes some active work of
cohesion (see Chapter 4 by Madanipour in this volume). Building and stabi-
lising relational bonds in one direction means that another direction is ne-
glected. For example, strengthening community cohesion in a disadvantaged
neighbourhood could have Ihe consequence of reinforcing its social distance
and exclusion from other opportunities within the urban region. This sug-
gests we need to understand social exclusion and cohesion as group building
:.md mobilising processes \vhich generate boundarv rTl;lkina :Int1 hrt·']kinro

56 SOCIAL EXCLUS10N iN EUROPEAN CITIES
ing and limiting, unable to respond to new conditions. They may also exclude
others from opportunities to which they have a right. This suggests that re-
search and policy attention needs to be directed at discriminating between
forms of cohesion and of exclusion which are supportive and which give
strength and identity to people in vulnerable situations,' and those which ac-
tively seek to prevent others participating in their opportunities and social
worlds]
SI11JclUre alld agency
While a focus on relational webs highlights the significance of agency, the in-
stitutionalist approach re-works marxist political economy to recognise the
role of structuring, or 'driving', forces in shaping social worlds. Following
Giddens (1984), structuring as an active force occurs as people draw on mate-
rial resources, rule structures and ways of thinking (discourses) in the ongo-
ing flow of living in the world. As Foucault emphasises (Rabinow 1991),
these practices embody an archaeology of past patterns which carry power
forward to the present in the micropolitics of what we do. Yet, because we are
active agents, continually adapting, reinterpreting, making new relation-
ships, developing new ideas about rules and finding new material possibili-
ties, the creative work of living in the world has the potential to change the
structuring dynamics. Social practices and worlds, thus, both carry structur-
ing power and have the capacity to transform it. However much structuring
forces may be interconnected at the macro-level, the institutionalist approach
tends to emphasise that several driving forces may impact on the micro-
relations of social life, some perhaps fostering social cohesion in some places,
others encouragingji'aclureand division. This serves to highlight the limits of
economic determination and the significance of the social embedded ness of
economic life.
For example, in neighbourhoods in the northeast of England, the impact
of economic restructuring on social life in neighbourhoods where place, folk
and work were once closely interrelated has been devastating (Hudson 1989;
Pattison 1996). But other factors are at work too. Residents comment that the
younger generation do not get involved in community development in the
wayan older generation did, or that the community that once existed in a
neighbourhood (a gemeinschafi conception) is fading away (Mayo 1994;
For example, the m.1intenance of the peaceJine between Protestant and Catholic communities
in Belfast.
3 For example, (he motives behind exclusion:lry zoning in the USA, and the way greenbelt
politics are often used in the UK, or attempts 10 use housing allocalion policies to allow
INSTITUTiONALIST THEORY 57
Wood cr ,t!. 19Y 5). Recent reports on community involvement in Britain talk
of a crisis of volunteering among groups experiencing long working hours in
situations where both men and women arc in work and sharing family re-
sponsibilities:' So people are often left to overcome barriers to opportunity
through personal effort, rather than through collective, community-based
action.
Structuring or driving forces generate fractures and divisions. For exam-
ple, in British public policy debate and left of centre political practic~, these
fractures were traditionally discussed in the language of class and dtstnbll-
tion. Such discourses still frame atlitudes to local government pmctice and
grassroots social mobilisation. In this frame of reference, public sector action
is presented as benefiting (working class) community and private sector ac-
tion as promoting the interests of capital. Social exclusion, in this case, is class
based, the exclusion of the working class from access to the frullS of their la-
bour. But the working class are not outside economic dynamics since their la-
bour is central to it. In the late I980s, government urban policy introduced a
different conception, of a mainstream of economic, social and political life,
from which some people seemed to have become disconnected. This led to
the use of terms such as marginalised, disenfranchised and underclass. It drew
heavily on US conceptions (see Bendick and Egan 1993).5 It is in this context
that exclusion comes to mean exclusion from the mainstream. Such a concep-
tion gives support to the notion of an underclass of people, who are somehow
excluded from participation in normal society.
There is another conception of power and structure which seeks to replace
the political discourse of distribution and class division with one of domina-
tion and oppression (Young 1990). This focuses attention on power relations
at two levels: one within living places, as in situations where gangs, particular
families, or money lenders and exploitative landlords control territory and
access to opportunity; and the other where agencies outside the living place
control access to opportunity (through discriminating against people from
particular places, or with particular chamcteristics or histories). The domi-
nated in this conception are not exactly excluded since they serve to define
the identity of the dominant groups.
An institutionalist account of processes of social exclusion and cohesion,
thus, examines the way micro-relations of social interaction are shaped by
4 There is;l lot or evidence from the UK lhal voluntary engagement is linked \0 bring in work
(see Wil1iarn.~ ;llld Windebank 1995 for a review), . ..
5 The term maimlrearn sockty SCf'l11S 10 be common parl,met.' In US urban polll1cs. Sec Ihe usc
of Ihe term in convers;l!ion ill:m oral history account of an urban activisf's life in Dclroil
58 SOCIAL EXClUSION IN EUROPEAN CITIES
their history and context and, particularly, by the practices and discourses
surrounding the flows of material resources and the interpretation of rule
strucwres. It also emphasises the active work orinterpretation and invention
through which people create and transform the meaning structures of their
social worlds. Such an account forms the basis for understanding the signifi-
cance of governance processes in the flow of social interaction.
SOCio-spilllal reldtions
All social existence inherently occurs in time and space. But in contemporary
societies, with complex economic relations and socio-cultural opportunities,
different relational webs may have very different time/space dimensions.
One person may be involved in several at once. Any specific space may have
passing across it very many different relational webs. There is no necessary
connection between the relational webs of those who share the same space
and who are physically neighbours. Yet coexisting in shared spaces has ef-
fects. A place may be a locus of access to relational resources. Living in a place
exposes people to particular processes of constraint and opportunity which
Significantly shape their social worlds. People may consider that the quality
of their town or their living place is a significant dimension of their own
sense of themselves. Much neighbourhood regeneration and community de-
velopment policy assumes that building community, that is, place-based com-
munity, is an important task.
Social relations, thus, occur in space, and often spaces become places with
particular qualities which have material and symbolic meaning for people.
This relates to contemporary policy discourses on social exclusion in two
ways. First, some living places, that is, neighbourhoods, seem to be excluded
from normal life. They are places of divergent behaviour, associated, for ex-
ample, with high levels of crime and criminals. Second, building up neigh-
bourhood organising capacity is seen as a way of drawing people who seem
to be suffering from exclusion back into the mainstream, as in building routes
to jobs (Gilroy 1996) or empowerment through participation in community
governance (Friedmann 1992). The terms empowerment, citizenship, and
building democracy are widely used in contemporary community develop-
ment literature. Much of this policy and political discourse is underpinned by
romantic notions of gemeimchaji, the family and the moral individual which
have little relation to the realities of social life toda 1', even in what is tal'en to
be mainstream social life. More realistic reasons for public-policy to focus on
the neighbourhood, or the housing estate, relate to governance problems
such as recovering political legitimacy, ornoading public sector costs, targct-
: ... ~ •__ 1;_ •. _0-__ • ,_ .1. • .1 •• __ .L._~.__.• L . _ J_. ~ ......
~rr,.,.-~
INSTITUTIDNALIST THEOR Y \9
ienation, etc. In this context, the neighbourhood, or re.\idential area, as a
focus of policy becomes a useful net within which to capture a target group of
people.
The institutionalist approach emphasises the importance of paying atten-
tion to when and in what way being in a place matters to people and how this
may differ among those who live and work there and among those elsewhere
who label it in some way." This suggests that in any kind of policy work di-
rected at overcoming the adverse effects of social exclusion, it would be use-
ful to look at: (I) how social worlds of place affect people in terms of
mobilising for change (where do people look for allies, who are they mobilis-
ing for and against, etc. ?); (2) what brings outsiders to seek to engage in
place-based mobilising in someone else's place; and (3) what conceptions of
place and community are used in these insider/outsider mobilisation pro-
cesses? In order to get an understanding of what living in a place means to
people, we need a way of looking at social life which reflects the way we live,
not the divisions of policy delivery agencies or academic disciplines. The
concept of everyday life offers such an approach.
Everyday life
This concept provides more focus to what living in a place means. It serves,
first, to counterbalance the contemporary emphasis in Europe on the point of
view of business life and the firm 7 Second, it challenges the policy literature
which treats people's concerns in terms of separate areas of service delivery,
such as health, education, training and employment. This splits up people's
lives (Nord 1991) and tends to emphasise a service producer view of people's
needs and concerns. An everyday life perspective focuses instead on the mul-
tipliciry of roles people play and the services they use as they accomplish each
day It has been strongly influenced by work on women's daily lives and in-
teraction with living environments (Altman and Churchman 1994). Within
an institutionalist perspective, the concept of everyday life means the social
relations through which we accomplish human eXistence, in daily, weekly,
yearly, lifespan and intergenerational time B This is encapsulated in how peo-
C,For example, in the rcdlining pracficcs orDnance lenders, insurance companies <lnd
employers.
7 This is not to deny the importance of economic activiry, but jllS! to look ill it from both the
point of view of the accomplishment of daily life and the accomplishment orbusines.~
production. Sodal and economic dimcnsiom arc inrertwincd in hath.
S The concept or everyday life is grounded lheoretically; sec Giddens (1984), who dmws on
ll:lgcrsfr:md, to dL~cLlss evcryda)! life- in -"pace and lime, and Ihe opportunity/constraint
negotiation through which lift' is liwd; sec the rect'rl! 5candinavi:1I1 work on women's daHv
r~ __ :_1 I I: .. _~ I'-'_'L ,ron, ., ,. ~ .
60 SOCIAL EXCLUSION IN EUROPEAN CITIES
pie achieve daily life, their strategies of survival and coping (Mingione
1992), the tasks of acquiring the material means of existence, the social sup-
ports for existence (social care, emotional support, moral development) and
the aesthetic and expressive enrichment of life (enjoyment, exercise, sexual
fulfilment, etcV
This everyday life point ofview not only provides an account of how peo-
ple come to think about, use and value their living spaces. 11 also offers an
evaluative perspective for public policy. Much policy debate focusing on citi-
zens has emphasised rights and/or needs. Both are clearly important. But to
evaluate policy solely in terms of whether it contributes to meeting needs or
providing for rights narrows and homogenises our evaluative judgement. A
richer concept is that of'human nourishing'.'O It expresses a concern for our-
selves and our fellow citizens, that we should all nourish, limited only by re-
spect for each other's right to nourish and by local and global considerations
of sustainability. Public policy and governance activity can be judged in terms
of their contribution to human nourishing, in the diverse ways in which peo-
ple grow and develop. It is clear that the place where daily life is located is im-
portant in helping people to flourish. Some living places are easy to navigate
and rich in resources for support and enhancement. Others are an obstacle
course of hurdles and barriers, environmental and social contaminations
which undermine physical and mental health and the development of aspira-
tions. In this context, social exclusion could mean being cut out of opportuni-
ties to live with people and in places which enhance the chance of
flourishing, in whatever way people may want to nourish,
Recent research in northern England provides many illustrations of the
problems people face in their living spaces, Single parents find themselves on
estates with limited access to family and friends, lack ofchildcare, costly jour-
neys to shop and to work and often with gardens to care for without the time,
energy or funds for garden tools (Speak et ai, 1995). People in some inner city
neighbourhoods have to navigate a route to local shops through streets con-
trolled by gangs of young people or families for whom all connicts are solved
by physical means, or find their children playing with drug users' syringes
(Taylor, Evans and Fraser 1996; Wood el al. 1995). Residents of small settle-
daily life as a space of reproduction. Haberm:ls (1984) uses lhe term lifeworld, bUl in a r,Hher
dualistic way.
9 Sec Haberm:l5 (1984) fOf these dL~lincljons and the need to gr;l.~p material, moral and
expressive issues in .1ny public realm activity. _
10 This concept is alrc<ldy (rerping into Brilish social policy H(eralUre. It has deep philosophical
roolS. In western culture, il can be traced back 10 interpretatiolls of the Greek concept of
rodalmDnla. Although translated by Ufiliratiam i11l0 the concept of h;lppiness, Nussbaum
,. .. _" , ... , ., , . , ".,._-
61
INSTlTUTIONAUST THEORY
ments in rural ar,as find their local shops disappearing in the face of competi-
tion from the large new edge of town centres, leading to a deteriorating
image for their place which undermines their sense of their own quality oflife
(Gilroy 1997). Such living places increasingly become abandoned by all ex-
cept those with no choice.
The everyday life concept thus focuses considerations of social exclusion
and cohesion into an evaluative concern with how far processes of exclusion
and cohesion make life easier or more difficult for people in the context of
getting along and nourishing in the course of daily life.
NeIghbourhood., as living places
Much of daily life is spent transecting the space around the home. But for
some people this space has little meaning. They corne and go, usually by car,
between the space behind the front door or garden gate and other spaces: the
school, the workplace, the shopping centre, the leisure complex, the grand-
parents' house. For others, almost their whole year is spent in and around a
particular place (Gilroy 1997). People's social relations inherently occur in
place and time. People are in motion through space, encountering others, en-
countering opportunities and resources, challenges, threats and constraints.
There is for all of us a living space around the home, a passive neighbour-
hood. But this becomes a living place, an aClive neighbourhood, as people
come to use, enjoy and identify with its qualities and develop interactions
with others. In social terms, neighbourhoods are places ofmu!tiple motion.
People who live there become familiar with the social-physical landscape as
they learn to negotiate their way around. In some neighbourhoods, the defin-
ing characteristics are the sense of neighbourliness and community as people
greet each other, help each other out and work together on neighbourhood
activities. These begin to develop some of the qualities which are implied in
the concept of social cohesion, even if people do not have the tight nexus of
social relations with each other implied by the gemeinschaft notion. In other
neighbourhoods, people are uneasily bound together by the problems and
tensions which they face. Gemeinschaji qualities (cohesive, place-based social
worlds) develop where people who share a common space build up relational
resources among themselves in order to reduce the impact of threats and con-
smints and to create the opportunities of place-based collaboration. For ex-
ample, some old industrial neighbourhoods in northern England still have
this quality and many have a m~mory ofit, linked to the production relations
of the mi ning and sh i pbuild ing industries in particular. So different places of-
fer different rcbtional environments for social life. For many people, these
 INSTITUTIONALIST TI-IEOR Y 6J
62 SOCIAL EXCLUSION IN EUROPEAN CITIES

for those with limited mobility and limited access to work and leisure oppor-
tunities. The quality of the social worlds of living places, particularly for
these groups, makes a difference to people's ability to flourish.
These relational qualities of neighbourhoods do not, however, occur in
isolation. How they develop is intimately linked to the way the relational
webs of those living there link to other people in other places. Many resi-
dents may have stakes in all kinds of other places, through work, family, lei-
sure, etc. A living place could be evaluated in rerms both of its internal
supports for cohesion and human flourishing and the richness of its connec-
tions to opportunities outside. Many people elsewhere may have a stake in
whar happens in a neighbourhood. Some people may seek to get to live there.
Or they may fear its difference from other neighbourhoods. Once a neigh- l'
(f)
W
bourhood gets involved in policy-driven community development, all kinds x'"
u (f)

of outsiders may come peering in. Figure 3.1 illustrates this in a stakeholder on
'> (f)
c W
.1--c (f) 0 Z
map of those drawn into a community development initiative in the West End ZI- l'
of Newcastle in Britain. II Wz '"Ec "'"m
(f)
:J
::i:w E' CL []J
This highlights the way social exclusions and cohesions are expressed in Z::i: 'S;
a: I- c u" -~
the mental maps through which residents, employers and service providers w CD iii
Wa: -- w!II U
l'
view the social space of the city or region. Nei ghbourhoods are symbolised >< g-o"O . i:
OCL
o ... ~ w 0
;-a..t-z CD
in people's conceptions of place, leading to valuing and devaluing processes C9W -m_'E
p g. q (f)
which can be very exclusionary, such as low property values, redlining, etc. o o t.9
0
I
l-
0 l2
e
0
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This is tied up in conceptions of'my place', 'your place', 'their place'. To take w c: Ill';::: W
w Ql 4_ It!
0
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one example, a Newcastle neighbourhood was both 'the place I call home' 0: ...J E "'
0 < " "
<;
u. eu
\" ~
on a:'" "Con
on W
(f)
(for an insider) and 'an appalling place' (for an outsider) (Wood <I al. 1995). • ~ « 0:
An important dimension of neighbourhood im provement work is to consider
I- Z
U 0
~ 00
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"
G
how people value their living places, how they compare them with others,
W
(f) (f) (f) Q; "
co 'i'
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e
'" \
and within what social context this valuing takes place. "-
~ LLO '--.{!
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Social exclusion and governance capacity

CL
(f) ‫ן‬- m ..... "
0
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1lI III
og-ilJoa.';;:u
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An institutionalist approach emphasises the social relational processes on mDl'~illoEC
through which living places are given importance to those wirh a stake in
g W
....J w.SlDE§E~!!1
lfl(f'JQ.._rnmo
G Qj::J_DroOJ ..... O
c I-....J rn Qi u 0 :J ..c
them and how this may produce exclusions and inclusions, cohesions and (f)_ .-0

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fragmentations. Governance actions clearly have the potential to influence 0

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<u 6 -:;- U)ow.
"g ~ -E Ci .~ ~
-J.
UZ
these processes in significant and diverse ways. To explore rhe way this influ- ~:J ~

zu i5"
wO ~
ence could be exercised and its potential for enhancing or reducing exclu-
sionary processes requires a shift in thinking away from public action as the
delivery of products by specific agencies to a relational vi~w of governance

II Scc 8ry'son and Croshy (1992) for the concept of .~tak('hoJdcr ~l1d slaltcholdcr mappinl?
 SOCIAL EXCLUSION IN EUROPEAN CITIES
processes and the way these innuence the relational resources available in an
urban region. How do the forms and processes of governance impinge on
these social processes? This will be explored through two concepts: that of
governance as collective action, wherever it originates, and that of institu-
tional capacity.
Gm'crnance as collective action
[n an institutionalist approach, governance is taken to mean any kind of pro-
cess or activity where people come together to perform activities of mutual
benefit or where agencies perform what is justified as in the collective or pub-
lic interest. Such collective activity can take many forms, from managing fam-
ily affairs to organising the delivery of social welfare benefits. Forma[
government is only a part of this. The boundaries between what formal gov-
ernment does, what is done in a market form, what is done by organised vol-
untary bodies and what is done informally are always being negotiated and
renegotiated (Healey 1997a; Judge, Stoker and Wolman 1995; Mayo 1994).
Formal government in our societies has grown into a powerful force, structur-
ing opportunities and constraints. A key normative interest for many con-
cerned with citizenship and democracy at present is how to shift the
juggernaut (Towers 1995) to reduce its oppressive qualities and make it a
force to provide support for rather than constraints on people's capacity to
nourish. We can also ask how f.1r formal government activity, and governance
more widely, contributes to developing and maintaining exclusionary pro-
cesses which limit people's capacity to flourish, and how far it contributes to-
wards cohesions and inclusions which promote this capacity.
The British situation illustrates the contradictory tendencies at work. Dur-
ing the 1980s and 1990s, national government policy has been both reduc-
ing the burden of government and reinforcing its power (Gamble 1988). This
is evident in urban policy initiatives which emphasise giving autonomy to
new partnerships (often a sort of third sector agency) while subjecting them
to strict requirements as regards annual output performance indicators (Oat-
ley 1995). Due to national policy changes and economic changes, people in
neighbourhoods where many poor people live find they have both fewer job
opportunities and reduced welfare benefits. They are excluded from work in
the formal economy and doubly squeezed in terms of material resources. At
the same time, they are being asked to participate in more tenant manage-
ment and community development, to take on gavernanceJoles sloughed off
by government. Those interested in community development, both commu-
nity members and outsiders, welcome this new preparedness on the part of
I • _~.~ ."." th"f .... "',....;l_'~
INSTITUTIONALIST TIIEORY 65
time and energy to respond to this marginal opening of the public sector is
undermined by the other pressures they face as a result of political and eco-
nomic restrucluring (Mayo 1994; Thake 1995). A key resource in this can-
lexl is access to the various nelworks generated by these new initiatives.
These provide access 10 influence over power, 10 knowledge, 10 social and lei-
sure opportunities and to training and sometimes even jobs. Social exclusion
could therefore have a meaning relating to isolation from these relational re-
sources. But it is not clear that these new forms of partnership and new op-
portunities for circulating government resources around places generate an
enduring cohesion. Their current form is largely ephemeral, a sort oflurching
gravy train which halts for a while in a place and then moves on. Unless an
initiative is really generated from within Ihe community or driven by facilita-
tors extremely sensitive to the dynamics of local social relations, little atten-
lion is likely to be given to the relational resources and forms of collective
management which already exist in a place, typically informal and centred on
the world offamily and neighbours. As a result, far from building more cohe-
sive relationships around people's living place, the gravy train could render
them more unstable. 12
This suggests that research and public policy attention should be given to:
(1) how formal government actions currently impact on people in the context
of their everyday lives in neighbourhoods, and whether these actions con-
tribute to or detract from Ihe reinforcement of exclusionary processes; (2)
what forms of governance exist, both formal and informal, which ones really
make a difference to people's quality of life in their living places, and who
gets access to these; and (3) what relational resources already exist and could
provide a basis for sustainable improvements to the quality of neighbour-
hood life.
Institutional capacity
If governance is described in this way, how are we to describe and evaluate it?
One way is to map the stakeholders and the networks which connect them.
This helps to provide a picture of the pattern and density of interaction, but
provides little information about what flows through the interactions. An in-
stitutionalist approach emphasises the quality of the relationships and their
relation to the social worlds which bind and divide political communities.
12 There is some evidence of these adverse effects in siudies of the dyn<lmics of partnership
(Hastings 1996), including our own work (Wood ({ al. 1995). Sec also Schnecklofh and
Shibley (1995) 011 what it f01kc.~ to help communities develop their pl<lce·maldng capabilities
and how con~u1t;lnts can f.lcilitall' such processes, Norr. that the new 1997 Labour
aovt'rnmpnl nrnmi.~r.~ 10 remnv,. rhl' rnmnetitive fimdin17 urban nnlirv reO'ime.
 SOCIAL EXCLUSION IN EUROPEAN CITIES
The overall quality of governance as it affects individuals, their living places
and their city or region is captured in the concept of institutional capacity,
that is, the capability of the collection ofrelationships through which govern-
ance tasks are accomplished in any jurisdiction or political community. Like
network, it is just a descriptive word until evaluated. Such evaluation can fo-
cus on whether the capability of the relational webs of a place contributes to
or detracts from human flourishing and for whom. This in turn relates to what
it is capable of achieving. There are a range of characteristics of institutional
capacity which analysts in the institutionalist tradition focus on (Amin and
Hallsner 1996; Amin and Thrift 1995; Healey 1997a). These include:
1. The relational forms and processes of governance (who is involved, in
relation to who could be involved (the stakeholders versus those with
voice); the density of relations (their cohesion and stability); the spatial
and social reach of the relationships (who gets access to influencing
them and the benefits which flow from them); the key nodes and
arenas of interaction; the forms and styles of discourse (whom they
privilege, whom they dominate).
2. What gets circulated around (material resources, people skills,
knowledge resources, social trust and cultural mores, and political
capabilities and influence), the intellectual, social and political capital
which develops (Innes ft al. 1994).
3. The performance of particular governance tasks, in the social context
of their performance (such as delivering inward investment strategies,
sustenance for a rich small firm sector, or nurturing a context within
which grassroots community development initiatives can flourish).
An institutionalist approach emphasises, in particular, the building up of rela-
tional resources for public realm activities, as well as mobilising, making and
sustaining relational links. Community development in neighbourhoods is
rich with experience of such activity, with what it takes to keep going, and
what undermines the possibility ofbuilding lip community organisations and
their survival. The role of arenas and key networkers and community activists
(brokers or social entrepreneurs) can be critical here (Mayo 1994; Schneek-
loth and Shibley 1995; Thake 1995). Social exclusion in this context could
mean being poor in relational resources through which to get access to mate-
rial capital, but also to intellectual, social and polirical capital. rJ It could also
mean mobilising on a narrow base, to build up boundaries around a group in
a defensive way, i.e. deliberately excluding. Many elite governance practices
(} This on be comidcred :IS institutional or te]:Itiollilf capital
INSTITUTIONALIST THEORY 67
are, of course, of this form. This could provide another direction for assessing
how far people in places are being excluded from access to the governance af-
fecting their lives, and, in contrast, the degree of empowerment they experi-
ence, through voice, through being accorded attenrion (listened to), and
through engagement in practical action (policy development, delivery and
management).
Recenr British policy history provides a case study in how government ac-
tions can encourage exclusionary tendencies in cities and regions. Public pol-
icy in Britain has affected social life in neighbourhoods both rhrough its
people-focused policies and through place-based policies. The former (func-
tional policies) have all been working together, along wirh changes in the
economy and social life, to lead both to concentrations of the people with
least resources (material or relational) in particular neighbourhoods and ro
defensive strategies ofdiscriminarion, differentiation and exclusion as people
try to protect the assets they do have (i.e. people have exclusion thrust upon
them). Changes to social benefits policy, housing allocation policies and the
general th rust of economic policy (luring the inward investor, emphasising
large companies) have been perhaps the most significant here. Central and lo-
cal government and quangos have mostly been following the same direction
in these respects. further, the restructuring of government agencies has not
only re-targeted policies. It has also fractured relational links among agencies
and between agencies and clients. Added to this, competition between gov-
ernment agencies for political and ideological reasons has led to a local poli-
tics of turf, as each agency tries to build up new relarional resources for
practical and political reasons. This produces a micropolitics of exclusion and
inclusion and adds to the fragmenting of place-based relationships, including
rhose within neighbourhoods. The problem here is the failure to consider rhe
relational resources through which governance activity is accomplished and
to assess what it takes to build institutional capacity (Healey 1997b; Mayo
1994; Taylor 1995; Thake 1995).
A similar failure is evident in place-targeted, micro-territorial policies.
Britain has had a long history of place-targeted policies, and ofdebates about
the relative merit of place versus people targeting (Blackman 1995; Cameron
and Davoudi, Chapter 12 in this volume). In the 1980s, national government
policy replaced place targeting with 'trickle down'. The failure of trickle was
partly due to the overall lack of flow. But it was also because there were
breaks and barriers impeding the trickle. Using this metaphor, policy makers
began to suggest that social exclusion could be overcome by mending the
breaks and hauling people back on board (Healey 1997b). This led to a con-
cern with community development work to open up the routes to jobs (Gil-
roy 1996}. This was combinf't1 with j~,.']c nrrp ... r.M .. f;f"f;~~ ~ .. _------ L
 SOCIAL EXCLUSiON IN EUROPEAN CITIES
dr:lwing in more private sector involvement and more self-help initiatives. It
has led to a scattergun approach to promoting time-limited integrated initia-
tives based on partnership through which most targeted urban subsidy was
delivered." Ideas of giving citizens more control and empowerment, of the
social responsibility of business, of the social responsibility of citizens for
each other's care, and of omoading public sector costs were all wrapped into
this. The criticism that a whole range of substantial and complex tasks were
being offloaded on the most needy and vulnerable has been widely voiced.
There are lots of questions, too, about the meaning of empowerment in a gov-
ernance context. Increasingly, the various partnerships look more like a sort
of local corporatism than citizen empowerment, though they are leading to
quite a bit of innovation in relation building, including changes in how local
authorities are working (Bailey, Barker and McDonald 1995; Hastings
1996). Meanwhile, grassroots initiatives are being squeezed by the lack of re-
sources, the barriers to volunteering and the terms of engagement demanded
by those who trickle funds in their direction (Mayo 1994; Thake 1995).
There are also significant tensions because of the different styles and rou-
tines of governance. Business groups, local government, grassroots organisa-
tions, and informal organisations all have different ways of going about
doing things. This causes problems in efforts to coordinate among different
government agencies. People learn how to link to one segment of govern-
ment, but this relational capital is not much help when they come to have to
make links to another (i.e. the capital is not transferable). This is, in part, a re-
nection of the competition among government agencies. But it also arises be-
cause of the heavy functional centralism of the British state. The way
governance arrangements in Britain split up everyday life is probably more
extreme than in countries with more de centralised forms of delivery of social
welfare, as in Scandinavia. 15 There is considerable evidence of people and
groups being excluded from governance initiatives because of mutual failure
to notice differences in assumptions about routines and styles of organising
(Davoudi and Healey 1995; Healey 1997b).
Despite considerable efforts in community development in Britain, the
overall consequence of these tendencies is that, in the neighbourhoods with
most evidence of exclusionary processes, current governance activity leads to
the more vulnerable moving in and the stronger moving out. This reinforces
exclusionary processes and adds to the stresses that go with adjusting to new
living places and new relationships. Although there has been a lot of effort
I'\ See the Cily Ch:dlenge initi:llive and its successor, tl1l' Single Regenet~lion Budge!.
! 'j Even here, thrre :Jr~ co01pbints ~bOlll the w~y policy delivery is scctoraliseJ (see Nord
-, , • I \
lNSTITUTIONALIST THEORY 69
within some neighbourhoods and by some activists and community profes-
sionals, it is difficult to build up neighbourhood-based community initiatives
which have the capacity to endure beyond the starter initiative. So relational
capital is not built up. Further, the tensions and difficulties oCthe mode of de-
livery of governance tend to generate difficu It choices for those involved as to
whether to focus on building gemeillschaji, internal relations within the neigh-
bourhood, or building links to the outside or mainstream. Since the outside is
itself fragmented, in tension and changing, building up enduring external re-
lationallinks is difficult (cf. He:Jley 1997b; Wood et al. 1995).
Concluding comments
There has been continual debate in social and urban policy about whether
policy should focus on people as individuals or on people in the areas where
those with problems tlnd themselves concentrated. This chapter has argued
for a focus on people in their social worlds and on the extent to which the
places where they live, their living environments, provide a supportive con-
text within which to accomplish the challenges of daily living and which en-
able human nourishing. It is in this context that the neighbourhood provides
a useful focus, seen not as socially and spatially integrated gemeillschaji com-
munity, but as a key living space through which people get access to material
and social resources, across which they pass to reach other opportunities and
which symbolises aspects of the identity of those living there, to themselves
and to outsiders. Place-based disadvantage certainly exists, but not just be-
cause of the position of a place in local housing markets and the social maps
people have of their city. The social experience that develops in places where
those in particularly difficult situations tlnd themselves concentrated adds to
the dimculties people already experience. Some people in some neighbour-
hoods in such conditions do find ways to maximise their chances of nourish-
ing. A key variable in whether this happens or not is the social world which
builds up through social interaction in the living place.
Such a conception of people in their living places requires a perspective
which weaves together social relations and their spatial manifestation. This
chapter has used an institutionalist point of view to provide such a perspec-
tive. This emphasises the social relational webs within which we develop ac-
tivities and ways of thinking, and the way these provide us with access to
material, as well as moral and emotional, resources. These webs act as a sort of
relational capital.
This perspective provides a particular meaning to the currently fashion-
J 991;
;Jble but contested concepts of social exclusion and .'1ocial cohesion. All rcb-
f' I. j, L, r .~ __ ~: __ " ~.~.-I :~ •. ,~~~ ~~h, ..... C'''''''''''
7U socrAL EXCLUSiON IN EUROPEAN CITIES
people are deeply embedded in a particular network, others are on the mar-
gins. Some cohesive relotional webs develop social worlds which are suppor-
tive to members, enabling them to flourish in many dimensions. Others are
limiting and exploitative. Some forms of exclusion allow particular people
and groups to flourish in protected environments. Others limit people's op-
portunities to get access to a wide range of resources and supportive relation-
ships, diminishing their chances of flourishing. These relational potentials
are not easily captured in simple measures of social exclusion and inclusion or
cohesion and disintegration. This means that a key focus of policy research
and action which aims to help those experiencing hardship in our societies
needs to be on the social worlds in which people are living and their rela-
tional qualities. This requires an integrated view of what accomplishing and
enriching daily, yearly, generational and intergenerationallife involves, and
the social worlds through which people shape their activities, aspirations and
value-giving judgements. I argue that this may be provided through a focus
on everyday life. from this point of view, what those policy makers con-
cerned about social exclusion should be focusing on are those forms ofsocial
exclusion which detract from the accomplishment of a fulfilling everyday life
and the kinds of social cohesion which enrich it.
Such a relational focus on social exclusion and cohesion and on the social
worlds of daily life also puts the spotlight on the quality of governance ac-
tion. Many of the problematic exclusions which people face are generated by
the way government agencies and initiatives operate, changing or ignoring
the life conditions and social relationships of people living in neighbour-
hoods of concentrated disadvantage. This leads to questions about the kind
of governance capacity which would help people in their living places to
build richer relational resources without undermining the cohesions which
provide a foundation for living. Top down, functionally separate, people-
targeted programmes have a role to play in public policy but, by themselves,
merely distribute segments of resources or rights. They do not add much
value to the process of expanding people's social worlds and making them
more relationally rich. The scatter of initiatives which characterised British
urban policy in the 1980s and 1990s under the Conservative government
may also have had a valuable role where they locked into local relation-
bUilding dynamics. If this did not happen, the waves of initiatives may have
damaged the social worlds people need to sustain themselves. The implica-
tion is that policy deVelopment for areas where human flourishing is cur-
rently very difficult to achieve should be founded in the aLm to build up and
enrich the social worlds of people in their living places, in both material and
social ways. This demands an integrated and people-centred understanding
from policy communHics. A useful input into such community development
INSTITllTlor..sAUST THEOR i' 71
processes could be some kind of qual itative aud it of the ki nd of l'e1atio~l;I1 re-
<ources available to a group of people III a place and what people conSIder to
be the significant constraints on their capacity to flourish.
But frequently, in places labelled by policy makers as neighbourhoods of
social exclusion, the real exclusion is from the processes of governance. By
this is meant not merely the capacity for voice and influence, but a sympa-
thetic and respectful grasp by those controlling governance resources (mate-
rial, regulatory, relational) of what living in a place is like. Until those with
governance power have a respectful grasp of the social worlds in which. those
in difficulty live, and until the processes through which governance Illitlatives
become open to the voices and ways of thinki~g of the peopl~ ,,:ho are the
targets of urban policy, governance processes wlil achIeve only limited reduc-
tions in overcoming social exclusion.
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 CHAPTER FOUR

Social Exclusion and Space

Ali Madanipour

This chapter concentrates on the relationship between social exclusion and

space, exploring some of the frameworks which institute barriers to spatial
practices. Its particular emphasis is on the way these barriers to movement are
intertwined with social exclusionary processes. This shows that exclusion
should be regarded as a socio-spatial phenomenon.
After exploring the dimensions of social exclusion, the spatiality ofsocial
exclusion is asserted. We explore the way difference is approached in space
and how it lies at the foundation of socio-spatial exclusion. We look at how
exclusion is experienced in Olll' spatial practices and explore some forms of
institutionalised spatial barriers. These include the national space and, at the
local level, how difference finds spatial manifestation through land and prop-
erty markets, the regulatory framework of town planning, and the pub-
lic-private distinction. The chapter concludes by arguing that spatial
planning's contribution to social integration should include promoting ac-
cessibility and spatial freedom.

Dimensions of social exclusion

There is little disagreement on some of the maio I' problems facing European
cities (Borooah and Hart 1995; European Commission 1994; Mingione
1991; 1996). Challenges of competition from a global economy marked by a
multiplicity of competitors and the European response in the form ofmoving
into an integrative partnership are both aspects of globalisation which have
reshaped the social and spatial geography of cities. The restructuring of cities
and societies, however, has been a costly exercise, as it has been parallel with
a growing social divide, long-term unemployment and joblessness, especially
for men, and casualisation of work, undermining the quality of life for large
orOllnl:' n(tl..................... ,,1 ..... /;,..... "rl... ~~ ..... ~ ..•~ •. ~~_ .•• n h ....... _ I_.J ~ c__ ~L _ r.
76 SOCI/\L EXCI.USION IN EUROI'EAH CITIES
mentation of the soci,1 world, where some members of society are excluded
from the 'rnainstre,m' and where this exclusion is p,inful for the excluded
and harmful for society,s a whole.
Yet the concept of soci,1 exclusion still appeal's to be in need of clarifica-
tion due to the variety of the cultural and political contexts in which it has
been used. For some it is the question of poverty which should remain the fo-
cus of attention, while for others social exclusion mal<es sense in the broader
perspective of citizenship and integration into the social context (Duffy
1995; Room 1995; Spicl<er 1996). Social exclusion, therefore, is not neces-
sarily equated with economic exclusion, although this form of exclusion is
often the cause of a wider suffering and deprivation.
As a concept, social exclusion still suffers from a lack of clarity, as it is in-
terpreted and analysed differently. We come across a degree of ambiguity es-
pecially between ~loverty and social exclusion. Some researchers, who have
concentrated on the problems of poverty, find social exclusion a vague con-
cept which, for whatever reason, takes attention away from poverty and dep-
rivation. Furthermore, it is argued that the concept of social exclusion is
rooted in a certain intellectual and cultural tradition (Catholic, solidarity)
(Spicl<er 1996) and a particular welfare regime (corporatist) and as such is not
shared by other (especially liberal) cultures and welfare regimes. On the other
hand, those who find social exclusion a useful concept criticise an emphasis
on poverty as too narrow. They seel( to open the discussion to accommodate
the general issues ofsocial integration and citizenship. To confront this ambi-
guity and contradiction, we need to clarify the concept of social exclusion
first (Madani pour 1996a).
The overall constitution of the social world is such that different forms of
exclusion are fundamental to any social relationship. For example, the divi-
sion of social life into public and private spheres means drawing boundaries
around some spatial and temporal domains and excluding others from these
domains. In this way, exclusion becomes an operating mechanism, an institu-
tionalised form of controlling access: to places, to activities, to resources and
to information. Individual actions as well as legal, political and cultural struc-
tures rely heavily upon this operating mechanism and reproduce it constantly
(Benn and Gaus 1983a, b; Habermas 1989). Institutionally organised or in-
dividually improvised, it appears that we are all engaged in exclusionary pro-
cesses that are essential for our social life.
Yet we I<now that, whatever their importance, th.ese exclusionary pro-
cesses work in close relationship with inclusionary activities to maintain a so-
cial fabric. Maintaining the continuity of the social world is only possible
through a combination of and a fine balance between these two processes. At
• • I ' - - : .. ~~" ,,,ilh n 1l1 seeking sodHI interaction
SOCIAL EXCLUSION l\ND SPACF. J7
would lead to isolation. At the social level, exclusion without inclusion would
lead to a collapse ofsecial structures. What is a negative state ofaff"irs, there-
fore, is not exclusion in all its forms but an absence ofinclusionary processes,
a lack of a balance between exclusion and inclusion.
But what are the dimensions of the social world in which inclusion and
exclusion take place? It is often mentioned that social exclusion is multidi-
mensional (e.g. Room 1995). To be able to identify and analyse these dimen-
sions, we should look at the dimensions of the social world in which
exclusion and inclusion wke place. We can identify economic, political and
cultural arenas as the three broad spheres of social life in which social inclu-
sion and exclusion are manifested and, therefore, can be analysed and under-
stood.
In the economic arena, the main form of inclusion is access to resources,
which is normally secured through employment. The main form of exclusion,
therefore, is a lack of access to employment. Marginalisation and long-term
exclusion from the laboul' marl<et lead to an absence of opportunity for pro-
duction and consumption, which can in turn lead to acute forms of social ex-
clusion.
Exclusion from the economic arena is often considered to be a crucial and
painful form of exclusion. Poverty and unemployment are therefore fre-
quently at the heart of most discussions of social exclusion, to the extent that
poverty and economic exclusion are equated with social exclusion (Duffy
1995). There is a tendency in the literature to usc these terms interchangea-
bly. It is true that long-term economic exclusion can break down the political
and cultural lies of the affected individuals and social groups. It is important,
however, to note that there arc other forms of social exclusion in political and
cultural spheres.
In the political arena, the main form of inclusion is to have a stal<e in
power, to participate in decision making. In European liberal democracies,
inclusion is often ensured through voting and other processes associated with
it. The most obvious form of social exclusion, therefore, is lacl< of political
representation. This may tal<e various forms: from the under-representation
of women in parliaments and governments, to the complete exclusion of im-
migrant groups from political decision mal<ing; from the argument by smaller
political parties for a new system of representation which would allow thema
fairer share of power, to a withdrawal from political participation by t)1f,lse :""""
excluded in the economic and cultural arenas. . , ;..'" .
In the cultural arena, the maIn form of rncluslon IS to share a set ofsymbols
and meanings. The most powerful of these have historically been langt1age,
religion and nationality. Some of the new sets of symbolic relationships in-
clude the way individual and group identities are formed through association
78 SOCIAL EXCLUSION IN EUROPEAN CITIES
with patterns of consumption, from necessities of daily life to cultural prod-
ucts. For example, in what has been termed a visual culture, aesthetics of so-
cial behaviour has become an essential part of social life. The main form of
exclusion in the cultural arena, therefore, becomes a marginalisation from
these symbols, meanings, rituals and discourses. The forms of cultural exclu-
sion vary widely, as experienced by minorities whose language, race, religion
and lifestyle are different from those of the larger society. . continuous trend: from Baron Haussmann's wide boulevards in the middle of
Different social groups may experience varying degrees of these dIfferent
but highly interrelated forms of social exclusion. The most acute forms of so-
cial exclusion, however, are those that simultaneously include elements of
economic, political and cultural exclusion. The other end of the spectrum is
occupied by citizens who are fully integrated in the mainstream of soci:ty
through these three dimensions. Between these two ext~emes, th~re tS a WIde
range ofvariations in which individuals and groups are mcluded m some are-
nas but exCluded in others. Amajor trend is that more and more people suffer
from anxiety and uncertainty, as there are ever larger numbers in transition
from inclusion to exclusion.
Spatiality of social exclusion
Social exclusion, therefore, should be understood in its political, economic
and cultural dimensions. Exclusion from the political arena, i.e. the denial of
p"rticipation in decision making, can alienate individuals and social groups.
In the cultural arena, exclusion from common channels of cultural communi-
cation and integration can have similar effects. The exclusion from work and
its impacts are widely known as undermining the ability of individuals and
households to participate actively in social processes. When combined, these
forms of exclusion can create an acute form of social exclusion which keeps
the excluded at the very margins of the society, a phenomenon all too often
marked by a clear spatial manifestation in deprived inner city or peripheral
areas. A major problem in the study ofsocial exclusion is that it often concen-
trates on individuals and households. Room (1995) is rightly arguing for a
shift in research from households to local communities, which would deal
with the spatial dimensions of social exclusion.
Here lies a severe problem, as Touraine reminds us. As societies increas-
ingly resemble firms fighting for their survival in the global market place, the
real danger lies in: 'a complete dissociation between system and a:to,rs, be-
tween the technical or economic world and the world of subjectiVIty (Tou-
r"ine 1995, p.5). In such dissociation, the marginalised people and
n",rginalised places undermine the legilimny and authority of these systems
"11'1 ,I"e"ten to block the route to survival. Tackling the problems of social
SOCIAL EXCLUSiON AND SPACE 79
exclusion becomes ever more crucial, as these areas become scenes of riots
and social unrest.
In the past, this spatiality of social exclusion had led to attempts to dis-
mantle such pockets of deprivation without necessarily dismantling the
causes of deprivation or the forces bringing them together in particular en-
claves. The dismantling of spatial concentrations of deprivation has been a
poor neighbourhoods in the nineteenth century, to the slum clearance pro-
grammes and more subtle forms of housing management in the twentieth
century. These have been allempts to de-spatialise social exclusion, which is
evidence of its inherent and re-emerging spatiality. The latest form of de-
spatialisation and re-spatialisation of social exclusion is homelessness, a pro-
cess in which some groups are cut off from tlleir previous socio-spatial con-
texts and are apparently without a home base. They, however, have clustered
in particular parts of cities, spatial ising again what was thought to be de-
spatialised.
Spatiality and difference
The absence of homogeneity is most apparent in cities, as they are sites ofdif-
ference. Large cities have often grown by attracting people from around the
country in which they are located or even from around the world. Cities have
always been known as the meeting places of different people. As Aristotle
noted: 'A city is composed of different kinds of men; similar people cannot
bring a city into existence' (quoted in Sennett 1994, p.13). The unprece-
dented growth of cities since the nineteenth century has permanently
brought forward the issue of difference in the city as a feature of urban life.
Wirth (1964) in his celebrated theory of urbanism saw heterogeneity as a de-
termining feature ofthe city, along with population size and density. For him,
the city was a 'melting-pot of races, peoples, and cultures, and a most favour-
able breeding-ground of new biological and cultural hybrids' (Wirth 1964,
p.69). In the city, individual differences have 'not only [been I tolerated but re-
warded' (Wirth 1964, p.69). Such emphasis on the heterogeneity ofcities has
led to conceiving it as a world of strangers (Karp, Stone and Yoels 1991).
Two sets of reactions to the diversity in the city can be identified: there are
those who have tried to impose an order onto it so that it becomes under-
standable and manageable and those who promote a celebration of diversity.
However, both these reactions, which indeed represent modernist and post-
modernist thinking (Madanipour 1995), have been unable to deal with the
issue ofsocial nwrginalis:ltion and exclusion. Concentrations of disadvantage
have remained in cities, dcsoitf" thf' l~rap_<,r'll<> .. <>Am.~L. __ --~ - , ....
80 SOCIAL EXCLUSION IN EUROPEAN CITIES
rationalist tendency and the more sensitive spatialtf3nsformations which fol-
lowed. On the one hand, emphasis on the eradication of difference and see-
ing the city as a melting pot has led to undermining sensitivities and to
disruption of lives. On the other hand, the emphasis on difference has led to
social fragmentation and tribalism. Both have failed to cure the wounds of
those living on the edge of the society.
Barriers to spatial practices
But how do we analyse space? There are many gaps and dilemmas associated
with understanding space. From the centuries-old philosophical divide be-
tween absolute and relational space, to the gap between mental and real
space, between physical and social space, between abstract and differential
space, to the relationship between space and mass, space and time, and the va-
riety of perspectives from which space can be studied, all bear the possibility
of confusion and collision (Madanipour 1996a). It is possible to show, how-
ever, that to avoid the gaps and dilemmas associated with understanding
space, we need to concentrate on the processes which produce the built envi-
ronment. By analysing the intersection between space production and every-
day life practices, we will be able to arrive at a dynamic understanding of
space. We will then be able to understand and explain material space and its
social and psychological contexts and attributes.
The question of social exclusion and integration, it can be argued, largely
revolves around access. It is access to decision making, access to resources,
and access to coml11on narratives, which enable social integration. Many of
these forms of access have clear spatial manifestations, as space is the site in
which these different forms of access are made possible or denied. There is a
direct relationship between our general sense of freedom and well-being
with the choices open to us in our spatial practices. The more restricted our
social options, the more restricted will be our spatial options, and the more
excluded we feel or become. On the other hand, if we have a wide range of
social options, We would have a wide range of places to go to, places for liv-
ing, working and entertainment. Two extreme cases of the existence or ab-
sence of spatial freedom may be jetsetting executives versus prisoners.
Whereas for one, the world may be shrinking to seeQ1 like a global village
open for communication and interaction, for the other the world outside is
large and out of reach. For most of us, however, our spaces are a continuum
from accessible to non-accessible places. The space around us is a collection
of open, closed or controlled places.
Rut hnw j... Ihp urban soacc organised and how are spatial practices coo-
SOCIAL EXCLUSION AND SPACE 81
can or cannot go, as over the years through our spatial practices, we have ac-
cumulated a k~owledge about places and their patterns of accessibility. The
physical organisation of space, using elements from the natural or the built
environment, has been socially and symbolically employed to put visible and
strict limits on our spatial practices. For example, topography has always
been used to institute difference and segregation, from ancient times when
the hilltops were the place of gods for Greeks and Mesopotamians, to our
own time when they are the living places of the rich and powerful. There is
also a mental space, our perceptions of space. This may be regulated through
codes and signs, preventing us from entering some spaces through outright
warning or more subtle detenents. Mental space may also be controlled
through our fears and perceptions of activities in places. For example, we may
be hesitant to enter an expensive-looking shopping centre if we do not have
access to the resources needed for the activities there, even though there may
not be any physical barriers which would prevent us from going there. Athird
form of barrier to our spatial behavioor is social control, which can range
from legal prohibitions on entering places to constructing formal barriers
along publicly recognised borders. National borders and public-private
boundaries are examples of this form. A combination of formalised rules and
regulations, informal codes and signs, and fears and desires control our spa-
tial behaviour and alert us to the limitations on our access. Through these, we
have come to know whether we can enter a place, are welcomed in another
and excluded from others. More restrictions on our access to our surround-
ings would bring about the feeling of being trapped, alienated and excluded
from our social space.
Space has, therefore, a major role in the integration or segregation of ur-
ban society. It is a manifestation of social relationships while affecting and
shaping the geometries of these relationships. This leads us to rhe argument
that social exclusion cannot be studied without also looking at spatial segre-
gation and exclusion. Social cohesion or exclusion, therefore, are indeed
socia-spatial phenomena. As Lefebvre (1991) put it, every society creates its
own space. Exclusionary spatial organisation is in close relationship to social
systems whose constitution is inherently built upon some form of social ex-
clusionary processes. We know that all human societies have their own forms
of social and spatial exclusion. So exclusionary processes per 5e are not the
source of social fragmentation and disintegration. It is the absence of social
integration which causes social exclusion, as individuals do not find the pos-
sibility and channels of participating in the mainstream society.
B2 SOCIAL EXCLUSION IN EUROPEAN CITIES
Global and national space
Narional borders are the largest means of socia-spatial exclusion. The mod-
ern nation state exerts an exclusionary process along its boundaries, from
lines on maps to barbed wires on the landscape. Those who are left outside
need to go through special checks and controls to be allowed in. The same
applies to those who are in and want to go out. The control of cross-border
movement by the nation state, or by blocks of nation states as in the European
Union, is a form of exclusion legitimated openly through political processes.
Anational territory, therefore, is a spatial manifestation of an institutionalised
exclusionary process. Other administrative boundaries, although potentially
exclusionary, do not have such a forceful character, nor are they associated
with such a degree of public awareness, such historical significance, or
guarded by military might. No other form of exclusion has been associated
with such high costs in human life, sacrifice and misery. Attempts to change
or to protect national borders have infiicted the highest cost in human lives in
the twentieth century, as experienced by two world wars and many regional
confiicts. The birth ofa nation state, when the multi-ethnic empires and states
break up, can be a bloody process in which every means is used to exclude
others. The surgical subdivision of national space, whether through external
forces as in postwar Germany or by exploding internal forces as in the former
Yugoslavia, has been equally difficult for those excluded from what they have
regarded as their home.
In the national space enclosed within these boundaries, narratives of na-
tionalism have been employed to legitimise the exclusion of others beyond
rhese boundaries. Indeed, exclusionary narratives, which determine how 'we'
are different from others, are often essential in binding individuals together
as a group. The most dangerous of these narratives has been the rhetoric of
hatred against other nations, races and groups. But there are many such exclu-
sionary narratives which do not necessarily promote violence and hatred and
still have a binding power. With these narratives, which often rely on a com-
mon historical experience, large groups of people have been associated with
each other. The focal point ofthis association has been the nation state, which
holds the power of controlling the national borders.
The narratives of nationalism attempt to create homogeneity out of an
enormous diversity. As individuals have come togeth~r to create a democratic
civil society, such narratives have helped the organi5ation of modern demo-
cratic stares. As Habermas notes, however, the assumption that the 'bonding
energy of a homogenous nation' is a necessary prerequisite for democracy is
'borh empirically false and politically dangerous' (Habermas 1996, p.1 0).
The national space Ihat has been created in this way, therefore, may be con-
_:J ..J 1... • :_.,~~~-1 ....... ,h .....;rh ~ht .. rdt" n(thp h"m'ln , .........1...:1
SOCIAL EXCLusrON AND SPACE 53
In reaction to this imposition, Lefebvre (1991) argues, there is a need for dif-
ferential space, where the right to be different is recognised.
This new differellIiation is particularly visible in the disintegration of im-
perial realms, such as in the case of the former Soviet Union, but also in the
case of the declining power of nation states in the global marketplace. The
new emphasis is nn the hislorical forces, the common cullural traditions that
bind people together, the forces of religion and ethnicity with which large
groups can identify themselves. Yet we are aware of the difficulties that such
differentiation may bring about. from Belfast to Sarajevo and Beirut, these
diverse loyalties have been in collision, causing large-scale human suffering.
These confiicts and collisions have found clear spatial manifestations, creat-
ing barriers which include and exclude entire social groups. Here the line be-
tween differential space and confrontational space has been very thin.
However, such loyalties are not all dangerous and militant. Without some
form of common cultural communication, there is a danger of extreme indi-
vidualism, whereby social disintegration may threaten the social fabric with-
out a recipe for replacement. from elitisl artists to popular musicians and
football players, there is competition 10 create common meaning and a
shared, albeit short-term, experience. These attempts, however, often take
place in the mainstream. Ifseclions of the population, all too often those with
the greatest degree of difference, are isolated from these shared experiences,
they experience a visible form of social exclusion. This may not find a spatial
manifestation, unless it is combined with other forms of economic and politi-
cal exclusion. In this case, it grows out of socia-spatial exclusion, where con-
centrations ofdeprivation and exclusion act as barriers to social integration.
Neighbourhoods, markets and regulation
At the local level, by following two processes, land and property develop-
ment on the one hand and spatial planning on the other hand, we can see
how a socio-spatial geomelry of difference and segregation, which is the
foundation of exclusion, emerges. We come across the term neighbourhood
in a variety of distinct but interrelated usages. In one sense, the term is used
loosely to address a locality. This daily usage is based on the images and un-
derstandings by individuals and grou ps of their surroundings. This is a view
from below and, as such, can lead us to see a city as a collection of overlapping
neighbourhoods. Research on people's perception of neighbourhood shows
major differences according to age, gendcr, class and ethnicity. At the other
end of the scale, there is a concepl of neighbourhood from above, from the
~"ewpoint 0Csuch experts a~ managers, planners and designers. Here neigh-
8" SOCIAL EXCLUSION IN EUROPEAH CITIES
structure and change in urban society. It is also used as a tool for management.
From this viewpoint, the city is seen as a collection of segregated neighbour-
hoods,
Neighbourhoods as constituent parts of cities have long been the locus of
attention by urban designers and planners, Drawing upon historic precedents
and for practical reasons, neighbourhood has provided them with an intimate
scale of the urban whole to understand and to deal with, Historically, neigh-
bourhoods have been the sites and physical manifestations of close social re-
lationships and so have been praised by town planners, especially those who
have looked nostalgica lIy to the feudal bonds of the medieval towns and the
communal bonds of working class neighbourhoods in the industrial city. A
dichotomy emerged as a result of the unprecedented growth of the cities: be-
tween gesellscha(i and gemclIlschaji, between the alienation of the big city and
the romanticised, small communities of towns and villages, To recreate the
social cohesion of these small communities, it was thought, cities should be
broken into smaller parts, into neighbourhoods, On the other hand, it was
thought that the communitarianism of small neighbourhoods could over-
come the individualism of the suburbs, those bourgeois utopias,
It is this association of neighbourhood as a physical entity with neigh-
bourhood as a cohesive social unit that led to a series of reformist ideas
throughout the twentieth century. from the widely used, and discredited,
concept of neighbourhood unit (Mumford 1954; Bartley, Chapter 7 in this
volume), to Lynch's (1979) districts, which are still promoted to make cities
legible (Bentley et al. 1985; Worpole (992) and today's urban villages and
new urbanist neighbourhoods (Katz 1994), there has been a long line of
managerial attempts to promote social cohesion by spatial organisation,
Along with this promotion of spatial subdivision by town planning, there
has been a promotion of socio-spatial segregation by market forces through
the ways in which space is produced, exchanged and used. The producers of
space, such as volume housebuilders, tend to build in large-scale housing es-
tates, creating an urban fabric which is a collection of different subdivisions.
The land and property markets have operated so as to ensure the segregation
of income groups and social classes, Commodification ofspace has led to dif-
ferent patterns of access to space and hence a differential spatial organisation
and townscape, Wherever there has been a tendency'to decommodify space,
as in the postwar social housing schemes, town planners and designers have
ensured that a degree of spatial subdivision still prevailed,
We can therefore identify two processes: a land and property market
which sees space as a commodity and tends to create socio-spatial segrega-
, I 1·r"r"" .. __ ~:_1 _~~ ...... " tn. thi .. rnrnrnnrlitv and a town planning and
SOCIAL EXCLUSIOr-J AND -SPACE 85
tion ofsome (orm ol"order. When we look at these two processes together, the
picture whicb emerges is a collectivisation of difference, of exclusion, which
can lead to enclaves I"or the rich and the creation of new ghettos for the poor.
This is a picture of the city as a mosaic of segregated socio-spatial neigh-
bourhoods, created as a result of the market and the intended or unintended
consequences of town planning. It is a reflection of how the producers and
managers of space prefer to subdivide urban space into smaller, manageable
units.
The users of urban space, however, have different tendencies, depending
on their access to space and their social and spatial mobility, Suburbanisation
has been a majur indication of how social and spatial mobility are intercon-
nected, for those who can afford to choose, a new neighbourhood is a new
social atmosphere. for tbose who cannot move, however, a neighbourhood is
a boundary which is very dimcult to cross. This shows how space is a barrier
and can act to exclude. It is also freedom from being included, from being
subordinated. Space, therefore, can be utilised in both ways. What is needed
is an urban form which allows freedom and security but not by segregation
and exclusion.
Public and private space
Another form of socio-spatial exclusion, which is enforced with a rigour
somewhat similar to the protection of national borders, is the separation be-
tween public and private territories. We guard our private spheres from in-
truders by whatever means, in some countries even legitimately by firearms.
Privacy, private property and private space are intertwined, demarcated
through a variety of objects and signs: from subtle variations of colour and
texture to fences and high walls, Those who are in are entitled to be, exclud-
ing those who are not. This is an exclusionary process legitimised through
public discourse, through custom or law. Violation of this exclusionary pro-
cess is regarded as, at best, inconvenience and, at worst, crime, Public space,
which is one of the manifestations of society's public sphere, is maintained by
public agencies in the public interest and is accessible to the public (Benn and
Gaus 1983a). Access to public space, however, is subject to exclusionary pro-
cesses. Public space is guarded from intrusion by private interests, a process
which is regarded as essential for the health of the society (Habermas 1989).
Some of the main currents in social and political thought that offer concepts
of public space appear to stress the need to keep the public and private
spheres distinctive and apart (Arendt 1958; Benhabib 1992; Benn and Gaus
1983b; Calhoun 1992;,Habermas 1989; Rosenau 1992). despite the.criti-
86 SOCIAL EXCLUSION IN EUROPEAN CITIES
The relevance of public sphere theories to investigations into space is be-
coming paramount (Howell 1993). These concepts are echoed in various
definitions of public space. Carr efal. (1992) regard public space as: 'the com-
mon ground where people carry out the functional and ritual activities that
bind a community, whether in the normal routines of daily life or in periodic
festivities' (p.xi). They see it as: 'The stage upon which the drama of commu-
nallife unfolds' (p.3). For Walzer: 'Public space is space we share with strang-
ers, people who aren't our relatives, friends, or work associates. It is space for
politics, religion, commerce, sport; space for peaceful coexistence and imper-
sonal encounter,' and the character of public space 'expresses and also condi-
tions our public life, civic culture, everyday discourse' (Walzer 1986, p.470).
Tibbalds saw the public realm as: 'all the parts of the urban fabric to which
the public have physical and visual access. Thus, it extends from the streets,
parl<s and squares of a town or city into the buildings which enclose and line
them.' For him, the public realm was, therefore: 'the most important part of
our towns and cities. It is where the greatest amount of human contact and in-
teraction takes place' (Tibbalds 1992, p.l).
The changing nature of development companies and the entry of the fi-
nance industry into built environment production and management has
partly led to what is widely known as the privatisation of space (Madanipour
1996b). Large-scale developers and financiers expect their commodities to
be safe for investment and maintenance, hence their inclination to reduce as
much as possible all the levels of uncertainty which could threaten their inter-
ests. This trend is parallel with the increasing fear of ctime, rising competi-
tion from similar developments, and the rising expectations of the consumers,
all encouraging the development of totally managed environments. What has
emerged is an urban space where increasingly large sections are managed by
private companies, as distinctive from those controlled by public authorities.
Examples of these fragmented and privatised spaces are gated neighbour-
hoods, shopping malls and city centre walkways, under heavy private surveil-
lance and separated from the public realm by controlled aCcess and clear
boundaries. This total management of parts of the city is in part an attempt to
control crime. Crime acts as a counter-claim to space and as such is itself an
exclusionary force, keeping many groups vulnerable and marginalised.
Conclusion: social integration and spatial freedom
Social exclusion combines lack of access to resources, to decision making,
and to common narratives. The multidimensional phenomenon of social ex-
clusion finds spatial manifestation, in its acute forms, in deprived inner or pe-
rinh" ..... l I1rh .. n '1 ""''Ie' Th; .... tv'lt; '1' it, t nr r-" .... i., I """.... 1.. ,,;,,"
SOCIAL EXCLUSiON AND SPACE 87
the physical organisation of space as well as through the social control of
space, as ensured by informal codes and signs and formal rules and regula-
tions. These formal channels act at all scales of space. Global space is frag-
mented by national spaces, which have a tendency to deny difIerence and
homogenise social groups. At the scale of local space, spatialisation of social
exclusion takes place through land and property markets. These markets tend
to fragment, differentiate and commodify space through town planning
mechanisms which tend to fragment, rationalise and manage space, and also
through the legal and customary distinctions between the public and private
spheres, with a constant tension between the two and a tendency for the pri-
vatisation of space.
To break the trap of socio-spatial exclusion, one strategy could be to chal-
lenge these deep-seated forms of differentiation. We know, however, that
wholesale challenges can be problematic themselves, as exemplified byat-
tempts to redefine the public-private relationship in Eastern Europe. Further-
more, we know that any human society is likely to have some form of
exclusionary process in its constitution. Nevertheless, it is true that the form
of these exclusionary processes changes over time. A reflexive revisiting of
the processes of differentiation is therefore a constantly necessary task. At the
same time what is necessary and urgent is to institute and promote inclusion-
ary processes, to strike a balance between exclusion and integration, to pro-
vide the possibility of integration and to break the trap of socia-spatial
exclusion. We have seen that space is a major component part of social exclu-
sion. Revisiting spatial barriers and promoting accessibility and more spatial
freedom can therefore be the way spatial planning can contribute to promot-
ing social integration.
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 PART TWO

Experiences of Social Exclusion

 f
I
Introduction
The four chapters which follow develop the themes established in Pan One
of this book. They show how structural change affects the everyday lives of
excluded people in four countries: England, Denmarl<, Ireland and France.
Two aspects of social exclusion are highlighted. First, it is seen as a set of so-
cial practices which create a variety of social barriers which 'box people in',
narrowing the range of opportunities open to them and dividing them from
the rest ofsociety. Second, this loss of connection with the wider society gen-
erates social fragmentation, fracturing social unity and supporting wider so-
cia I practices which further isolate those whose position is already precarious.
The first two chapters in this section take everyday life as their starting
point. This perspective focuses on all those basic and routine activities which
are carried out each day to sustain one's own life and that of others. Gilroy
and Speak in Chapter 5 use this approach to identify the subtle social barriers
which disconnect people from the wider society in England. They show how
the fundamental social distinction between insiders and outsiders is rein-
forced by messages encoded in the physical environment ('I wouldn't venture
there!'), by internalised psychological barriers ('I can't do that!') and by exter-
nal organisational barriers ('It's a good idea, but we can't change the way we
do things!'). They then explore how these barriers shape people's life jour-
neys, concentrating on the transition from adolescence to independent adult-
hood. By examining in detail how these barriers shape the processes of
getting a job and establishing a home, they illustrate how social and spatial
barriers make it difficult to achieve a successful outcome of this normal life
process, thus keeping young people in 'their place'.
Vestergaard in Chapter 6 uses the everyday-life perspective to look at the
experience of troubled housing estates in Denmark. Criminal activity, vio-
lence and theft, people drinking in public, gangs of youths, young men with
big dogs and 'non-Danish looking' immigrants were all problems which led
to high levels of dissatisfaction on these estates, coupled with their general
social stigmatisation which was signalled to all by their run down and un-
kempt appearance. If the aim is to improve the quality of everyday life for all
residents, then, Vestergaard argues, the focus of social action must be on inte-
grating those socially excluded groups whose behaviour is seen as destructive
and disturbing by other tenants. She also argues that the specific way in
• . - _1: __ ...1 ... ;.t~;.., th ... n"..,;<'h .""'Ir,, .....
EXPERIENCES OF SOCIAL EXCLUSION 9J
state has created important barriers to recognising this new kind of problem.
More optimistically, she argues that as the welfare state is being cut and re-
formed and as ethnic politics have become much more salient in Denmark,
then the move to locate 'caring work' in civil society, outside both state and
market, makes new approaches more possible simply because the old ways
are no longer feasible.
The second two chapters in this part of the book take the social manage-
ment of space through town planning as their starting point. Bartley in
Chapter 7 outlines how the development of the neighbourhood concept in
town planning and its implementation in Dublin's new towns has led to
low-rise peripheral bousing estates characterised by road patterns which cre-
ate cui-dc-sacs into which no outsiders venture. Dublin's poorest population
is trapped in these hidden estates, invisible, isolated from the wider society
and spatially divided from each other. Bartley argues that one of the main
functions of town planning is to fragment and isolate the working class, al-
beit in improved living conditions, while at the same time facilitating the re-
development of inner Dublin said to be necessary for world competitiveness.
While the specific spatial forms of exclusion may be specific to Dublin, the
general argument is applicable to all cities where global competitiveness is
seen as a major imperative.
In contrast, Vrychea and Golemis in Chapter 8 trace the history of Mania-
tib, a neighbourhood within the city of Piraeus which has been settled by a
group of people mostly drawn from a small part of the Peloponnese. They
show how a succession of regional and local plans have scarcely touched this
neighbourhood. These plans have, nonetheless, underpinned the develop-
ment of the surrounding area in ways which further isolate this small area.
Spatial isolation, together with the very low level of welfare state provision in
Greece, has, in turn, supported the maintenance of a very traditional and pa-
triarchal subculture. This, in turn, means that the main form of adaptation to
modern society available to young people and to women is to move away
from the area, further reinforcing patriarchal social relations within it.
Vrychea and Golemis outline how a fine-grained approach based on under-
standing the dynamics of social life and the relational resources available in
the area suggests a mix of socia-spatial projects with the potentia) to break
this cycle of isolation.
Three important themes run through these four chapters. First, the inter-
action between social and spatial barriers works to differentiate, contain and
isolate the people living in these places and inhibits human flourishing. Sec-
ond, impoverished people living in excluded neighbourhoods are especially
affected by the (rejarganisation of the welfare state. Although the specific in-
_~: ..... :_~_1 _._ .. ~~" .... t' H', .. " r..,~.~ ~~ ...~~ .... ~,.., ,...n." .... ~ .. " th" ... rrT~nil:~tinn of th ...
94 SOCIAL EXCLUSION IN EUROPEAN CITIES
welfare state presents important problems in everyday life which create barri-
ers to social integration. The professionalisation of 'caring' in Denmark, the
inability of parts of the system to cooperate with each other in England, a
town planning system which isolates and hides the poor in Ireland and the
absence of welfare state provision in Greece: in every case, the institutional-
ised structures of modern state intervention bring the dead weight of inertia
to the task of finding new solutions in a changed social structure within
which social exclusion is an important emergent feature.
Two important lessons can be drawn from the experiences reported in
Part Two. First, understanding the nature of everyday life in these neighbour-
hoods is essential to designing new responses which challenge the emer-
gence of social exclusion in a changing European societal order. Second,
people make their own living places from the relational resources available to
them and within the constraints posed by the socia-spatial organisation of
society as a whole. Mechanisms for combating social exclusion must take ac-
count of these two lessons if they are to be effective. Part Three of this book
thus examines a variety of responses to this situation in five European coun-
tries, illustrating the complexity and difficulty of finding ways to combat so-
cial exclusion as well as the significance of making living places which
support human nourishing.
CHAPTER FIVE
Barriers, Boxes and Catapults
Social Exclusion and Everyday Life
Rose Gilroy and Suzanne Speak
The everyday-life perspective is a way of looking at life as a network ofsocial
relations through which we accomplish human existence in time (Booth and
Gilroy 1996; Healey 1996b; Mingione 1991). It is a perspective which con-
centrates on how people accomplish their daily life activities; what strategies
they use for survival and coping; the tasks of acquiring the material means of
existence; the social supports for existence (social care, moral development,
emotional support); and the expressive enrichment of life (enjoyment). It
seeks to provide a framework within which to link the different services pro-
vided by central and local government for people. Figure 5.1 illustrates the
building blocks of everyday life and shows how local governance agencies
may directly and indirectly affect the quality of life (Healey, Gilroy and Nor-
wood 1997).
There have been a plethora of policies and a weight of policy literature di-
rected at urban problems but almost all of these cut up everyday life into sepa-
rate compartments as dictated by providers of services. So they have focused
on crime or on job creation or on improvements to housing but have not
made connections among these policy areas. British planning has also taken
this provider stance and created planning zones which function like water-
tight compartments (Worpole 1992), so that we live in one place, we work in
a different place, shop in another, and spend our leisure time in yet another.
All of this has been done without any thinking about how these pieces oflife
can be stitched together. What has been created is a modern city based on
provider perceptions of the modular man (Healey 1994). What is needed is a
postmodern response which recognises diversity, the multiplicity of roles
performed by people in the course of their daily life and the services they use.
, .-
 96 SOCIAL EXCLUSION IN EUROPEAN CITIES
Government
involvement
Leisure
facilities
services
figure 5, f A holistic lllflJl ofolrryda) lift and rhr Impact ofgOlln-nancr
1980; Horelli and Vepsa 1994; Nord 1991) which has drawn out the fine
grain of women's lives and the way women's activities and duties are aided or
hindered by the current provision of services and by the built environment.
What follows is a fine-grain exploration of the struggles and dreams of
people living in socially and spatially segregared places. We draw upon re-
cently completed ethnographic research in two white working class areas in
England, one in Neweastle-upon-Tyne, a metropolitan area, and the other in
a rural town in County Durham (Healey er al. 1997; Speak el al. 1995; Wood
or al. 1995). We use the voices we heard to uncover critical clements of daily
life. We concentrate on only a few of these: the dream of getting a job; the
need to live somewhere decent; the struggle ttl make ends meet. The meta-
phor we employ - the barrier, the box and the catapult - demonstrates the
very real constraints under which many people have to live their lives. The
first section of the chapter considers the barriers of perception, of organisa-
tional myopia and of poor selfimage which daily prevent people from access-
:M_ Il("................. r>. . . . . . . . . ;ti<> .. .,tH~ r111'1lit"l' "pr-virp" Thr
BARRIERS, BOXES AND c,\TAPUI.TS 97
how the usual pattern oflife is stopped, or, in some cases, accelerated through
the process of exclusion as well the policies and practices set up by the welfare
state to deal with issues of poverty in a period of restricted state spending.
The insider/outsider barrier
To define is to limit: to set up a distinction between those inside a group and
those who belong outside. So definitions ofsocial exclusion, no matter which
definition is chosen, set up a crude division of insiders and outsiders: those
with work and those unemployed; I those who have access to decision mak-
ing arenas and those who do not; those who suffer discrimination because of
Schools/FE.
race, gender or disability and those who are outside these groupings. To be
inside the group defined as 'the norm' is to have power. This section examines
a range of insider louts ide I' barriers and their impacts on life chances.
The significance of insider I outsider barriers can be illustrated by the pro-
cess oflooking for a job. Where do most people get information about job va-
cancies? It might be supposed that most vacancies are advertised either in the
newspaper or in the job centre. In fact, a significant number are never adver-
Family and tised at ali. Employers rely on their workers using word of mouth to recruit
friends someone from their own circle. It follows that it is important to have friends
who have jobs to gain a chance of gelling one yourself. On some estates the
level of unemployment among adult men is so high that the jobless are sur-
rounded by other jobless men. This may be exacerbated by another in-
sider I outsider barrier which means that those who work have somehow
crossed the line, in the eyes of their peers, so that they become targets for vio-
lence:
People were not going to even think about jobs if they were ... likely to
be harassed and abused because they were the only ones in the block
working. (Wood 1994)
or, by virtue of their employment, are judged to have adopted a different set
of expectations and values:
When I got this job, someone asked me if I'd be moving off the estate
and buying somewhere. (Gilroy 1994)
I See Levitas (1996) for crltki.~m of the Emopean definition of exclusion which focuses almost
exclusively on cllIploymclll. fiL~I. II sets IIp a fal.~c dichotomy between the employed and the
unemployed ;lnd, second, it takes a narrow view of work. thus excluding many forms of work
rhaoter Qoes on to consider undertaken by women,
98 SOCIAL EXCI.USION IN EUROPEAt'1 Cl1lES
Perceptual environmental barriers
Environm enta I ba rriers are usually understood as issues of poor access for less
mobile citizens such as older people, those with young children in pushchairs
and people with disabilities, However qualitative work discloses that the per-
ception of environment and the messages given out by space and place can
create intangible but no less real deterrents,
It may be said that all areas have opened out in that fewer opportunities
and support services are rooted in the place of residence, neighbourhood and
settlement. Yet for many people, especially children, older people, those
without waged work and those with poor health, most of their life is spent in
'their place'. (See Healey and Madanipour, Chapters 3 and 4 respectively in
this volume, for a discussion of the general significance of such 'places' in
looking at social exclusion.) The quality of conditions and opportunities in
those neighbourhoods is, therefore, important in affecting and reOecting
people's sense of themselves. People's sense of wellbeing and identity is
strongly linked both to how they think about where they live and to how
outsiders view their place. focus group work in rural Durham reveals people
wanting to feel proud of their town but conscious that people from other set-
tlements never come there to shop or refer to their place as 'Tin City' because
of the number of boarded up and shuttered empty shop units (Healey et al.
1997). for some Cruddas Park residents the neighbourhood was 'the place J
call home', but to outsiders:
It was a daunting place to visit, a shock to the system and frightening. If
you didn't know the area, you felt threatened. (Wood eta/. 1995, p.12)
for those in excluded neighbourhoods, other people's perceptions of the
places in which they live may serve to imprison residents. The virtual with-
drawal of insurance cover for the contents of their home can be effective in
keeping them at home, afraid to go far because of fear of crime. Those who
are job seekers are acutely aware of how their address may be enough to
block their chances:
Employers see a stigma about Cruddas Park. I usually write Park Road
as my address and leave offCruddas Park -I know I should try and be
proud of the area but I don't want to be judged by where [ live. (Gilroy
1994)
In Newcastle, it is a cammon experience that ifstopped and asked about mail
order catalogues, those who give their address as Scotswood (a poor people's
estate) will never receive their catalogue while those who smudge the truth
and say Demon Burn will receive it.
This judgement by address is nothing new. Doubtless all of us can paint
melltal maps of our home town with annotations indicating where the posh,
BARRIERS, BOXES AND CATAPULTS 99
de.cent, rough and no-go places arc located. How we build these perceptions
IS llllerestlllg and needs to be addressed by those who are working in urban
regeneration. If the ability to get a job or get access to credit depends on the
perceptions of outsiders, then it is these perceptions that should be targeted
rather than the llllprovements to the micro-environment of an estate which
may impact only on insiders. What does impact on gatekeepers? This is a
question which needs further exploration.
What is new is that: 'These vivid social maps of the city are also used for
navigational purposes by banks, insurance companies, the police and social
services, but their spatial demarcations become more visible only through
pra?t!c.c s such as the withdrawal of financial services from "high risk" locali-
ties (SIbley 1995, p.62). The extent to which this mapping blights places and
p~ople IS beyond the scope of this discussion. Nevertheless many service pro-
VIders are glllliy of wIthdrawal (Leyshon and Thrift 1995), of imposing dif-
ferential ~ntry rules for residents of some areas (Graham and Marvin 1994)
and of using the plethora of postally coded information to target their serv-
Ices to carefully chosen lifestyle and location groups (Sirkin 1995).
Sometimes it is insider perceptions which cause residents to cling to their
temtory, where their mental maps can help them navigate. [n Cruddas Park,
~omen c~uld not go beyond the boundaries of their estate to a family plan-
nlllg clinic, though this was located at no great distance. The nursery school
eventually gave a room after school hours for the health service to set up a
clinic there. As the teacher states:
There was a lot of need and it was no use saying these things were on of-
fer somewhere else, parents needed them here. (Gilroy [994)
The same mental maps excluded different buildings from being used for
neighbourhood meetings on the grounds that they belonged to particular
groups and therefore were unsafe for those outside that grouping.
Many services are located away from the neighbourhood and citizens are
~sked to journey out from their own place to access a range;fservices. Look-
mg at employment, many jobs are sent to the Job Centre where job seeker
services ar~ now f~cused. Some years ago the Department of Employment
made a poltcy deCISion to concentrate their job centres in town centres.!t may
well have been on the basis that the town centre has the best transport links to
other parts of the town and is the place to which people gravitate. But what
sort of places have our city centres become? In Newcastle, major new invest-
ment by retailers has increased the floor space of two major stores, one of
which IS Marks and Spencer. Of all the Marks and Spencer stores in the
world, the Newcastle store has the largest foodhall, stretching a quarter mile
from end toend. Takings on Northumberland Street (the main shopping
street on \\'hlch Marks and Sn,-.nr .... ;(' 1...,,.. .........·1\ ~ -l • • • •
ltlo SOCIAL EXCLUSION IN EUROPEAN CITIES
Oxford Street. The city centre of Newcastle is a place of conspicuous, some
might say gross, consumption, The impact of this is that it is mre to see any-
one there who looks poor. Discussions with poor people on council estates
reveal a sense of shame at their shabbiness and a feeling of being literally out
of place among the smatt shops and the well dressed people who frequent
them,' Sibley (1995) talks of the way boundaries between the consuming
and nonconsuming public arc being strengthened with nonconsumption be-
ing constructed as a form of deviance,
In Newcastle this construction of space may have had the effect of keep-
ing those who needed the services of the Job Centre out of the city centre,
These perceptions of space were not lost on the Department of Employment
who, in their efforts to cooperate with a local community development trust,
created a neighbourhood employment and enterprise office for the estate
with casually dressed officers so that as many perceptual barriers as possible
could be eradicated, This change oflocation was a factor in more jobless peo-
ple going to the new enterprise ce11lre and getting on track to employment.
Psychological barriers
What is it like to live with little choice because there is little money? For those
living in stigmatised spaces and struggling to make ends meet, there is the
dreary daily round:
There is just nothing, All there is, is the kettle and a few cups in some-
body's house, (Healey et at 1997, p,97)
and the problem of trying to keep children in touch with activities that all
children expect:
When you are on the social and you have got four bairns lchildren], for
them to go swimming you just can't afford it. I mean it costs £ I ,50 to go
swimming and you are only in an hour, half an hour. It cost me £8 on
Saturday. By the time you get them a ring and things like that, it is just
too expensive", It all boils down to money though - if you have got
three children in the family, you can't afford to send three children to a
leisure centre, (Healey et ai, 1997, p,9 5)
What is it like to be without work as a man in an area where men arc 'bread-
winners' and have no other role (Gilroy 19ge)? Many fall into despair caused
by applications for jobs which never bring positive results, Many are so dam-
2 We arc grat~r\l110 Debbie Shearer for sharing this finding from her hOllslng practice
BARRIERS. BOXES AND CATAPUI.TS 101
aged by constant t:lilure that they arc reduced to cruelly oscillating between
hope and hopelessness:
Although many people felt that they had no access to job opportunities,
the majority said that all they wanted was a job. The three main obsta-
cles were: a lack of jobs; low level ofskills and self confidence; a percep-
tion that jobs were inaccessible making training a pointless exercise,
Many people had given up even applying for jobs, after years of rejec-
tion, There was a feeling of hopelessness and yet at the same time a feel-
ing that if they could get a job, then all their problems would be solved,
(Wood et al. 1995, p.80)
One-to-one counselling to help people build their self esteem can help here
as evidence from the Cruddas Park employment counsellors demonstrates:
The group I try to target is the long term unemployed, I talk to them and
say, 'Look I was the same and I got a job. I didn't get this job as a direct
result of going on a course but the courses did give me confidence to try
for a job.' I talk to people about what work is about. I had been out of
work for so long that I'd forgotten what work was about. (Wood er ai,
1995,p,93)
I went and talked to people and didn't mention training except at the
end mentioning that I was there to help if they wanted to talk at any
time about those things, I talk to people about what they want and then
move on to think how they can get those things from training, I don't
start with the training and show them where they fit in, (Gilroy 1994)
Organisational barriers
Barriers are also created and sustained by service providers in the delivery of
their services, Along-standing problem for many parents, particularly single
mothers, is the serious omission of child care, On one stigmatised estate in ru-
ral Durham, single mothers spoke of the high cost:
None of the local employers offer creche facilities, There's a day nursery
at £75 a week, if you are lucky and get a place,
1 had to leave work - 'cos I couldn't get a baby sitter, or I had to pay
£ 12, 50 a day over there, I had to leave, (Healey e( ai, 1997, p,67)
In Cruddas Park, while the lack of child care was seen by many service pro-
VIders as a major issue, the lack of a corporate and coordinated policy across
the authority meant that the barriers between departments of the local
authority constantly .surfaced to prevent good ideas becoming live projects:
Ajoint play scheme was planned at Cruddas Park Nursery School, with
102 SOCIAL EXCLUSION IN EUROPEAN CITIES
contribution being asked from Education. Isent a letter to the Chief Ex-
ccutive of Newcastle City Council asking him to expedite this interde-
partmental arrangement. The response to the letter was a puzzled 'what
are we meant to do with this?' The result was no play scheme bringing
together the needs of all age groups because Education would not pay
for cleaning and caretaking fees ... Real issues of the relationship be-
tween Social Services and Education Nursery provision could not be ad-
dressed at the level of the Cruddas Park Trust, because the way was not
paved by management policy decisions that could enable this to take
place. (Wood eta!. 1995, p.103)
It took some six years for a corporate policy to be forged and implemented
across the city, benefiting not only the disadvantaged of Cruddas Park but
also other parents who needed and wanted to work but could not afford or
find child care. Programmes such as City Challenge have highlighted the dif-
ficulties in working in a partnership mode for local authorities, the business
sector and the community (Davoudi and Healey 1995). However, there may
be more barriers between departments of the authority than between it and
other sectors. The problems of different subcultures within local government,
which serve to undermine citizen-centred government, need further explora-
tion (Gilroy 1996).
In the next section, we go on to consider how the lack offinancial and re-
lational resources prevents some citizens from moving on through the life
process while others are forced to shoulder responsibilities without adequate
preparation. (For a general discussion of relational resources, see Chapter 3
by Healey in this volume.)
Boxes and catapults
An examination of everyday existence reveals the way exclusion from serv-
ices, facilities and, most of all, opportunities impacts on people's ability to
function in society. It is these restrictions which form part of our understand-
ing of the concept ofsocial exclusion. They stilI focus on the social aspects of
economic exclusion to an extent, and rightly so, as the link between social ex-
clusion and poverty cannot be denied. However, these issues themselves do
not fully express the impact of social exclusion. Nor do they describe truly
how Joeid! exclusion, that is, exclusion from the full society rather than from
economic society, manifests itself.
In the 1990.1, greater emphasis has been placed on understanding process.
The processes involved in the development of policy, partnership, collabora-
tion (Healey 1996a) and urban governance (Healey 1996b) have all come
•••• ..J~ •• ~;_ •• 11_ ... _ .. __ I•.. c__ . __ : d._ .J_:1.. I:C_
~('.I
BARRrERS, BOXES AND CATAPULTS In]
margil1alised and disadvantaged neighbourhoods, we are in danger of miss-
ing the relationship between individual issnes, such as housing, employment
or enrichment all a daily basis, and the process oflife itself over decades and
across generations. The remainder of this chapter focuses on getting a job and
having a home.
We begin by considering the broader picture of life as a process made up
of smaller subprocesses (childhood, adolescence, adulthood and family for-
mation), each with its natural transition stage to the next (Erikson 1968). Re-
turning to our metaphor - the barrier, the box and the catapult - we will see
how some people face barriers to accessing the services, f.1cilities and oppor-
tunities which arc considered part of normal contemporary society. In this
metaphor, the box describes the constraints placed on the subprocesses of
life. We use the metaphor of the box and the catapult to describe the stages of
life and highlight the transition points from one to the next, bringing into fo-
cus the way in which exclusion boxes people into a subprocess - a life stage-
and prevents the normal transition to the next or, in some cases, catapults
people ill-prepared into the next stage. We argue tim it is in this interruption,
the speeding up or slowing down of a 'normal' process, where we see both
the CaUse and the effect of social exclusion.
The interruption of process
Each subprocess of life, each stage, has its own set of requirements, brings its
own set of constraints and, most importantly, has a specific timescale dictated
bya number offactors including cultural, social, biological and technological
changes. (Eril<son 1968; Levinson 1978). It is important to understand and
accept the changing nature of these requirements, constraints and timescales
if we are to make sense of the way in which social exclusion impacts on the
process of life. We will take young adulthood as our starting point.
We concentrate in this discussion on only two of what might be consid-
ered the critical elements of everyday life: a job and a home. What is a young
adult's relation to these? What part do these play in the process of becoming
a young adult? Equally important is the question of what part exclusion from
these elements plays, not just in the lives of the excluded young adults but in
the lives and life processes of those around them.
. Early adulthood is the time in life when young people begin to develop
Independence. They must learn the sJdlls needed to earn a living and feed
themselves. They must leave the family home at some point. They must un-
dergo the rites of passage which establish both tlleir personal identity and
their place within the hierarchy of their own contemporary society (Erikson
............ n i,..
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104 SOCIAl. EXCLUSION IN EUROPEAN CrnES
While we are beginning to understand the mechanics of this distancing of
everyday services, commodities and opportunities, we have yet to grasp its
full significance for social cohesion.
Ajob
Concerns about increased youth unemployment and the number of policies
and initiatives in recent years to tackle it highlight the importance which so-
ciety places on young people accessing the labour market (European founda-
tion 1991). Yet job creation and skills training persistently fail to connect
people, especially disadvantaged young people, with what they see as valid
employment. The reasons are many: the changing nature of the labour mar-
ket; the benefits trap set by the current welfare system; crime; and the fragile
balance of existence in many of our inner city neighbourhoods. Some studies
show clearly that it is more difficult to get a job if you live in the wrong area,
as not only employers but employment services discriminate by postcode
(Wood et al. 1995).
Attempts to re-balance the skills mismatch between young potential em-
ployees and employers have hit difficulties as many have lost confidence in
training. Nationally, an estimated 5 per cent of 16 to 18 year aids are not in
employment, education or on a training scheme, and in some areas with sig-
nificant levels of unemployment, this is estimated at over 9 per cent (NACRO
1993). The immediate financial implications of unemployment for young
people are obvious but what are the long-term implications, both for the un-
employed and their families? How might unemployment trap young people
in their family homes past the point when they should be independent, and
how might that entrapment compound difficult circumstances for both the
young adu It and the family? Are policies devised to keep the young unem-
ployed at home really beneficial in the long term?
Not all young people are jobless, of course, and temporary or part-time
work is common. However, while work can be found to provide some in-
come, most young people can make a distinction between work and a job
providing not only financial security but also personal satisfaction and the
basis for a future (Hollands 1997):
There's work, aye, here and there I can find a bit ofwork like in the town
but it's not what you'd call a job, is it? It's not for the long term. (Speak,
Cameron and Gilroy 1997)
For some young people, delay in entering the job market is the result of con-
tinuing their education. However, despite the difficulties it brings, the pov-
- • j _._~- ~ ..... 1..l hp rnn.:;idered as part of the process of
BMUlIERS, BOXES AND CATAPU1.TS 105
short term, leading to increased prospects of prosperity later. Furthermore,
their poverty is viewed differently in the eyes of society. Whereas a young
person on income support would have difficulty in accessing a bank loan,
young students with no greater income levels are targeted by banks. They are
increasingly encouraged to take out student loans in order to complete their
education and progress. Conversely, offering credit or a loan to a young per-
son on a low wage or on income support would be considered an unaccept-
able financial risk by lenders.
One of the first requirements towards successful passage through young
adulthood to ful1 and independent adulthood, a job, is often denied. Without
a job, the material requirements of yout h and young adulthood, the fashion
or the social life which mark young people's place in their cultural hierarchy,
are denied. This denial both of material goods and of status is reinforced by
the focus of current debates throughout Europe on unemployment.
Levitas (1996) argues in her analysis that the debates about European pol-
icy on social exclusion are guilty of linking unemployment, rather than pov-
erty, with social exclusion. The route, therefore, to social integration is made
by getting a job. Such reasoning creates a polarisation between the unem-
ployed who are on the outside, as an underclass, and those in work who are,
by virtue of their employment, enjoying a whole range of economic and so-
cial benefits. This view disregards the very real and growing divisions among
those in work. furthermore, this stance devalues unpaid work and what
might be termed active citizenship. It holds employment as the only solution
in the context of jobless growth and a loss of opportunities for any meaning-
ful WOril. finally, it suggests that crossing the divide between having work
and not working means that al1 other inequalities wil1 be eradicated.
However, work itself can have its drawbacks and can serve to exclude peo-
ple from other vital facets of life. Research is beginning to show that many
people must make a choice between their tenancy and a job (ford and Eng-
land 1996). Aproperty which was affordable when paid for wholly or partly
by housing benefit may become unaffordable when even the poorest wage
can take a tenant out of benefit eligibility. Ifemployment does not necessarily
convey a passport to a decent home, then how do young people make the
transition from parental homes to their own homes?
A home
For many young people, higher education, low wages or failure to access the
labour market with any degree of permanence means they must delay their
transition to independence. Some young people have safe and supportive
r"ITlih, hnmp,;; in which they rn::l.V remain until they can provide a home for
106 SOCIAL EXCLUSION IN EUROPEAN CITIES
themselves. Even if they do choose to leave, they may be assisted by their
families and ultimately welcomed back if the first attempt at independence
doesn't work OUI. They arc protected by a nursery period during which they
may corne and go and make mistakes with some impunity.
Students, again, are at an advantage as they often leave home for the first
time on a temporaty basis but are welcomed back frequently. Often going
into halls of residence for the first year, they do not usually suffer the isolation
which other young people can experience. For them, leaving home early and
on a low income is part of the process of transition.
for others, however, this nursery period is not available, and for many, de-
lay is not an option. For a variety of reasons, some young people must try to
make the transition to independence quickly, at a young age and at the mercy
of the state for both their income and their housing. For them, the process is
not delayed but often speeded up, and they are catapulted unprepared into in-
dependent adulthood.
A number of studies have shown the difficulty young people face in mak-
ing the transition to independence (Morrow and Richards 1996). Other
studies show how crucial continued family support is during this period and
how much strain this can put on families, delaying the family's own progress
(Jones 1995). Changes in recent years to both housing and welfare policy
have assumed that young people can continue to live in their family homes
throughout adolescence and into young adulthood. The previous section dis-
cussed the increasingly poor prospects of an adequate, secure wage for young
people. However, for those young people without a job, the situation is worse
as a number of changes to the welfare benefits structure have made it more
difficult to make the transition to an independent life and a home of their
own. The support and education of younger siblings may be hampered if
older children remain at home and dependent on the family into their twen-
ties. The parents' own progress towards preparing for their third age w!" also
be impaired. Achange of housing may be delayed, and saving for retirement
may well not be possible. Thus, we can see that policies which were designed
to control the behaviour of one group, young unemployed people, not only
lead to their exclusion from society but also impinge on the progress of theit
families.
Even where housing is available, the compartmentalisation of local
authority services means that it is often proVided in isolation from other vital
services. Thus, young people are housed without support and with little
thought for the way that their housing relates to other facets of life. In New-
castle, for example, where the surplus of local authority one- and two-
bed roomed flats, often in areas of high crime, results in 25 per cent of new
,. ~~.~., 1_
BARRIERS, BOXES AND CATAPULTS 107
are housed wirh relative ease but far away from their neighbourhood and
family support networks. This may explain why over 40 per cent of these ten-
ancies end within twelve weeks. Independence may have been achieved, but
il is often not maintained. The areas where there is ample available property
are the areas which are particularly difficult to let. The property may be in
good condition, but the neighbourhood may suffer from high crime rates,
vandalism and misuse. It may be isolated from relevant services, such as em-
ployment services, job clubs, training centres or youth services. Young people
housed in such areas may find it hard to settle and to maintain independence.
Unfottunately, housing allocations policy, especially in relation to rhose
applying under the homelessness legislation, serves to trap young people in
what may be suitable properties in unsuitable locations. Those applying un-
der homelessness legislation musl accept the first offer of a property made to
them unless they can prove it to be unsuitable. Few young people would be
willing or able to argue the suitability of a property when leaving home in a
crisis. Changes 10 homelessness legislation have made it more difficult for
young people to get permanent local authority housing. Legislation relating
to the provision of local authority housing can place young people in an un-
stable situation where they cannot consider the roof over their heads to be a
permanent home. Thus, they may be more likely to drift between their family
home, friends and occasional temporary accommodation. This situation is
likely to impact on their chances ofgetting a job, and, thus, increases their de-
pendence not only on the state but also on their families.
Further, social housing allocation policy places young people under a dif-
ferent set of constraints than would be the case for those able to cater for their
housing needs in the private sector. Young people, especially those on low in-
comes, can make the normal, if undesirable, errors attached to this learning
period and get into debt, resulting in rent arrears. This perfectly narural part
of the process of transition to independence is not recognised by social land-
lords. Newcastle City Council is typical in preventing transfers within their
stock for those with arrears. Arrears may deter other social landlords from ac-
cepting a nomination or application. The operation of the private lettings
market is very different, and debt with one private landlord might remain a
private matter so that it does not automatically influence another's decision in
relation to a prospective tenant.
Those with sufficient income are able to seek housing within the private
sector and are free to move as their needs change. Those dependent on the so-
cial landlords for rheir housing arc dependent on the landlords' criteria of
need. Once adequarely housed in the eyes of the local authoriry, which gener-
ally means living in the right number of rooms, rehousing is severely re-
1011 SOCIAL EXCLUSION IN EUROPEAN CITIES
I'm on Ihe (council housing) lisllike but I don'l know how long it will
take. It's shocking round here now ... I can'l take much more, daren't
hardly go out of my house. (Speak 1'1 aI. 1995)
Despite this complex relationship between housing and other aspects of
everyday living, housing is still largely viewed as an end in itself, being con-
sidered only in terms of shelter. The notion is that ifhousing is available, the
homeless will move in and their problems will be solved. Clearly this is false,
and other variables come into the equation, as demonstrated by the irony of
Newcastle City Council's Housing Department advertising houses and fiats
in the BIg 155111', a magazine sold by and in support of homeless people in the
city.
It is this view of the provision of housing as shelter or the greater avail-
ability of jobs as the means by which to address issues of marginalisation and
exclusion which is problematic. However, if viewed not in isolation nor in
terms of quantity, but as part of a process, either of these elements can assume
the crucial role of acting as an agent of exclusion. If the issue were simply the
availability of housing, then ample supply could be argued to be beneficial.
Here, though, we see that the housing process can interrupt and interfere
with the process of transition to independence. It can do this by the lack of
affordable housing in some areas, while in other areas it can do so by a plenti-
ful supply of undesirable housing. The availability assists, even encourages,
transition, but because of the allocations policy and because it is isolated from
other vital services, it compounds the difficulties of those who are forced to
leave home ill-prepared.
We have looked at how two of the central elements of everyday life, em-
ployment and housing, conspire to exclude young people from the process of
normal transition to independence. What we see is a group of people being
unable to complete a subprocess in the time accepted by the wider society. It
could be argued that it is the way these elements interrupt or exclude people
from the process of life which constitutes true social exclusion.
Although we have concentrated on young people and the process oftran-
silion to adulthood, the view of exclusion from lifetime process can be trans-
ferred to any stage of life. It is not hard to make the connection between
delayed independence and the delayed formation of new family units. Like-
wise, if the young are late in establishing themselves independently of their
parents, the parents' transition to a phase of life when they can begin to relax,
enjoy themselves and prepare for their retirement is also delayed.
However, exclusion may occur both by the delay of process and by the
speeding up of process. In later life, many have found themselves excluded
frnm the orocess of preparing for their old age by exclu:ion from the labour
BARRIERS, BOXES AND CIH APUlTS 109
perhaps due 10 the closure of old induslries, are precisely those who had to
support their children for a longer period at' time because they were unable to
find jobs and leave the family home. In their later years, these people cannot
hope to be as prepared, particularly tlnancially, for their new role in society.
They may not have been able to save, to have considered their changing
housing needs or to have provided the material comt'orlS they will need to see
them through the rest of their lives. For those who have unexpectedly been
made unemployed in later life, the process has been speeded up as they have
been catapulted into retirement too early.
Early retirement is not necessarily problematic in itself, and many people
choose to accept retirement after 20 or 25 years in the armed forces or the po-
lice force. However, these people will retire with a reasonable, even very
good, pension and may also be in a position to get another job should they
wish. Other people plan for an early retirement throughout their working
lives, paying into private pension schemes to provide for their loss of income.
For these people, the early transition from work to retirement is an integral
part of their life process. However, for those less fortunate, who have neither
planned to retire early nor been able to prepare financially for early retire-
ment, redundancy or loss of employment comes as an interruption at' the pro-
cess of earning an income and preparing for later life.
We mighr ask why it matters if all people do not follow the same timeta-
ble. Indeed, it should not, except that some events or stages in life come with a
pre-set timetable. We all age. Many of us may experience frailty and, thus,
may need to prepare for our third age, especially in a society which is fast re-
linquishing the responSibility to care for us.
Even in earlier life, sexual maturity and activity, childbirth and raising a
famlly are, lf not entirely predetermined, at least likely to happen within a
specific time span. However. what we have been faced with in recent years is
the notion that if, for social 0' economic reasons, some people cannot prog-
tess from one life stage to another at the 'normal' rate, then they should, in
some way, delay other progressions.
The early 1990.1 paranoia about young motherhood, especially among
young single women, was a good example. In reality, conception rates to
younger unmarried women (under 20) have remained fairly constant, al-
though they have risen among the 20 to 24 age group. The real change has
been the outcome of such conceptions, with far more resulting in either ter-
~ination or a birth out of marriage than was the case in previous decades.
lhus, for a number of reasons, some young women find themselves raising
chrldren, not necessarily without the support of a partner but outside the so-
cially accepted sequence of events. Many of the youngest of these women
110 SOCIAL EXCLUSiON IN EUROPEAN CITIES
rupted by being catapulted into motherhood, often ill prepared, They are
condemned for not taking control of one process (the biological) but denied
control over another (that of becoming self-supporting adults), While it is a
matter for conjecture whether or not people can or should be expected to
take control over their reproductive processes before they arc economically
self-sufficient, there are many processes, such as ageing, over which they can-
not take control.
Conclusions
In this discussion we argue for a deeper understanding of the social exclusion
process and for solutions to arise from holistic thinldng, What has happened
throughout the 1980s has been a process of residualisation, A whole set of
policies has been developed in order to target public services to those in need,
that is, those who cannot afford to buy the services they need in the market.
Ilousing has been at the forefront of this, in the form of privatisation, restric-
tions on supply, downward pressure on standards, upward pressure on rents
and the parallel shifts from bricks and mortar subsidies to housing benefit.
The socially excluded, the unskilled, those failed by the education system, the
long-term unemployed - whatever term we choose - these people are the
tenants of the social housing sector because housing policies have set out to
make them so (Malpass 1996), This targeting of resources could be described
as a success, but these people are now locked into communities labelled as
market failures and locked out of opportunitieS to lever themselves into situa-
tions more conducive to human nourishing. In these communities, barriers to
opportunity ofall kinds box people in at all stages of the Iife cycle but particu-
larly affect the young, who are denied the usual rites of passage into adult-
hood, Greater family pressure in times of reductions to family support from
local authorities and voluntary agencies leads to some being catapulted into
another box, perhaps one labelled unmarried mother, street homeless, young
criminal. What characterises all of these images - the barrier, the box and the
catapult - is the lack of choice and control which these individuals are able to
exercise over their lives as individuals,
We began by discussing the way in which policy makers have cut up eve-
ryday life into a series of separate compartments dictated by the service pro-
viders, We urge a new approach based on the everyday-life perspective which
is beginning to filter through to urban policy, and which recognises the com-
plex and interrelated nature of the different elements of life, There is, at last,
some understanding of the connection between housing and employment,
bct\"lcen the built environment and domestic functioning, between people1s
personal social worlds and their ability to take advanlaee of imnrnvrn r::1rili_
BARRIERS, BOXES AND CATAPULTS III
ties and opportunities. We are beginning to break down the spatial barriers
and segregation between the delivery of services, We can see the need for
welfare rights advice in a housing oft1ce or a women's health clinic in a nurs-
ery school (Wood el ai, 1995), What is needed is inleragency collaboration
starting with an understanding of how daily life is constructed in order to
identify what initiatives can unlock the boxes and break down the barriers
rather than simply create new ones,
Having re-focused on everyday life, we also need to be aware of temporal
barriers to ensure that not only are services and facilities provided in a holistic
and interrelated way, but that they are provided in a way which does not ham-
per people's progress throughout their life cycles and which recognises the
damage which has already been done to the progress ofmany families and in-
dividuals, especially young people, Furthermore, we must recognise that life
is played out on a continuum, People flow in and out of employment, or de-
pendency or lone parenthood, None of these states are necessarily perma-
nent, but they can be made more so by policies which effectively interrupt life
cycle processes, Not only are day-to-day activities made more difficult by
many current policies, but those increased difficulties impact on the ability of
individuals and whole families to progress Ihrough their life cycles in the way
thai contemporary British society has come to expect.
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 CHAPTER SIX

Troubled Housing Estates in Denmark

Hedvig Vestergaard

During the first half of the 1980s, one problem followed another on some of
the large industrialised estates which were built during the 1960s and 1970s.
The physical problems were apparent to everybody: leaking roofs, crumbling
concrete, rotting window and door frames, cold and damp walls. The effect
was aggravated by worn-out recreation areas, often vandalised, with
snapped-off trees, dilapidated playgrounds and broken play equipment.
While both tenants and their visitors were depressed by the sight of the
buildings and their surroundings, the resources available for general mainte-
nance were insufficient to make any lasting improvements.
Economic problems were less conspicuous but equally threatening. Some
of these estates were on the verge of economic collapse. Their financial posi-
tion was progressively undermined by increasing losses from high rent ar-
rears and from empty fiats and the high costs of repairs associated with
reletting the fiats.
A less acute, but equally threatening, problem was a long established
'slummification' process. Many nuclear families left the estates during the
1970s, leaVing behind them social groups who were experiencing difficulties
in the labour market and with life in general. An increasing proportion often-
ants were receiving assistance from social services, or were retired, immi-
grants or suffering long-term unemployment. fear of violence, vandalism
and burglary became part of daily life on these estates. Dramatic press reports
helped to firmly fix the negative reputation of these estates in the minds of
the rest of society. Thus, their decline was rapid and seemed inexorable. Start-
ing out ten yeors earlier as the latest and best non-profit housing, they be-
came a symbol of a more general change from an optimistic, dynamic and
growing society in the late 1960, to a stagnating, troubled, debt-ridden soci-
ety in the mid-1980s.
110 SOCIAL EXCLUSION IN EUROPE/\N CITIES
In Denmark, these lroubled estates tend to be concentrated in the non-
pront housing association srock, which constitutes 19 percent of all Danish
housing and 47 per cent of all rented housing. Programmes to address the
problems on these eslates need to recognise the specinc organisational fea-
lures of Danish housing associations. There are approximately 650 associa-
tions, with stock concentrated in and around the larger cities. Associations are
divided into sectiolls, which conslitute separate estates. Each section is run as
a separate nnancial enterprise, setting its rents to cover its costs, and is gov-
erned by a democrarically elected local board, although ultimate legal and n-
nancial responsibility rests wilh the board of the parent association.
Danish housing associations do not aim to provide for any particular sec-
tor of the population, and access to their housing is through a waiting list to
which anyone can apply. However, 25 per cent of their dwellings are made
available to local authorities, who may allocate these properties on the basis
of social need. While associations are formally private organisations, they re-
ceive general subsidies to support interest and mortgage repayments and all
tenants in rented housing are eligible fo[subsidies to cover their rents, based
on household income and size. Because they receive subsidies, associations
are also regulated and monitored by both the state and local authorities.
Housing associations owned approximately nve per cent of the housing
stock in 1950 and now own approximately 19 per cent. Their increasing im-
portance is a consequence of three factors. first, they have had a stable build-
ing programme over the years. Second, almost no new private rented housing
has been built since the I 960s, and much formerly private rented housing has
become owner occupied. finally, since the middle of the 1980s, very little
new housing has been built for owner occupation.
Most western European countries experienced problems during the
1980s with the large housing estates which have been built since the Second
War. There is typically an interaction among economic, physical, social and
organisational problems (Harloe 1994; 1995; Power 1993). Several coun-
tries have implemented initiatives in an attempt to improve and rehabilitate
these estates. These efforts have been very different, in terms of the extent to
which they have tackled social and economic problems, and in terms of the
extent of physical and organisational change (Vestergaard 1996). One gen-
eral conclusion that can be drawn from these initiatives is that physical
changes, both major improvements and high levels of repair and mainte-
nance, arc necessary but not sufllcient to secure a socially balanced housing
environment. At the same time, programmes which emphasise general com-
munity activity on estates may achieve local cooperation, but tend not to
"oeh sociallv troubled groups (Carlson 1992; J"'ger 1993; Kj",r Jensen
TROUBLED HOUSING ESTATES IN DENMARK 117
inlerms of class, culture, ethnic background and so on, and in terms ofhous-
ing standards is influenced by a wide variety of housing, social and urban
policies, which need to be included within the overall frame of reference in
analysing local initiatives (Huttman et al. (991). Thus, more closely targeted
actions to improve the socia' environment need to be made an integral part of
housing management, especially in those socially depressed areas with a high
concentration of tenants with social problems (Allen 1994; Bonetti 1994;
Christiansen [I al. 1993; Kempen 1994; Liedholm and Lindberg 1994).
Problem estates: physical improvements
In 1985, the Donish folketing passed legislation supporting grants to rem-
edy the environmental, building, technical and nnancial problems on these
estates. This programme was closely monitored and the overall results were
published in 1993 (Christiansen [I al. 1993). This reseorch reached nve im-
portant general conclusions. First, the estates were characterised by a grow-
ing number of households who depended on income transfer payments,
mainly single person households and individuals without Danish citizenship.
Second, the research concluded that although there had been many positive
results from renovating the physical surroundings, no substantial improve-
ments in the social conditions on the estates could be attributed to this reno-
vation. it, thus, recommended that efforts aimed directly at improVing social
conditions should become an integral part of housing management Third, at
the time of the research, a continued crisis in the market for owner-occupied
housing supported the relative market position of these estates. This crisis
made it relatively easier to attract tenants and to keep existing tenants who
were in employment and who had sufllcient incomes to pay their own rent
for the large and relatively expensive non-profit apartments. fourth, the re-
search concluded that it was crucially important to establish close and mutu-
ally binding collaboration between housing organisations, associated
community workers and advisers, on the one side, and local authority social
services departments on the other side, in order to solve the social problems
on the troubled housing estates. Fifth, the research also suggested that a
number of other actors should be involved in this collaboration, including
voluntary organisations, church representatives and the police, all of whom
had not been commonly involved in such collaboration at the time.
An important part of the research concentrated on establishing the views
ofte'nants on these estates. All replies pointed in the same direction. Tenants
expressed satisfaction with the improved apartments and new green areas.
Their dissatisfaction centred around a saci'll environment in which there was
liB SOCIAL EXCLUSION IN EUROPEAN CITIES
neighbours. Dissatisfaction was also caused by the bad general reputation of
the estates. In some areas, where there were large concentrations of immi-
gratHs, this was also a cause for dissatisfaction, although this was partly due
to family patterns among immigrant families who often had many children,
causing problems with noise.
The research also looked at the effectiveness of local projects designed to
enhance community involvement in the process ofim proving the estates. De-
spite considerable variation in the nature of the projects, the main conclusion
was that unless they Were targeted directly at the lowest income groups or in-
dividuals and unless there was a major preparatory effort to set up the interac-
tion among actors involved so that it worked smoothly, then the projects did
not reach the worst-off groups. This result confirmed other research evalua-
tions of projects financed with development funds from the Ministry of So-
cial Affairs and the European Community Poverty Programme. The
experience showed that social problems are best solved through projects di-
rectly aimed at specific problems, rather than being aimed at general activities
at a community level. More generalised community projects also tend to use a
disproportionale amount of resources in achieving cooperation among insti-
tutional actors, although all the evidence shows that even specifically tar-
geted projects required considerable resources and a lengthy process
(Andersen 1994; Kjeldsen 1992; Pedersen 1994).
The research evaluating the 1985 improvement grant programme also
looked specifically at the process of collaboration between the housing es-
tates, local authorities and other local actors. A subsequent survey of local
authorities by the Ministry of Social Affairs (Socialministeriet 1994) showed
that collaboration between local authority social services departments and
other actors, including the police, county health organisations, tenants asso-
ciations, and housing associations, already exists on many estates. Half the lo-
cal authorities who were already engaged in such collaboration expressed a
wish to increase it. They were especially eager to improve collaboration with
county health services. There was, however, much less collaborative work
with eth nic minority organisations, sports organisations and voluntary social
workers. The survey also indicated that there was a common tension in using
limited resources to achieve a balance between establishing collaboration be-
tween different bureaucratic structures and solving the problems the collabo-
ration is designed to address.
1993: a turning point
1993 marked an important turning poinl in the Danish approach to troubled
housing estates. Up until 1993, ethnic questions were omciallv a non-
TROUBLED HOUSING EsTATES IN DENMARK 119
problem on the estates although the presence of a large group of'non-Danish
looking' tenants and children on the estates and in local schools Was clearly
one of the factors which led to negative labelling of the estates.
The question was generall y being ignored politically, both by local politi-
cians and in the Folketing, although right-wing politicians were very open in
stating their opposition to immigrants. [n the summer before the local gov-
ernment elections, social democratic mayors in several Copenhagen suburbs
began to delmnd the right to decide who could live on the estates in their
authorities. They argued that criteria based on waiting lists or having sum-
cient income to pay the rent were inadequate to avoid the creation oflow in-
come' ghetto' estates within their jurisdictions.
Seven months after the new Social Democratic-led coalition government
took omce and one month before the local elections, a Governmental Urban
Committee was created with the aim of developing a programme to solve
Denmark's' ghetto' problem. The Committee was chaired by the Minister of
the Interior, and included the Ministers of Social Affairs, Housing, Justice,
Church and Education. The Committee commissioned an investigation of
the extent of the 'ghetto' problem, which showed that 72 out of 275 local
authorities claimed to have one or more troubled housing areas, practically all
of which were social housing estates. The investigation also established a
rank ordering of the impottance ofspecific problems on troubled housing es-
tates, based on local authority views. The first four problems concerned the
Danish population. Problems with immigrants were ranked as fifth most im-
portant.
Based on this investigation, the Urban Committee rapidly published a
strategy plan which reflected the now very much higher political salience of
issues relating to immigrants across a much broader political spectrum. Ofthe
thirty points in the strategy plan, twenty were concerned with immigrants
and refugees (Byudvalget 1994a).
In the autumn of 1994, the Urban Committee launched a new general
programme for troubled housing estates. It included a package of measures
dealing with physical renovation, refinancing and employing social workers
on the estates. The programme is based on joint applications between hous-
ing estates and local authorities. Only projects based on very detailed plans,
stipulating tasks and costs, can be funded under the programme, and applica-
tions need to demonstrate the local partners' willingness and ability to coop-
erate in solving local problems in order to get resources. Funding for the
pack~ge is shared between the state, local authorities and the national Fund
of Housing Associations. It is based on a refinancing package ofDKK IObn
for more recently built social housing estates, in order to aHow rent reduc-
tions. Dhvsic;li irnorovement nr-ni,·,..tr ""~~~-_:- ---
IZO SOCIAL EXCLUSION IN EUftOPEAN CITIES
tiatives. In addition, another DKK 1.2bn was allocmed for social activities
during 1994-1997. The main strategy can be characterised as a change from
an indirect to a direct approach to solving social problems (Byudvalget
1994b).
1n 1996, the Urban Committee extended its activities to include plans for
a new urban policy based on neighbourhood upgrading, which is defined by
the Ministry of Housing and Building as a broad approach aimed at improv-
ing the social, building, technical and cultural conditions in urban ~reas(Bo­
Iigministeriet 1996). This strategy focuses on ar~as, not on tndlvldual
buildings or tenants, and it is aimed at areas with nllxed sOCIal composition
and housing. It is based on broad programmes to upgrade areas socially, cul-
turally and technically, through local programmes of coordinated and inte-
grated measures. Activities within these local programmesare to be prlmanly
based on local actors and needs, involving local authontles, restdents, local
businesses and other local organisations. The vision behind this strategy is
one of a bottom-up, holistic approach, and the Committee plans to fund be-
tween four and eight model projects which demonstrate this approach.
The Urban Committee's work is characterised by two general aims. The
first is that tenants should get a sense of having their daily lives improved, and
the second is that social problems should be limited, both qualitatively and
quantitatively. More generally, these aims are set ",:ithin a :ision of stre~gth­
ening, improving and establishing local commutlltles whIch allow all mdt-
viduals to participate in the community life of a housing area, by both
encouraging positive behaviour and limiting negative behaviour and other
processes. In order to assess whether these aims canbe,achieved, it is neces-
sary to develop an understanding of how everyday hfe is shaped both by the
activities of tenants and by the wider structures withtn whIch these actlvttles
are set,
Everyday life, marginalisation and social exclusion
The concept of everyday life is defined by all those basic and routine activi-
ties which are catried out each day to sustain one's own life and that of others,
An important aspect of everyday life is the individual actor's ability to inl1u-
ence his or her environment. Thus, everyday life, within a given social and
material structure is the sum of individual efforts to create personal identities
and a common fr~mework of meaning, a framework that binds together vari-
ous actions, experiences and things in a meaningful way (Forskergruppen for
det nye hverdagslivet 1987).
People create both their own everyday life and that of each other. Even
thouoh rp.'mllrrrftli individuals may have ;lO everyday life which does not
TP"OUBLED HOUSING ESTATES IN DENMARK i21
involve activities in their local community, living in an area where there are
possibilities of occasion"1 participation in local activities, such as local cul-
tural events, may still be important for individuals, An equally important fac-
tor is the presence of 'loose ties': saying hello to one's neighbours, showing
each other a certain amount of attention, etc. Without loose contacts, indif-
ferent and negative behaviour is encouraged (cf. Liedholm and Lindberg
1994),
What characterises socially depressed housing estates is that everyday life
is threatened for both socially burdened and socially and economically well
functioning individuals. The research evaluating the physical improvement
programme on troubled Danish housing estates between 1985 and 1993
showed unambiguously that tenants did not think that the renovation proj-
ects had contributed to giving them more contacts or friends on the estates
(Christiansen ef ai, 1993). Rather, problems related to alcohol and narcotics
abuse, as well as crime, were destructive not only to the individuals con-
cerned, but to the everyday life of all residents on the estates,
In the context of building strong, well functioning community organisa-
tions on these estates, social and economically well-functioning tenants are
naturally seen as assets in this process. Without these tenants, it would be im-
possible to establish commitment on the part of the tenants to the improve-
ment process.
But, what do economically and socially well-functioning tenants want
from everyday life in order to remain as tenants on the estates? Would in-
creased co-responsibility for the development of the area and strengthening
local social relationships provide this group with a better everyday life and
thereby succeed in keeping them as tenants? There are two reasons for think-
ing that this approach will not work. First, no research has shown that im-
proved opportunities for these tenants to take co-responsibility and to
participate in activities generally changes their desire to move away from the
estates. In any case, such possibilities for participation already exist. The
problem seems to be that many socially and economically well functioning
tenants do not wish to make use ofthese possibilities ifit means being in con-
tact with and having co-responsibility for the socially and economically bur-
dened tenants. Tenants who are socially and economically well functioning
pl"efer to focus on each other and on their own often very busy lives, Second,
nothing seems to indicate that socially and economically well functioning
tenants on troubled estates have fewer social relations and networks than
peop1e living elsewhere (Kin Jensen 1988). On the contrary, those tenants
who are most active in the clubs and recreational activities established on the
estates and who particip"te in the different ways in which tenants in
[22 SOCIAL EXCLUSION IN EUROPEAN CITIES TROUBLED I-lOUSING ESTATES IN DENMARK 12 J

Denmark can democratically influence their environment are drawn from
precisely this group.
What economically and socially well-functioning tenants find unpleasant
in their daily lives and what makes them dissatisfied with living on troubled
estates is the presence of marginalised individuals and groups with destruc-
tive, disturbing, threatening or deviant behaviour: groups of individuals
drinking in public, gangs of young people, young men with big dogs and im-
migrants with a 'non-Danish' appearance. Their dissatisfaction is often re-
lated to fear of criminal activities, of walking outside in the housing areas in
the evenings and at night time, and finally the fact that their belongings - bi-
cycles, baby carriages, cars and so on - are often stolen or vandalised (Chris-
tiansen el d/. 1993).
The situation is different for economically and socially burdened tenants
and for immigrants. To begin with, they participate much less frequently in
general community activities and in the democratic control of the estates.
Previous initiatives focusing on these groups have been designed to make
them less visible within the tt'Oubled estates, as a way of reducing the conflicts
between 'normal' and 'deviant' tenants. This has been done, for example, by
creating recreational and meeting places outside the estates, by forcing un-
wanted tenants off the grounds of the estates by zealously enforcing local
rules, and by terminating the leases oftenants, either because they are serving
prison sentences or in connection with rebuilding projects. Specific aClivities
focused on young tenants have had posilive effects as long as the activities
lasted, but once they finished these effects seemed to vanish.
measures designed to intervene in the social relationships on troubled estates
should not be, in the first instance, on increasing opportunities for co-
responsibility ond general community actiVities, but on activating the social
relationships of r.',e marginal groups. Improvements at the level of general
com mUlll ty activity can be expected to follow on from this approach.
Troubled estates: the Urban Committee's initiatives
This consideration of the dynamics of everyday life on troubled estates needs
to be seen in the context of the material and structural relationships which
surround the estates, because these broader relationships shape the possible
outcomes of the dynamics on the estates. This wider situation is shown in
Figure 6. I, which illustrates how internal and external conditions have a mu-
tually reinforcing and dynamic negative effect.
Poor rtputation
r'l'\IInl tumour, 80dll problem"
I:tfmll11lllty, lno«urlty
....
corodlUol'l6
5<"., \5'' ' \''71- 0,.

There are obvious reasons for wanting to create opportunities to improve Fo_
rHDU~'
the daily lives of this group of tenants, many of whom are unemployed. In the Less fmciency
survey by the Ministry of Social Affairs (Socialministeriet 1994), local Poor competitiveness few resources
authorities singled out unemployment as the most pressing problem within
the troubled estates. The general issue is the extent to which consciously tar-
geting local public initiatives, aimed at supporting care taking tasks, local
service and small scale production, can work as a catalyst for building up lo-
cal groups with more long lasting and locally relevant activities (Milj0vern-
departementet 1994; Nordahl 1994; S0holt 1992).
General local community activities, which may benefit daily life for all
tenants, arc very difficult to establish in housing areas which are characterised
by social unrest and latent clashes between different groups of tenants. This
Uo5S attractive
suggests that establishing and maintaining such activities needs to be seen in
the context of a strategy which focuses on marginal groups, finding ways to
support changes in the disturbing behaviour which leads both to the dissatis-
faction of the economically and socially well-functioning tenants and to the
 'W

124 SOCIAL EXCLUSION IN EUROPEAN CITIES

TROLJ!3!.EIJ HOUSING ESTATES IN DENMARK 12 S
Excessive rent levels are a consequence of the financial problems experienced
by the housing associations and reduce the estate's competitiveness in local
housing markets. This leads economically better-off tenants to leave the es-
tate. This, in turn, leads to an increase in the number ofsocial problems on the
estate. At the same time, the financial problems also imply that there are fewer
resources for cleaning and maintenance as well as for organising tenant- -;;;
u
based work and social activities. The decline in social development work, "0 .2
c
coupled with increasing physical decay, further weakens tenant democracy ~
~
~ -5
~ .~
and activities. This inner spiral of decline has a further negative effect on the 0
~
'C
external reputation of the estates, which intensifies the social problems ;;: :~ c
G
.-S 'd
~
v
"0 U c ~ ~
through further selective turnover. Decay of the physical surroundings de- ~
« v ~

i: -;;; 'u "

0
~
0
creases the physical attractiveness of the estate and makes it more difficult to
'" 'u "'v
~
~

~ .0 'C
0
r'"
~ ..c
attract better-off tenants. At the same time, the need for increased spending := 0 ~
~ ~
-0
"'"
Vl v ~
on maintenance puts further pressures on the financial and organisational re- "" U
sources of the housing association, which may lead to less effective and more
expensive housing management and more poorly organised maintenance and
cleaning activities. These financial and organisational pressures, in turn, also
mean fewer resources for the activation of tenants and this may result in a fur-
ther increase in social problems.
The Urban Committee's initiatives to influence these situations and processes

p
are illustrated in Figure 6.2. Refinancing represents an improvement of the u
g
estate's economy which may be used for improvement in the physical sur- :gc
c "-
~,
'g
v
roundings, for strengthening the organisation, for increased levels of social 0
.~
, 'Co &
..- '8

1
work or for reduced rent levels. The aim is to reduce the number ofbetrer-off C
~

,~
~

tenants leaving the estate, and thus to strengthen the competitiveness of the "?O
~;;:;:
t:
~
o • ~
0 c ,S
estate in the local housing markets. Measures which are especially aimed at an ~
v ~
£ ;; E ~
... 'C
""
11"
overall strengthening of the organisational situation include increased coop- 0

eration between local authority social services and housing associations, the

~ t1
~

"
0
b
involvement of other local networks and other innovations in the day-to-day '0->
management of troubled housing estates. Support for tenants' advisors and Ii
."
social activities are aimed both at strengthening the organisational function- ~

E
"-
ing of housing associations and improVing the social conditions and func-

J:C'H
-s"

r
~
tioning of specific groups of tenants. finally, there are a number of specific 1:
;:J
measures which aim 10 improve the social conditions of immigrant groups. ~

"'"
E
"-
~
~
Civil society: where is Denmark heading?
~

" bJJ ~
c "
~
'"bJJ
~
c::
'u
~
v "E
The Urban Committee's initiatives can be seen in terms of a coherent strategy E
E '""c
C
v
:e
-;;;
u
'in
'"e
> "E"
to intervene in the downward spirals of troubled housing estates. However, '-' LC 0:; >- D- E
o
0.. ..c §
'"'"
.I~~ .. <1uestions about the future direction of the welfare
..... i .. " tTll1/"h Winf'T E
0
u
CL
'""
~

~
126 SOCIAL EXCLUSiON IN EUROPEAN CITIES
The Nordic welfare model is based on both a common history and a com-
mon memality: 'We have a social responsibility for those who cannot care for
themselves.' In Denmark, this model has become a well established system
characterised by three general social processes. first, it has supported the de-
velopment of a very strong bureaucracy based on the concept of equality, or
equal possibilities for everyone. Second, the management of societal respon-
sibility for individuals has become strongly professionalised. Third, very
strongly institutionalised solutions have been developed for handling indi-
vidual needs and as part of a need to contain bureaucratic and professional-
ised practices within the welfare state. Over a long period of time,
bureaucratisation, professionalisation and institutionalisation have come to
dominate the original aim of entering into a caring social relationship with
individuals, who have needs (Vestergaard 1992). As a consequence, the mar-
ginalised and excluded individuals who are concentrated in troubled estates
are victims of the general development ofthe welfare state, and, even more, of
more recent changes designed to keep the costs of the welfare state down in a
period of slow or stagnant economic growth.
At the same time, it is important to locate troubled estates in the context of
changes in the general housing market. Between 1950 and the mid-1980s,
the steady increase in social housing played an extremely important and sta-
bilising role in the relationships between social rented and private rented
housing, on the one hand, and between rented housing and owner occupied
housing, on the other hand. In the middle of the 1980s, the balance between
rented housing and owner-occupied housing shifted dramatically, partly as a
consequence of tax reforms which reduced the value of deductions for inter-
est payments on mortgages in the calculation of taxable income and which
contributed to the crisis in owner-occupied housing. This was the beginning
of a larger strategy to cut the very high level of direct and indirect subsidy in
the housing market and has been reinforced by further tax reforms. At the
same time, the private rented housing market is virtually immobilised by rent
regulations introduced during the Second War The sector is characterised by
very low rent levels, by an unwillingness of tenants to move out and by land-
lords who let their property deteriorate. Three years of committee work to
change the regulations governing the private rented sector have not led to
any politically feasible proposals for change (Boligministeriet 1997). This is
creating a major obstacle to reducing sl1bsidy levels generally in the housing
market. finally, the financial arrangements for social housing mean that rent
levels in the older stock are very much lower than in the newer stock. These
imbalances throughout the housing market mean that households who will
never be in a position to pay their own housing costs are trapped in the new-
1'0:'1 'In,-{ mnct pvnPfnivp hOlldna in the social sector.
TROUBLED HOUSING ESTATES IN DENMARK 127
The general aim of welfare state, housing and taxation reform in Denmark
is to fundamentally alter a situation in which very high taxation levels feed a
high level of direct and indirect subsidy. In housing, the specific aim is to
move to a system in which households are subsidised according to their social
needs and not according to the type of tenure which they happen to occupy.
However, it is clear that this specific aim for housing cannot be achieved
without more general reforms in the welfare state and taxation structures.
[n debates about the welfare society in Denmark, it is often claimed that
neither the state not the market can solve current social problems or meet
needs for social caring (cf Vestergaard 1992). The intended direction of
change is neither more state nor more market, but more community or civil
society. The challenge is to define what community means in practice since it
is often only noticed by its absence.
Within this context, the Urban Committee's initiatives can be seen as an
attempt to change a small part of the welf"re system in the direction of com-
munication between social groups in order to help the local community or-
ganise itself to fulfil the societal responsibility which in the past has been met
by the welfare state. The initiative stresses the significance of strengthening
locally self-organised groups and initiatives, such as self-help groups, local
recreational and cultural activities, etc It acknowledges that the main prob-
lem, unemployment, cannot be solved through traditional initiatives either
from the state or the market. The vision behind the initiative echoes the ideas
which gave rise to the welfare state in Denmark, that all individuals must be
given the opportunity to establish good everyday lives for themselves and
that nobody should have to live in an area in which accelerating physical and
social decay is an accepted reality. Through the Urban Committee's initia-
tives to improve social housing, housing areas and their surrounding environ-
ment have become the central focus for effotts to improve everyday life for
tenants.
References
Allen, B. (1994) 'The social structuring of relationships between organisations and
inhabitants.' CSTB, Paris. Paper presented to ENHR Conference, Glasgow.
Andersen, J. (1994) Etftnn,gernr mcd EUs frt~i(frttf(gdomJprogram i Danmdrk. Kobenhavn:
Center for Social Integration ilnd Differenriation'. Copenhagen Business School.
Boligministeriet (1996) Kravsperifikarion vcdrorcndc 'Kvartcrs[aft-model.projekter'.
BYrJdvalget (The Governmental Urban Committee), Boligministcrict (Danish
Ministry of Housing and Building).
Boligministcricl (! 997) 'Lcjclovskommissioncns bet<£nkn iog.' Bcrxnkning nr. I 33 I.
128 SOCIAL EXCLUSION IN EUROPEAN CITIES TROUBLED HOUSING [STATES IN DENMARK 129

Bonetti, M. (1994) 'The joint produclion of social relationships by urban manilgcment Nordahl, B. (1994) 'Social integration og socia!e rclarioner i boligolndder' -
systems and inhabitants.' CSTB. Pari,~. Paper presented to ENHR Conference, Problf~rnslilljng.~notrH for sammcnlignendc studicr i Norsl<c boligomddcr. Internt
Glasgow, nolal Norges ByggforskningsinSlittHt.
Byudvalget (1994,) Rapport fto byudvalge< L K0benhavn, Indenrigsministeren, Pedersen, K. (1994) Saul/ko p}'~iek(((. Evallierinpra/lporl - 5. Af.~lutning. K0bcn havn:
boligminislercn, juslitsminislcrcn, kirkcministcrcn, socialministcrcn og SAMIKOpro;cl<tet
undervisnin gsm inistcren. power, A. (1991) HOl'Cls to High Rise. Sldte Howing in Europe Sma 18)0. London:
Byudvalge< (1994b) Rapport fra byudvalget 2, K0benhavn, Indenrigsministeren, Routledge,
boligrninistcren, juslitsministeren, kirkeminislcrcn, socialministeren og Socialministcrict (J 994) BohgomrJder med $Ociale /lmh/emer. Kobcnhavn:
undervisni ngsmin iste reno SariaIIII in iste riet.
Carlson, Y (1992) Det kompliserte n",milj0arbeidct, am mulighctcr og hindringcr i Sl2lhoh, S. (1992) 'Lol<alt s;llnarbcid me 110m [rcdjc selHor og kommuller. Ny giv for
arbejdet med Ii utvikle lokalsamfunn. Erfaringer fra n<emiljofors0kene 1987-1991. vclf<crdss[:lten. Tcndcnsanalyse av 25 forsok med lokah samarbeid.' Norges
Norsk institut for by- og regionsforskning, NIBR, Oslo, byggfors kni 11 gs ins! it ul t.
Christiansen, U" Kristensen, H" Prag, S, and Vcstergaard, H, (1991) Bltv bdl)'ggdm-n, Veslcrg,1nrd, H. (1992) 'The changing fate of social housing in a small welfare stale -
b,drr' Forrloblg' <rfarill,g<rfro Jorb,dnngm 015 nym <tagrbol\,!,mrad<r; (Th, Howlng the Danish case.' In LJ. Lundqvisl (cd) Policy, (Jlganizlttion, Tenure - A Comparative
EJtattS - r¥dJ tht Improvement SUCCCJs[u/? Preliminary Expcrimcc from the Imprm1emmt of l-/istOl)1 of HOIJJing in Small ~'i/f:lfare Slam. Gotcborg: Scandinavi:m University Press.
5 Recwt jHlllti~Storry EJram). H0rsholm: Statens Byggeforskningsinstitut. pp,3745,
Forskergruppen for de< nye hverdagslivet (1987) Veicr til det nye hverdagsliveL am Vestergaard, 11. (J 996) Improvemellt of deprived urban housing areas - currcnt
integrering av hverdagslivets opgaver pa et mcllomniva.. Nordisk Ministerdd 1987. policics in seven european countries.' Paper for the ENHR Housing Research
Harloe, M, (1994) 'Social housing - past, present and future,' HOIlJlng SOldi" 9, 3, Conference in Denmark: 'Housing and European Integration, Workshop 20: The
Harloe, M, (1995) Th, Propi<s Homr? Socidl Rrnrrd Hou'lng III Europ' and AmmCd, Future of High-Rise and Other Problematic Housing Est;Hes,' Helsingor Augusl
Oxford, BlackweiL 26-3 1,1996.
Huttman, E,O" Blauw, W, and Salt man, ), (eds) (1991) Urban HOI/sing S'grrgation 01
Minoritin in Msrcrn Europe and rh, Uniud Stares, london: Duke University Press,
J"'ger, B, (ed) (1993) 'Development programmes as a strategy to innovate social
policy.' Konferencerapport AKF og SFI. Conference paper, Copenhagen.
Kempen, E,T, van (1994) 'High-rise liVing, the sociallimilS to design,' In B,
Danermatk and L Elander (eds) Socral Rrnrrd HOl/,ing In Europ,: Poltey, TrJlllrr and
Dwgn, Delft, Delft University Press,
Kjeldsen, J, (1992) Haud, de rad nok -lokalt? - Na,d, d, malrne med Borgcrinddragti,,- og
Koordlnmng,projektrt I Aalborg 05/, En evall/<ring al ,t SUM-proj,kt, Aalborg, Alfuff,
Kj",r Jensen, M, (1988) 'Undersogelse af sociale nelY",rk i B.llerup og Harsens
kommuner.' Ikke publiceret notat. Unpublished.
Kj",r Jensen, M, (1992) SllIt-SUM En ,ammmfaming al pro),kt<rfanng,rn, fra
Soc(alnlllllJt{M'aJ Udviklingsprogram. Kcbenhavn: Socialforskningsinstituttet. Rapport
92,18,
Liedholm, M, and Lindberg, G, (1994) 'Breaking vicious circles, objects and ways of
how housing enterprises and residents cail stop the deprivation of the
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Miljoverndepartelllcntct (1994) 'Vcilcdning. Oct organisenc mangfold.' Erfaringer fra
statsligc n~rmilj"fors"k 1987-1991. Oslo.
 CHAPTER SEVEN

Exclusion, Invisibility and the

Neighbourhood in West Dublin
Brendan Bartley

Recent research suggests that contemporary economic and political forces are
creating new forms of urban identity as cities become more competitive and
entrepreneurial in an era of intensifying globalisation of manufacturing,
trade and finance (Brotchie rl at. 1995). Understanding the connections be-
tween places and prosperity has gained a particular urgency in the face of the
increasing economic exclusion and social polarisation that has accompanied
economic restructuring over the past two decades in Europe and North
America. During this period, urban Jiving environments have been funda-
mentally altered as many cities transform into post-industrial or postmodern
settlements. While new types of job are created in the high technology pro-
duction, communications and service seclors, unskilled and lesser skilled jobs
in advanced economies have increasingly been exported to the less devel-
oped regions. The net result is the coexistence of urban areas and populations
experiencing spiralling levels of unemployment, deprivation and marginali-
sat ion alongside areas and populations experiencing unprecedented in-
creases in amuence.
Ireland is now purported to possess a booming economy, as reflected in
the 'tiger economy' status attributed to it by economic commentators in the
mass media. Ilowever, it also possesses a set of urban problems recognisable
from accounts presented by studies of so-called underclass populations de-
rived from scholarly work in other parts of Europe and North America (An-
der.jen and Larsen 1995; Commission of the European Communities 1992;
1993; Mingionr 1996; Wilson 1992). Unfortunately, the research results of
such scholarly work and consequent policy initiatives are often obscured by
the term 'underclJss'. The undcrclass i1rgurncnt recognises lh,H certain popu-
I)2 SOCiAL EXCLUSiON IN EUROPEAN CITIES
tively little content to this exclusion. The. term social exclusion features
increasingly in policy debates about poverty In Ireland; however, whde there
has been some interest in both the construction of space and the ways that
community life is organised and managed in space, most of the rese~rch w.ork
conducted in Ireland has applied the term to rural settmgs and relatively ltttle
attention has been paid to urban areas. Consequently, there is an absence of
detailed knowledge about the actual neighbourhoods which contain the so-
cially excluded in urban areas. " troduction of the new open trade economic policies of the Lemass era in the
Moreover, the link between the role of the state as a pl'Ovlder of publtc sec-
tor housing and the diminishing visibility of increasingly spatially and so-
cially marginalised populations of urban poor is yet another area whi~h has
not been explored to any great extent in Ireland. That the margmaltsatlon of
specific populations is bound up with the built environment is now widely
accepted. In particular, the geographical concentration of ~xclud~d popula-
tions is acl<l1owledged as an inherent, If not always VISible, dlmenston of con-
temporary socio-economic reorganisation (Harvey 1989; Lefebvre 1974;
Massey 1994; Soja 1996). At a time when Irish governments are pursuing
policies of emciency and nexibility in the delivery of public services, the
former working class populations in some neighbourhoods experience a
seemingly inexorable decline into excluded underclass status and socio-
spatial invisibility. The phenomenon of the invisibility of poor places is the
reverse side of the trend towards the provision in cities ofsafe, controlled and
exclusionary spaces of consumption, to which access is monitored and po-
liced by surveillance technologies (such as closed circuit television) and
where only those with the requisite purchasing power are welcome (see Ma-
danipour, Chapter 4 in this volume). This area has also received little atten-
tion in Irish urban research (Bartley, forthcoming).
This chapter attempts to redress some of the deficiencies highlighted
above by providing a preliminary account of the situation experienced by a
disadvantaged urban community in Ireland. It shows how the neighbour-
hood unit has been used as the basic planning component of the planned new
town to the west of Dublin city. The spatial layout, urban design and housing
management features of the disadvantaged North Clondalkin area, located in
one of the new towns, arc examined to illustrate: first, the extent and varia-
tion of segregation and social problems within this part of the new town; and
second, the manner in which North Clondalkin is isolated from and its prob-
lems rendered invisible to residents of more prosperous parts of the city. fi-
nally, the present situation and future prospects of North Clondalldn are
reviewed in the context of the current debate about the links between social
polarisation and macroeconomic policy in a time of rapidly intensifYing
EXCLUSION, INVISIBILITY AND TIlE NE1CIlAOURilOOD IN WEST D1JOUN I))
Modern planning
Ronanstown (Lucan/Clondalkin) is one of three new planned towns in west
Dublin built to accommodate the future growth of the city. The new towns
were designated on the basis of a deliberate planning strategy adopted by the
Dublin local authorities for the Dublin Region in the 1960s and 1970s. The
new emphasis on planning and an accompanying settlement strategy was
linked to a change in macroeconomic policies at the time. Following the in-
early 1960.1, the Irish government accepted expert advice from the World
Bank and United Nations about the need to introduce a new physical plan-
ning system to facilitate and regulate the changes which were expected to
emanate from the newly embarked-upon course of economic development
(Bannon 1989; Downey 1996).
New planning legislation was inrroduced in 1963 and local authorities
throughout the country were assigned the responsibility for devising and im-
plementing spatial development plans for their areas of jurisdiction. Scope
existed at this time for executive agencies other than local authorities to be
given the role of overseeing the preparation and implementation of develop-
ment plans by using, for example, semi-state bodies. However, this did not
happen and state land usc planning in Ireland thus became a purely local gov-
ernment function. To renect this, local authorities were also given the formal
title of planning authorities. To assist the recently established planning
authorities with their new tasks, prominent British planners were commis-
sioned by the Irish Government to prepare regional scale strategy plans as
frameworks for the preparation of the statutory local plans. In 1964 the Gov-
ernment's Programme for Economic Expansion defined nine planning re-
gions for the country. The planning consultants Nathaniel Litchfield and
Myles Wright were asked to produce advisory plans for Dublin City and the
Dublin Region, respectively, which would spatially articulate the national
economic policies and provide the physical basis for their implementation by
the Dublin planning authorities. The eminent planner, Colin Buchanan, was
given the broader remit of providing a regional planning framework for the
rest of the cOlintry (Bannon 1989: Davis and Prendergast 1995).
New towns
For Myles Wright, the main problem facing the Dublin Region was tapid
population growth. He forecast that the population of the region would in-
crease by about 300,000 between 1961 and 1985 with much of this growth
taking place as subllrhall development in the metropolitan area. Wright did
IH SOCIAL EXCLUSION IN EUROPEAN CITIES
the central city area and, accordingly, prepared a plan to accommodate the
anticipated population overspill from the city. He identified the major geo-
graphical constraints to future growth and, by process of elimination, sug-
gested that the main location for future settlement growth should be to the
west of the city. To the east lay the natural barrier of the Irish Sea while devel-
opment to the south of Dublin was blocked by the Wicklow Mountains. Dub-
lin Airport and its flight zone hinterland was an obstacle to northerly
development. West Dublin was thus selected by default as the most appropri-
ate area to cater for future growth (Wright 1967).
Wright recommended the creation of four new towns in this part of Dub-
lin linked to the four existing villages of Blanchardstown, Tallaght, Lucan
and Clondalkin. The Dublin planning authorities incorporated the Wright
proposals in modified form in their Development Plans from 1972 onwards.
The Lucan and Clondalkin axes of Wright's scheme were amalgamated under
the proposed name of Ronanstown. In summary, instead of providing four
linear shaped towns to accommodate the expected 300,000 population
growth, three concentric new towns were designated with target populations
of 100,000 each. The village areas around which the new towns were to be
built would eventually form an outer arc from the south west to the north east
of the city, transforming Dublin from a small, compact high-density city into
a large, sprawling decentralised metropolis around a declining inner city
(Conlon 1988; Downey 1996). The devclopment of the new towns was gen-
erally allowed to occur on a lalSSez-fitire market basis with guidance for pro-
spective developers about the locations of commercial and community
infrastructure being provided by the Development Plans of the two Dublin
planning authorities. It was envisaged that mutual and complementary plan-
ning and housing objectives could be pursued through cooperation as the
two authorities shared the same chief planning officer and a joint City and
County Manager (Bannon 1989; Davis and Prendergast 1995).
The neighbourhood unit
While the new towns were to be located in the Dublin County area, the City
planning authority was the prime mover in the programme. They had the
greatest housing needs and purchased large tracts of lands in each of the new
town areas in the County. The neighbourhood unit was adopted as the over-
all design principle for the layout ofthe new towns. The neighbourhood unit
had first appeared as a planning concept in the work of Clarence Perry in the
United States in the 1920s. Writing about 'Housing for the Machine Age',
Perry proposed that housing layouts should be designed on a cellular basis
which would confine local vehicular access to terminatin~ traffic whirh had
EXCLUSION, lNVI5f81LllY AND THE NEIGHBOURHOOD IN WEST DUBLIN I JS
genuine calls to make in the area, and divert all other through traffic to bypass
the area along major traffic roads which would form unit boundaries. Within
these roads, the location ofshops, schools, churches and other community [.,-
cilities would be decided in advance with a view to maximising access and
safety for pedestrians generally and young people in particular. The underly-
ing philosophy of this approach was that small-scale arrangements of dwell-
ings could permanently enrich community life by stimulating frequent
interaction between residents and engendering a spirit of neighbourliness
through spontaneous cooperation (Hall 1989).
Perry's ideas were imported to Dublin via British planning. The neigh-
bourhood unit was endorsed in Britain by the Dudley Report on Housing
Standards and the Reith Commission Report on New Towns, both ofwhich
were adopted by the British Government at the end ofthe Second World War.
The Reith Commission proposed that residential areas should be planned in
the form of neighbourhood units of 5000 to 12,000 population, each with
its own amenities (shops, community centre, primary school and chapel). The
aim was that every primary school child should have a walk to school of no
more than five minutes and that all housewives would have similar access to
local neighbourhood shops. It was also envisaged that new towns produced
on the neighbourhood principle would help to reduce class segregation and
produce socially balanced communities (Cullingworth and Nadin 1994;
Greed 1993; Hall 1989).
Social engineering: designing the transformed city
The new towns built in Britain over the next twenty years became laborato-
ries for testing many social engineering principles, including those of the
neighbourhood unit. In the period immediately after the war, the neighbour-
hood concept with its associated low density, low rise housing was generally
accepted by planners as the basic building block of the new towns. The
neighbourhood unit was successively adopted (Mark One new towns) and
abandoned (Mark Two version) as a basic building block of the new town in
the UK until it reappeared in some of the 1960s (Mark Three) new towns
which were designed to facilitate the increased choice available to residents
through the liberating benefits of the enhanced mobility afforded by car
ownership. It was one of these Mark Three new towns, Milton Keynes, which
Myles Wright attempted to emulate in his plan for Dublin. Milton Keynes was
constructed around a lattice of roads designed to enhance the acceSSibility of
the dispersed inhabitants to the spread-out services and activities of the
town. Basically, it was assumed that almost all households would have access
 SOCIAL EXCLUSION IN EUROrEM'J CITIES
I hemsclve~ ofa wider selenion of geographically dispersed services. Asingle,
high denslty, multi-functional urban centre was no longer e,lSential in the
new motorised age where freedom ofchoice was afforded by mass car owner-
ship. The road network based Milron Keynes frameworh was also the model
adopted by the 1971 Dublin Transportation Study, which was effectively a
transportation plan follow-up to Wright's settlement plan,
Although the Myles Wright plan was never formally adopted by the Irish
government and the 1967 Draft Dublin County Development Plan took little
account of his proposals, the situation changed dramatically with the 1972
County Plan. The Myles Wright strategy was now embraced for its potential
to tahe pressure off Dublin City's growing population and reduce pressure on
its radial traffic routes. It was the subsequent Plan of 1983 which made the
clearest statement of the commitment to the neighbourhood concept as an
integrated element of new town strategy for Dublin. Policy 2.4 of the 1983
Plan contains the following statement:
In the case of residential development for development areas, it is Coun-
cil policy to implement a strategy of neighbourhood community devel-
opment based on the residential community requirements of a
population of approximately 5000 persons, Aside from the provision of
dwellings, this concept includes the provision of a primary school,
church, local neighbourhood shopping and commercial facilities, sites
for a community centre and youth club and a local parle It is policy to
group these facilities in order to provide a focal point for each neigh-
bourhood. (Dublin County Development Plan 1983, pp.53-54)
In short, the 1983 Plan attempted to produce a Dublin version of Milton
Keynes by marrying Perry's neighbourhood idea to Wright's new town over-
spill philosophy and the associated road network proposals contained in the
1971 Dublin Transportation Study. The separate neighbourhood communi-
ties would be integrated by the provision of additional services (based on
higher levels of population) at central locations which would incorporate the
catchment population of the aggregated neighbourhoods. In the case of the
three new towns, the highest population aggtegate would obviously be the
new town itself and the highest level services and facilities available in each
would be located in a town centre at the heart of the new town.
Assessment of the Dublin new towns strategy
In early 1997, none of the three new towns has achieved their 1991 target
population of 100,000 and Tallaght is the only one with an operating town
~ ._ ..... --_ .. ~- ~~ ......... J"";,, ,.."rrpntl\J Ilnnr.f construction in Rbnrh:ud-
EXCLUSIOi'J, H-fVISlI3ILlTY AND TIlE NEIGI-lBOLJRHOOD IN WEST DUnl.1N I J7
of the three new towns but it appears that it will not now have a centrally lo-
cated town centre due to Ihe recent rezoning of, and granting of planning
permission for, an alternative edge of town site to allow a major regional
shopping and commercial complex to be developed at a geographically stra-
tegic node adjacent to the junction of the upgraded Galway Road (N4) and
the Dublin Orbital Motorway (M 50).
It may be too early to judge whether or not the Dublin new towns have
been a success Critics can certainly point to the time lag involved in provid-
ing them with town centres and other essential services. Perhaps these facili-
ties would have been available earlier if special executive development
corporations similar to those in the UK had been given the task of ensuring
their success instead of leaving their development to the vagaries of the pri-
vate market. However, this is a criticism of the approach adopted to imple-
mentation rather than of the need for or objective of providing new towns per
Sf. Perhaps the new towns were also built too close to the metropolis to be-
come autonomous, self-contained entities in the shan term (Dublin Trans-
portation Task Force 1986).
At a superficial level, the aim of achieving social balance in the new towns
appears to have been achieved. Analysis of 199 I census results suggests that
the social class proAie of the new towns compares favourably with distribu-
tions for other single class areas in Dublin, However, this global picture of the
social composition nf the new towns is seriously misleading insofar as it
masks significant internal patterns of socio-spatial segregation. Far from cre-
ating balanced communities the new towns may have accentuated social seg-
regation by contributing to the creation of new ghettos, areas of physical
marginalisation as well as social and economic exclusion, in the suburbs. This
issue will be explored funher here through an examination of the case study
of North Clondalkin in Ronanstown but many of the points made could ap-
ply with equal validity to problem areas in the other new towns.
Case study: North Clondalkin
North Clondalkin contains the three neighbourhoods of Neilstown, Row-
lagh and Qt1arryvale (see Figure 7. 1). Its boundaries are formed by the West-
ern Parkway Motorway (MSO) to the east, the Lucan Bypass (N4
Maynooth/Galway Road) to the north, the Balgaddy/Fonthill Road to the
west and the Grand Canal and Cork railway line to the south, There are ap-
proxiol,1tely 3600 houses in the area with very little variety in the type or size
of housing ava ilable: Yin uall y all of the houses in the area are three-bedroom,
two-storey buildings.
 1J R
SOCIAL EXCLUSION IN EUROPEAN CITIES
EXCLUSION, INVISIBILITY AND TIlE NEIGHBOURHOOD 11'1 WEST DUBLIN 139

What one sees if one ventures into North Clondalkin are littered and un-
kempt app:oach roads, run-down neighbourhood centres, public buildings Table 7.1 Profile of areas of need
which are Invartably surrounded by la:ge palisade fencing and shuttering,
poorly kept open spaces, a skylme dominated by large electricity pylons and NONh CloT/da/kln
housmg estates which face Inward and turn their back on the public are
The neighbourhoo_d centres which were to be at the heart ofeach neighbouar~ Indicdtors Nrilrrown ROJII/llgh QJ!arryJlafe

hood have f.1i1ed. 1 hey are run down and often contain many empty units. I population 4523 6855 2516
the meantime, the villages of Lucan and Clondalkin, located at the edges o~ 4.38 4.5
Average household size 4.0
the proposed new town, have become thriving shopping and business cen-
tres while North Clondalkin, which was intended to be at the heart of the O,{, Houschold.~ of 6 or morc 18.7% 22.9%1 24.3%
new town, is effectively isolated from both villages and is almost devoid of Primary school enrolment 632 886 935
facililies (Clondalkin Partnership 1996).
% Lone parent households 22.7% 23.8% 27.3%
The population of the area is estimated by the 1993 North Clondalkin
Task force Report to be about 16,300. This figure includes an estimated 450 Private housing 41.4% 35.4% 0,0%
traveHers who live in unofficial halting sites in the area. Looking at the com-
% Tenant purchflse 1.6% 30.2% 24.7%
parative age structure of the area relative to both Dublin City and Coullly and
the State, the 1991 Census confirms that North Clondalldn has an unbal- No. on transfer list 17.9% 22.3% 32%
al~ced age structure comprised essentially of young to middle aged parents Unemployment rale ofprJnciple earners 55.9% 73.4% 59.5%
With young children. More than 30 per cent ofthe population are in the 25 to
Average gross income· £t23 £121.93 £131.72
44 age group and over 40 per cent are less than 14 years of age:
The age structure is just one reason why North Clondalkin poses par- 0/0 Principle income < £ 150 gross 75.4% 77.6% 73.4%

lIcular SOCIal pl~nning problems. As a new community with little history
It has not Inhented any ready made solutions or structures to cope with
the demands confronting it now and in the future. (Collins and Crowley
1993)
Economic and social marginalisation: some indicators of exclusion
North Clondalkin is in many respects on the wrong side of the tracks. The
railway line IS a major boundary severing it from Clondalkin village from the
extensive private housing areas of both South and East Clondalkin 'and from
the predominantly County Council housing estates in the neighbourhoods
of West. Clondalkm. The North elondalkin neighbourhoods consist mainly
of pubhc housmg estates built by Dublin Corporation since the mid-1970s
;J!ongside a smaller number of private estates. Precise information about the
socia-economic structure of the area based on occupation is difficult to ex-
tract from the censlls becalJSe the enumeration districts used for North Clon-
dalkin include parts of West Palmerslown and Soulh Clondalkin both of
which are known 10 contain a relatively high proportion of resident; who fall
Inln the professional and managerial classes. The high percentage of local
'llld,,, .. ;,,, I,..,,, ... i"r. :~ ~ __ L_l.'-_.I t. l' ,. _ •
% Principle income> £200 gross 7.3% 5.6% 10.2%
struclllre in North Clondalkin. Local aothority houses account for 75 per
cent of ,til housing in the area.
Neilstown, Rowlagh and Quarryvale are all included in South Dublin
County Council's 1994 'Areas of Need' (CODAN) stlldy. The CODAN re-
port provides information for a wide range of indicators of disadvantage, in-
cluding details about income and unemployment rates for principal earners.
Table 7.1 summarises its findings in respect of some key indicators for the
North Clondalldn neighbourhoods. The socio-economic profile of the area
depicted by the CODAN Report indicates a population experiencing gener-
ally low levels of income and high levels of unemployment and dependency.
It is particularly noteworthy that over 80 per cent of principal earners in the
area fall below the national mean average weekly disposable income of £ 198.
The~report confirms what was already known, that the neighbourhoods of
North Clondalkin fall well below the national norms in terms of income,
status and job security. The absence of a major employer either in or adjacent
to the ;HC;1 compounds the effects of f11arginalisatioll experienced by the
140 SOCIAL EXCLUSION IN EUROPEAN CITIES
North Clondalkin occasionally features in the wider media. When this oc-
curs, it is usually as a result of some major law and order disturbances in the
,mao Homicides, drugs marches and riots, and assaults on Fire Brigade and
Garda vehicles have been among the more prominent events to have reached
public attention through the national print and broadcast media in recent
years. Perpetual problems such as joy riding receive little media coverage un-
less they are associated with a catastrophic outcome, such as a crash involving
death or serious injury. The Gardalare under instructions not to pursue stolen
cars into a number of the estates in the North Clondalkinneighbourhoods.
A report on UrbaTi Crime and Disorder In Nor/b Clnndalkln was produced in
1992 by a Government interdepartmental group following a number of me-
dia reports on major calamities in the area (Department ofJustice 1992). This
report contains very little contextual information about North Clondalkin
and no comparative or historical crime data. Not surprisingly, therefore, the
analysis section of the report is weak. It does, however, supply an extensive
range of conclusions and recommendations. One proposal considered by the
Gd/·dal but not included in the report WaS the feasibility of installing a closed
circuit television (CCTV) system for the purpose of monitoring potential
criminal activities on the approaches to and within the area, particularly
along the central road spine (Neilstown Road). A number of the suggestions
for improvement which appear in the report concern specific aspects of law
and order, health care, education and environmental matters involving vari-
ous bodies in the public sector. There is an implicit acknowledgement in the
report that North Clondalkin is a marginalised area which has been neglected
by the public authorities.
Another North Clondalkin Task Force Report, commissioned by the local
communities themselves, goes further in its analysis of the dirnculties facing
the area. It points out that the failure to provide the planned town centre for
Ronanstown, coupled with the fail-ofT in housing construction in the area
since the mid-1980s (only about half of the allocated space has been built
upon), has seriously impinged on the quality of life in the isolated area of
North Clondalkin: 'The area remains in something of a planning limbo, lack-
ing amenities, industrial, recreational and commercial infrastructure and em-
bodying a general sense of being unfinished' (Collins and Crowley 1993,
p.7).
North Clondalkin has been included in those areas which are to receive
funding under the European Union Urban Initiative (Taoiseach's Ornce
1996). The area has also been included in the Draft Ared Action Plan prepared
by the Clondalkin Partnership for the wider Clondalkin area. Energy, enthu-
•.• I'
EXCLUSION, INVISIBILITY AND THE f-lE1GHAOURHOOD IN WEST DUBLIN 141
to be physically and socially isolated from, and invisible to, more prosperous
parts of the city.
Transportation: exclusion, entrapment and fragmentation
The physical isolation of North Clondalkin is ironic given that it is defined
geographically by major road networks. The only available direct acces.s t~
the villages of Lucan and Clondalkin for the residents of North Clondalkm IS
provided by the Fonthili/Newlands Road which crosses a narrow smgle-Ian.e
bridge over the railway line to the southeast of Neils town. In reference to thiS
geographical divide, the local community information newsletter has com-
mented:
It's only a 19th Century crossing over some railway tracks, yet it must
rank as one of the great physical dividers of our time. Not as interna-
tionally famous as the AlIenby Bridge across the River Jordan but every
bit as divisive. (The Buzz, November 1994)
The provision of a planned internal road which it is claimed ,:ould unite
Clondalkin (the Fonthill Road extension) has until recently remamed low on
the Council's list of priorities for new road spending. While the construction
of this road might improve the situation for pedestrians and public transport
services in the area, such benefits are not self-evident since the road is not de-
signed to cater for them but for private and commercial traffie. Car owners
would certainly be amongst the chief beneficiaries of the new Imk road.
However, it would not significantly enhance accessibility by means of private
car for most residents of North Clondalldn: 'Car ownership is much lower in
the area than nationally, reflecting higher levels of unemployment and pov-
erty. 67% of households in Rowlagh for instance are without a car' (Clon-
dalkin Partnership 1996, p.20).
This raises some further ironic points about the layout of the new town
neighbourhoods in North Clondalkin: in addition to being defined by r~ad
boundaries, the housing estates which comprise the neighbourhoods are 111-
tentionally designed to cater for the needs of the private car. The estates with
most roadspace are the local authority estates. These, of course, have the low-
est levels of car ownership. Viewed from aerial photographs, the cul-de-sac
style layouts of the public housing areas display far more imagination and de-
sign variation than the straight line rows of housing which are more typical
oftne private estates. The fundamental influence on the layout patterns in all
cases is the roads hierarchy with roads at each level feeding sequentially into
higher order networks to provide a widening range of access for motorists.
_ r, . t l. ' ._. .1.-_ I__ .• ~~t-.~L-I ..... "tl~ thl' hlnh ..
141 SOCIAL EXCLUSION IN EUROPEAN CITIES
able to take advantage of the potential of the wider roads system. Moreover,
the resulting reliance on public transport does not provide much compensa-
tion for this deficiency. Sprawling, low density, low rise, cui-de-sac style sub-
urbs provide the worst possible opetating environment for urban bus
services. This is reflected in North Clondalkin where buses are not free to en-
ter and wind their way around the various estates to collect passengers, with
the result that the available service is confined to just two main routes (Neil-
stown Road and Coldcut/Balgaddy).
The assumptions of the Milton Keynes model that residents would have
the freedom to avail themselves of services and r.1cilities spread over a wide
geographical area do not apply to the impotted version implemented in
North Clondalkin. Instead of an expansive outward linking orientation, the
area has the restricted inward focus of an isolated enclave. This implosive
quality is reinforced by the fragmenting effect created by the internal design
of the neighbourhood housing estates with their emphasis on separateness:
separate neighbourhoods, separate estates, separate house clusters and cul-
de-sacs. In the absence of opportunities for social interaction due to the lim-
ited public transport service and the anti-pedestrian bias of the road-oriented
estale layouts, this accent on diminishing, small scale identity militates
against the development of social cohesion in the area. Internal differentia-
tion and competition is stressed at the expense of local integration and area
unity.
The internal geography of exclusion: housing status and segregation
The CODAN report presents aggregate results for neighbourhoods which
mask internal differences between the neighbourhood estates. Apart from the
clear cut distinction between private and public authority estates there are
very definite distinctions between the local authorily estates. There is a spa-
tial pattern and logic to the apparent differentiation. The ratio of public to
private housing in the three neighbourhoods increases with distance (and
isolation) from Clondalkin village. Neilstown, the neighbourhood nearest to
the village, has 42 per cent private housing. This compares with 35 per cent
for Rowlagh, which is located between Neilstown and the most northerly
neighbourhood, Qtmryvale, which has no private housing. Moreover, the
local reputation of the public housinf, estates appears to be positively corre-
lated with proximity to Clondalkin village. The status of the local authority
estates diminishes as one proceeds northwards aw,y from the railway bridge
which connects North Clondalkin with the village.
This directional pattern is also apparent with the variation in visual quality
nrthp PC't.lt C'. II, j" n .. r..n ,.fnrl; it> th ~ __ ~c .. t._ 1_
EXCLUSION, INVISIBILITY AND THE NEIGHBOURHOOD IN WEST DUBLIN t4l
vironment as one moves northwards, with the interiors of the local authority
estates closest to the Lucan bypass showing the gre'test evidence of degrada-
tion and neglect. Interestingly, the appearance of the housing terraces front-
ing onto the roads which bypass these estates is usually amongst the nnest in
the locality. However, the visual amenity of the housing and its surrounding
environment deteriorates as one penetrates deeper into the estates. Once
again, the best is on the outside while the worst is hidden away from public
view. A survey by the author of one edge of estate street at Shancastle in
Qlarryvale revealed that all but one of thirty houses facing onto the main
road were being purchased by the occupiers from the local authority. This is
far above the prevailing 18 per cent average rate of tenant purchase for this
240 house estate as a whole. With one exception, the principal earner in all of
the households in the surveyed street was in paid employment. Again, this is
totally at variance with the general pattern ofincome for an estate where less
than 27 per cent of principal earners are in paid employment. The local
authority housing departments do not appear to have formal policies about
entitlement to housing at specific locations within estates. However, the ex-
tent of the clustering pattern along the boundaries of the estate suggests that
some sort of housing selection or allocation mechanism is at work in this in-
stance.
The private housing estates in North Clondalkin ,re located along the
outside boundaries of the three neighbourhoods. It is the private estates
which abut the most expansive areas of open parklands in North Clondalkin.
The value of private houses, as determined by price on the secondhand hous-
ing market, diminishes with distance from Clondal"in village. The more
northerly the house is located in North Clondalkin, the less it is likely to fetch
a good price on the open market. The private housing estate nearest to the vil-
I'ge and shown on all maps as part of the neighbourhood of Neilstown is, in
fact, physically separated from the rest of the neighbourhood. This estate,
Palmerstown Woods, is walled off from the surrounding local 'lUthority es-
tates and has a separate, external link road to Clondalkin village. Despite hav-
ing the closest proximity to Ciondalkin village of all the estates in North
Clondalkin, the claim to separate identity of this estate is asserted further
through its being named after an entirely different, higher status village
(Palmerstown) in the west Dublin area.
The recent resurgence of sales in the private housing market in Dublin has
not ~iven rise to further house construction in North Clondalkin. New low to
medium cost residential development in \Vest Dublin has tended to occur in-
stead'll the Lucan end ofRonanstown. Estate 'gents in Lucan say that most
new housing in the vicinity is sold on the basis that the Lucan area is distinct
~_l - -
14,1 SOCIAL EXCLUSION IN EUROPEAN CITIES
are buying into" more exclusive "rea which, despite its proximity to North
Clondalldn, is c1c"r1y scp:""ted from it, not only in terms of status but also
geographically because of the absence of connecting roads "nd the presence
of"n undeveloped buffer zone between the two areas. An attempt in 1990 to
have the formal single town (Ronanstown) development strategy overturned
and replaced by two autonomous town developments was unsuccessful. Nev-
ertheless, the sense of exclusivity in Lucan with regard to North Clondalkin
still prevails and is reinforced by the fact that virtually all of the new housing
complexes have been provided with protective boundary fencing which usu-
ally takes the form of ornate railed walls and g"teways which restrict entry to
the estates.
The wider geography of exclusion: physical isolation and invisibility
If their social and economic circumstances, together with the isolated loca-
tion and internal design of their neighbourhoods, combine to entrap many
local residents in North Clondalkin, these same features also serve to keep
outsiders away from the area. It requires a special effort to enter North Clon-
dalkin. The structure of the roads network hierarchy is such that anybody
who does not need to visit the area for a specific purpose will automatically
bypass it. Ofcourse, it is unlikely that residents from more prosperous parts of
the city would seek out the limited range of facilities in North Clondalkin in
preference to the presumably more extensive range available in their own 10-
calities. The problem reputation of North Clondalkin is another factor likely
to deter potential 'tourists' from visiting the area. Even when it is entered by
outsiders, penetration is limited by the cellular layout structure of the neigh-
bourhoods and the restricted access of the local authority housing estates. It
is usually not possible to drive directly through these estates: motorists enter-
ing the maze ofcul-de-sacs in one estate must find their way out again before
they can enter the next such maze in the adjacent estate. There is, therefore,
no inducement to enter a particular estate unless one has a definite reason to
be there. In short, the overall effect of the location and spatial design of
North Clondalkin is to make less visible the social exclusion experienced by
the isolated and fragmented communities of the area and to obscure from
general view the specific problems of its inhabitants.
In 1844 a German, friedrich Engels, arrived in England. He travelled to
Manchester and immediately made an effort to understand its overall struc-
ture, how each pmt relnted to the other. Making connections, seeing both the
details and the whole, Engels wrote one of the first accounts of what would
later be called the sociological view of the city. He noted that the wealthy
EXCLUS10t'1, IHVISJBlLlTY AND THE NEIGHBOURHOOD IN WEST DUBLIN 145
were seldom obiiged to sec the real living conditions of the poor labouring
districts:
The town itself is peculiarly built so that someone can live in it for years,
travel into it and out of it daily, without ever coming into contact with
the working ci:lss quarters or even with the workers. I have never come
across so systematic a seclusion of the working class from the main
streets as in Manchester. 1 have never elsewhere seen a concealment of
such fine sensitivity of everything that might offend the eyes and cars of
the middle classes. (Engels 1969, p.80)
Engels ventured into the back streets to sec for himself the living conditions
of the poor. He was shocked at what he saw and expressed his amazement
that 'such a district exists in the very centre of the second city of England, the
most import:Hlt factory town in the world' (Engels 1969, p.86). The descrip-
tion provided here of North Clondalkin has many similarities with the inner
city ghetto described by Engels. It is easier today to be aware of the problems
of inner city areas because of their immediate proximity to busy commercial
and employment districts. The problems in the suburban areas are harder to
see. Areas like North Clondalkin appear to be the relocated equivalent of old
industrial inner city problem areas, now moved to the invisible suburbs of the
new towns away from, and out of the sight of, residents and workers in the
more prosperous parts of the city.
In spite of the isolating effects described above, and despite evidence in
the CODAN sllrvey results that many respondents in the disadvantaged
neighbourhoods wish to move away from the housing estates in which they
now live, local residents are reported by the planners to be satisfied with the
neighbourhood approach to the development of the new towns. A planning
survey carried out by Dublin County Council in 1986 as part of the Develop-
ment Plan Review sought to establish the extent to which the application of
the neighbourhood concept by the Council had been successful in physical
and community terms. The survey consisted of interviews with the residents
of eight neighbourhoods, two of which (Neilstown and Rowlagh) are lo-
cated in North Clondalkin. The general findings of the report were that the
neighbourhood approach to the development of the new towns had worked
SJtisfactorily. Overall, it was found that, 'taking everything into account',
most residents were satisfied with their neighbourhood. [n particular, resi-
dents expressed a high degree of satisf.lction with the design layolll (emphasis
added) of their local areas and neighbourhoods (McCarron 1988, pAl. This
sltuatton can be explained by a critical review of the role of planning in the
shapll1g and reshaping of modern cities.
14(i SOCIAL EXCLUSION rl'l EUROPEAN CITIES EXCLUSION, INVISIBILITY AND TilE NEIGHOOURI-100n IN WEST DUHLlN 147

Planning and social engineering Table 7.2 Differing explanations of urban problems
In broad terms, urban planning is thought to be concerned with the coordi-
nation of land uses and development activities. [t professes to ensure that fu-
Thrnrel/ral modr! r{ fxplanalltm r!flhr Local/Oil oj Ihe Kf)' conapl Typ~ of ch>1n..~~ Melhnd oj
ture development is rational and that it does not unnecessarily damage or t!lr prfJblrm !'rfJb!rm problrm almedjor rh,m,~r
waste architectural, environmental or community resources. Beyond this, it is
difficult to pin down exactly what planning is about. The role of planning Culture of Problems ~riling In the internal Poverty Bt'llcr ~diusted Social
poverty flom lhe inlernal dynamics of and less eduration and
and the range of purposes it ought to serve are matters of continual debate. parhology of drviant groups deviant people social work
Within this debate, however, the justification for the intervention of planning deviant treatment of
groups
is usually attributed to the concept of the public interest. Planners are typi-
cally portrayed as politically neutral, technical experts who serve the public Cycle of Problems arising In the Deprivation Mor~ Compensarory
by providing advice about the best use of state resources and warning against deprivalion from individual relationships integrated ;('Idal work,
psychological between self-supporting support and
potentially damaging developments. However, like most human activities, handicaps .lnd individuaL\, families self-help
planning can have positive and negative outcomes in that different groups in<ldcquades families and
transmilled from groups
experience its results as beneficial or detrimental to their interests. our generation to
There is a growing literature illustrating the way in which the social engi- rhe nex!
neering side of planning has, through the introduction and use ofland zon-
Institutional Problems arising In the Disadvantage More IOlal and Rational soda I
ing and development controls, 'inadvertently' contributed to the problems of malfunctioning from failure.\" of Irlationship coordinated planning
residential segregation by allowing the wealthy to distance themselves from planning, brtv.'een the approadm by
the problems of the poor (see Gerckens 1994; Hartshorn 1992; Knox 1994). management at 'disadvantaged' the
adrninLuration and the burt'.ucracy
Urban planners are also, therefore, often depicted in the literature as urban bureaucracy
managers or social engineers (Kirk 1980; Knox 1995; Pahl 197 I; Saunders
1986) and as professing to be concerned with issues of social justice (Greed Maldistrihution Probft'rm arising Relalionship Underprivilcgc Realfoca!ion of Positive
of resources and from an belween the resources discrimination
1993; McGuirk 1995). As such, one would expect them to be concerned opportunities in~glJilable underprivilrgl.' policies
about the issues of marginalisation and social exclusion which affect places distribution of d and the
resources formal politic.1
like North Clondalkin. m~chine

Structural class Problem,1 arising Relationship Inequality Redistribution Changes in

Urban problems and urban analysis connlct from lhe berwecen the of power and political
divisiollS wodJng class control consciousness
Table 7.2 summarises the various approaches which have been developed to mcessary to and the "d
maintain an political.nd organization
explain and tackle the social problems associated with marginal urban areas. cconomic sysrcm economic
Most of these approaches assume that the causes of the problems are located based on privatc Slfucture
profit
within the areas themselves or the individuals and groups who occupy them.
Others attribute the problems to institutional malfunctioning or political ma- Social Problems arising Relationship Exclusion IllcJu~ion of ere.tion of
nipulation and assert that they can be remedied by appropriate corrective ac- polarhation from he/ween marginali.H:d forums and
rna rginafizalioll marginafiud' groups in structures 10
tion. I believe that the role of planners as urban managers and social of 'weak' g/OllP~ groups and political, social secure
engineers can usefully be understood in terms of the wider social system em- poli/iral and and economic involvement of
phasis which is provided by the structural conOict approach to urban analysis economic decision marginaJised in
,lrurturt t\1;1king decision
and that is the approach which is adopted in this chapter. processes m<lking
For structuralists it is not so much planning decisions as the underlying pres- proce,nes
sures associated with business competition and profits which determine the
th~lnp n(tn.\un<: :1n,1 ritif'<: in fnn.-!f'rn Tn:likpl f'f"nnnmipt In thil.: vipv'! nl::lnnino
 SOCIAL EXCLUSiON IN f.UROPEAI'/ CITIES
plays an important but secondary supportive role in the shaping of the bUilt
environment. The emerging spatial arrangements, or city shap~s, which fa-
cilitate competitiveness and profitability are those which planning, in the
public interest, is expected to secure,
The patterns produced are, of course, complex and dynamic because in an
open market system of intensifying, globalising economic competition, the
unrelenting application ofmore efficient technology and innovative practices
creates a continuous need for appropriate new urban environments. Thus, cit-
ies in the twentieth century have a very different appearance to that of their
predecessors. They are characterised by the development of high rise offices
in the central business district, decentralisation of industry and residential
suburbanisation, all of which can be shown to be important facets of the
modern market economy (Fainstein 1994, Knox 1994, 1995). The fluctuat-
ing urban patterns facilitated at different periods of city growth in this cen-
tury have included urban intensification (high density, high rise
development), de-urbanisation (decentralisation/suburbanisation) and re-
urb,1nisation (inner city renewal). All of these changes have been accompa-
nied by increased residential segregation (Bartley 1995).
Town planning: managing transformation and problems
Planning as a state activity has played a role in smoothing the way for the
emergence of these new city shapes or patterns. It manages these transforma-
tions (through development plan zoning and control policies) so that future
change is rationalised and undesirable change restricted where necessary. It
also manages the potential conflicts which arise in the course of these trans-
formations. In particular, urban planning plays a particularly important role
in fragmenting, or atom ising, the labour force while simultaneously defusing
conflict by ameliorating its living conditions. Urban growth and change
helps to promote profitability and competition for the business sectors. How-
ever, by spatially concentrating urban populations as labour and consumer
markets, urbanisation also increases the potential for a united opposition to
the prevailing social and economic arrangements. This prospect is pre-
empted by the state through various forms of control including the planning
and management of segregated housing markets and submarkets for people
with low incomes (Bartley 1995).
Thus, the widening social and geographical distance associated with the
growing polarisation of the wealthy and poor is one trend that accompanies
city expansion in modern market economy societies. Another is the increas-
ing residential segregation attributable to the fragmentation of the labour
.. .. " .
EXCl.USION, INVISIBILITY AND THE NEIGHBOURHOOD [1'1 WEST DUBLIN 149
ket. Housing is a commodity which can be produced and exchanged for
profit and, as such, the private housing market is part of the functioning mar-
I,et economy. However, housing also features as a welfare function supplied
to the poor by the state, which has the dual role of both regulating conflicts
between competing business sectors and mollifying the labour force by en-
suring that it receives basic essential services.
State housing, therefore, plays an essential role in pacifying and stabilising
the existing workfotce. The creation of an urban environment based on ho-
mogenised but distinctive and competing residential communities inhibits
the labouring class occupants from recognising their common interest in the
economic system. They are encouraged to identify with their respective com-
munities and to compete with each other on a local scale, so undermining
their potential to develop a sense of solidarity and their ability to seriously
challenge the existing rewards system. This, together with the activities of
other state-controlled institutions (e.g. education, the legal system, the me-
dia), serves to nullify latent opposition to the existing economic arrange-
ments, thereby reinforcing the authority of the dominant groups who benefit
from it.
Planning is implicated in this process but in the guise of a neutral technical
arbiter. Its biased innuence on the distribution of resources is disguised be-
hind its supposedly apolitical mask of serving the public interest. Applying
these arguments to North Clondalkin, we can observe that one of the main
tasks of modern planning has been to accommodate expanding business in
the city centre together with the resolution of prospective housing crises in
the City. This has involved breaking up and dispersing established communi-
ties and the creation of new dispersed and weakened communities based on
the concept of the neighbourhood unit. This idea has the objective of
'recreating' community identity by dividing urban areas up into the smallest
possible groups consistent with the efficient delivery of state-provided essen-
tial services such as roads and schools.
The neighbourhood, as we have seen in the case of North Clondalkin, is
usually constructed around the provision of a primary school and local shops
which are within a few minutes walk of all households in the unit and will
usually have a population which falls within the required efficiency threshold
of 5000 to 12,000 people. Asecondary school and other higher order serv-
ices can be provided efficiently in an amalgamated area consisting of two to
four such neighbourhoods. The dispersed and segmented population catch-
metlts ofthe.'e amalgamated areas can then be combined to justify the provi-
sion of further higher order facilities and so on. Thus, improved living
standards are provided in the most cost-effective way for the relocated popu-
I , I __ .t~ ~ri_:r._J _._J c__ , .ri...l : .... h", .... r''',..... <'<'' Th .. rp'llit" in
 150 SOCIAL EXCLUSION IN EUROPEAN CITIES
many places, such as North Clondalkin, is not an integrated larger commu-
nity but an isolated labyrinth of differentiated housing enclaves. Integration
in such cases only applies to the population figures used to calculate the opti-
mal location of necessary services.
In summary, the creation and reinforcement of community identity has
been a trad itional aspiration of modern town planning in Ireland. This objec-
tive underpins the neighbourhood principle upon which many new towns,
including Clondalldn, have been constructed since the establishment of the
Irish planning system in the mid-I 960s. However, it has become increasingly
evident in recent times that the neighbourhood-based new towns settlement
strategy has not secured social cohesion. On the contrary, it would appear
that this form of spatial planning has actually served to fragment communi-
ties and reinforce social segregation, as well as making the socially excluded
less visible, through its policies of relocating populations at the edge of the
built up area.
Local problems, the state and wider economic forces
The structuralist approach employed in this examination of the planning and
development of North Clondalkin throws an extremely negative light on the
problems facing the marginalised communities in the area. Urban planning,
in this view, was involved in the creation of North Clondalkin and is associ-
ated with many of its secondary problems of isolation, fragmentation and in-
visibility. Local government planning is also unable to solve the primary
problems of unemployment, deprivation and exclusion created by the mac-
roeconomic policies decided at central government level. Such problems are a
common consequence of macroeconomic policies which promote and sup-
port competitiveness and profit maximisation in open market economy con-
ditions. The processes of economic restructuring underway since the early
1970s have been accompanied by a homogenisation of macroeconomic poli-
cies across the nation states of the developed world. Increasingly, as the inte-
gration of foreign exchange markets and the globalisation of finance capital
links together their economies and leaves them exposed to the potential
flight of capital, many national governments have replaced Keynesian job
creation, growth oriented strategies with monetarist macroeconomic policies
designed to control inflation at the expense of their job creation and eco-
nomic growth priorities (Leyshon 1995). Paradoxically, in an era of unprece-
dented work restructuring, unemployment and job insecurity, this has
contributed to redefining the role of the state and the emergence of powerful
neollberal polilical ideologies which advocate that government can best help
In nrl\vir!p M,'HI inho:: 1.,,, I .... I/inn- h,,<'111 .... <'0:: rnrnn .. r;'; .... " , .. I", ~, ... ........ r
EXCLUSION, INVISIBILITY AND THE NE1GHBOURI-iOOD IN WEST DUBLIN lSI
government is urged to be more supportive of the business sector and to fur-
ther assist by both relinquishing control over public resources (privatisation)
and adopting a non-interventionist approach to market competition (deregu-
lation). Where the central state adopts this ideology, the locally experienced
effects of (and obligations associated with) the consequent economic, social
and environmental restructuring are typically the responsibility of local gov-
ernment.
Ireland is a highly centralised state in which local government has virtu-
ally no political power or autonomy. Town planning is part of the Irish local
(not central) government system. Area-based planning at this level cannot
provide definitive solutions to the problems created by the wider socio-
economic system when it is itself a subordinate part ofrhat system. It is espe-
cially ineffective at addressing local problems where it is obliged to protect
and advance the interests of the wider system. Urban planners in Irish local
authorities are in an invidious position. Criticisms of the localised outcomes
of macroeconomic policies are typically directed not at the instigators and
upholders of these central state policies, but at the local authority planners
who, as we have seen, playa mainly supportive and ameliorative role in im-
plementing them. The planners, therefore, are fall guys or piggies in the mid-
dle, providing a safe buffer zone for those business interests and central state
brokers who actually influence and make the key economic decisions which
ultimately affect local areas.
Conclusion
As the divergence between rich and poor grows in the western economies, we
now have a growing debate about the development of an urban underclass
for whom the drugs trade and crime increasingly offer the best opportunities
for advancement (Mingione 1996; Musterd 1994). The circumstances of this
underclass and the deprived neighbourhoods in which they live did not just
invent themselves. They are a by-product of the economic restructuring en-
gendered by free market forces and the social and economic policies to which
national governments subscribe (Barrf 1995; Hutton 1996). The pressure on
national governments in an increasingly open and, therefore, competitive in-
ternational arena is to implement market regimes and labour controls that
will attract mobile investment and promote international trade in goods and
services. The resullant emphasis on business shareholder interests at the ex-
peAlse of community stakeholder concerns produces the social polarisation
and segregation which translate at their extremities into the secured fortresses
(gated communities) of the included wealthy and the marginalised reserva-
... " r"'~~''''ril tion" (hi,I.1prl nhf'lfnd n( 11, .... pv,-llIrl',...,i nnnr In ... ,,;,.. Ion t. LI" •• ~_ 1 nn . . .
I 52 SOC1/\L EXCLUSION 1I-l EUROPEAN CITIES
Painter 1995). Meanwhile, the wealthy increasingly choose to provide their
own private pension and insurance cover and opt out of public welfare
schemes so that the welfare state and the wider community consensus it em-
bodies is continuously eroded. The diminishing contribution of the wealthy
also undermines the ability of the state to provide an adequate welfare safety
net for the unemployed as well as for the chronically insecure workers and the
new pOOl' (low waged, contracted and casual labour) created by economic re-
structlll'ing. A negative cycle is engendered whereby those who have well-
paid employment increasingly complain about the welfare drain on the ex-
chequer (and their tax contributions) arising from the growing demands as-
sociated with the increased poverty. The welfare state becomes a target of
criticism. An increasing reluctance to subsidise or support the besieged wel-
fare regime translates into discussions which define welfare, rather than pov-
erty and unemployment, as the problem to be addressed. Where the debate
calls for the replacement of welfare by workfare, with its emphasis on per-
sonal responsibility and the need for work incentives, unemployment and
poverty arc redefined as individual, personal problems (relating to some lack
of will to work) rather than structural ones (to do with lack of, and poorly
paid, jobs) (Painter 1995; Peck 1996).
Structuralist analyses typically assume that the actions of individuals and
groups are not autonomous, but are shaped by the imperatives of an eco-
nomic system which is driven by competition, profit accumulation and tech-
nological change. It has been criticised for its failure to make allowances for
the scope and ability of small, independent groups to influence urban change.
Many of the newer area-based approaches to local development are more
flexible in this regard. They fall into the category of approaches designed to
address the problems of social exclusion (see Table 7.2). Conceptually, the
social-exclusion focused strategies claim to combine the strengths and avoid
the weaknesses of the failed older approaches to tackling poverty (Room
1993). At a practical level, they enhance the prospects of implementing
grassroots, bottom-up initiatives through the involvement of local groups in
partnerships that link them with private enterprise, local government and
state sector agencies (Nexus, 1996). There has been much experimentation
with local development initiatives over recent years in Ireland which have
been favourably reviewed by the Organisation for Economic Cooperation
and Development (OECD). O'Toole (1996), in a recent review of an OECD
evaluation by Sabel (1996) of area-based partnerships, attributes the success
of these partnerships to the fortuitous coincidence of their flexible, middle
way approach ('between free market anarchy and statist inertia) with the
emergence of new decentralised and flexible business models in the global
. . • ..... L._ . . . : .., ...... 11 .. ... ~~~ .~(' .I..... "..,.
EXCLUSIUN, INVISIBILITY AND Tl-tE NEIGHBOURHOOD IN WEST DUBLIN 15)
local development initiatives has a specific remit to target those who are so-
cially excluded or in danger of becoming so. He also reiterates the concerns of
Pringle (forthcoming), who argues rhat it is a mistake to assume that re-
sources will be effectively directed to those in most need simply because pro-
grammes are administered locally and, in practice, it is those who are already
well resourced who are best placed to tap into new sources ofpubhc fundll1g.
In short, where funding is the product of a bidding process, the inverse care
principle usually applies, i.e. the likelihood of an area ~eceiving assistance is
inversely related to its need for assistance. In such situallons, tundll1g tends to
be allocated to those areas which make the strongest case (because they al-
ready have the capacity and resources to do so) while those which ar,. most in
need receive least because they lack the capacity to stake thelt clatm effec-
tively.
The area-based partnerships are still experimental and may become useful
additions to the array of strategies available for tackling the problems that ac-
company marginalisation and social exclusion. However, the problems also
need to be addressed at a higher level. It is difficult to sec how local, area-
based solutions can eliminate the problems experienced in areas of multiple
deprivation where the causes of those problems originate outside and not
within the area. There is a danger that these new area-based approaches may
turn out to be a cosmetic exercise that simply tackles the symptoms of the
problems without addressing their real causes. It would be a tragedy if the im-
pression is again created that something is being done if in reality these ef-
forts simply serve to deflect attention from the macroeconomic pohcles and
the wider forces of global economic development which ultimately produce
and compound the processes of social exclusion and marginalisation.
This chapter has attempted to fill some gaps in Irish planning and social
policy research by providing a prelimina.ry ~ccount of the situation experi-
enced by a disadvantaged urban commul1lty 1I11reland. Although It descnbes
a specific situation (that is, a particular place at a particular time), the analyti-
cal terms employed, such as exclusion and marginalisation, are understood to
refer to processes in which individuals and groups are gradually excluded or
sidelined from mainstream society. Of course, it is accepted that any under-
standing of such phenomena is further challenged by the fact that marginal
or excluded are at best abstract words. Any person in concrete social and his-
torical circumstances, at a particular age, has access to certain resources and
not others. Indeed, one explanation of the current inadequacy of social poli-
cios relates to a lack of knowledge about these exclusionary processes.
Clearly, we need to develop our understanding of the mechanisms leading to
exclusion. The process of social exclusion cannot readily be explained by
... : ........... 1... ;n~ir~tnrs. It involves a multidimensional and contextualiscd explora-
 SOCIAL EXCLUSION IH EUROPEAN CITIES
tion. It is about but is not limited to being poor, or unemployed, or belonging
to a minority in a segregated neighbourhood, or being geographically
trapped in an invisible part of town. The challenge before us is to develop
ways of thinking and writing about social exclusion that give it content,
while maintaining its flexibility.
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Saunders, P. (1986) SOc/dl Thtory dnd rht Urban Q!!(stion, 2nd edn. London: Routledge.
Soja, E. (1996) TI}/rdrp"er.Jollrnry to Lor Angrl" and Other R'dl dnd Imagmrd Plaw,
Oxford, BlackwelL
Sibley, D. (1995) Gwgrdph,(J of Exdurion: Soci'ry and Diffmnw m th, Wist. London,
Routledge.
Taoiscach's Office (1996) Operarional Programm~: URR4N - Jrdand. Dublin: Slationery
Office.
Walsh, J. (forthcoming) 'Integration and exclusion in rural Ireland.' In D,G.E Pringle"
al. (cds) Poor Pt:ople - Poor Places: Povmy PartrrnJ, Procesw and PoliClfs. Maynooth:
Geographical Society of Ireland,
Wilson, WJ. (1987) The Trll(Y D"ddvantag,d· Th, Inn" City, Th, Und"e/drS, and Public
Po hey. Chicago: University of Chicago Press.
Wilson, WJ. (1992) 'Another look at the truly disadvantaged.' Political Scimer Oi!-amrly
106, 4, 639·-656.
Wright, M. (1967) Th, Dublm R'glOn: Ad""ory Regional Plan and Final R'port Vols I and
2. Dublin, Stationery Office. ' decided policies being implemented in all fields of public policy, lies behind
CHAPTER EIGHT
Spatial Segregation and Social Exclusion in a
Peripheral Greek Neighbourhood
Annie VI)chea and Charalambos Golemis
Any effort to provide a comprehensive description of social and economic
developments in modern Greek urban centres must include the importance of
two factors contributing to the eventual creation ofserious problems of social
segregation and exclusion: the almost total absence of public housing policy
and the limited applicability of town planning.
The first factor is largely due to the virtual non-existence of a welfare state
in Greece and its consequent substitution by the family unit whose activities
extend to large areas of social and economic life, including housing as well as
education and employment. This structural characteristic of Greek society
not only was not averted by the state, bttt has actually been reinforced
through specific policies, non-policies and incentives, Trust in the effective-
- ness of the family's invisible hand, together with the power of the prevailing
system of political clientelism which promotes illegitimate claims or prevents
the inability to apply in practice various existing projects of town planning.
Small land ownership, another specificity of the Greek economy, further dis-
courages any substantial intervention in space.
Initially, the absence of state intervention seemed not to have any serious
effect on social cohesion. However, more recently, this superficial conclusion
has proved false. The traditionally strong ties of the Greek family, though still
existing, are not as close as in the past. furthermore, family income has been
severely reduced following the restrictive macroeconomic policies started by
thl" mid-1980s and intensified during the 1990s. These developments, to-
gether with a sharp rise in the number offoreign immigrants, mainly from the
Balkans and the former socialist countries of Central and Eastern Europe, as
", . __ :~~:- .. ..... f ,·..,r"rTf'pl: riC C:rf'p.k ori12in from the countries of the

," SOCiAL EXCLUSION IN EUROPEAN CITIES
former Soviet Union, all of whom flooded into the urban centres in search of
jobs, increased the number of segregMed and socially excluded neighbour-
hoods, especially in the Greater Athens area.
This chapter examines spatial segregation and social exclusion in
Maniatil<a-Aghia Sophia, a peripheral neighbourhood in Piraeus, the biggest
Greel< port. It is based on a EUROPIL project entitled 4 O!!.artiers-4 Vil/es:
Ti'dnsfer Method%giqlle el 7cclJll%,giqlle de Reqlld/ijicalion de O!!.arliers en mse.
The project WaS effected in the programme Exchange d' Expmence and was
submitted in April 1994. '
Housing policy and home ownership
During the 1950s and I 960s, self settlement was the predominant way of
housing all over Greece. This pattern was the result of deliberate state policy
and was followed not only by the upper classes, who assigned the construc-
tion of their homes ro architects and civil engineers, but also by the lower so-
cial strata in the urban centres, which included those peasants who had
abandoned the countryside during and immediately after the civil war
(1945-1949). This latter category built their dwellings almost completely
on their own, following the traditional methods used in their villages.
The 1960s marl<ed the start of a new period, in which the market for
ready-made houses started to function. One of the factors which contributed
to this development was the phenomenon of allliparochi. The term describes a
unique situation in Europe, in which land or old houses are purchased by lo-
cal contractors from their owners, who do not receive any money in exchange
but are given one or more flats in the blocl<s of flats erected in the site. Since
the 1970s and up to the present, self settlement has been continuously de-
clining, especially among the lower social strata.
The stated aim of postwar housing policy was the provision of a home for
everybody. This was not, however, pursued through public housing, which
amounted to less than 0.02 per cent of total housing production (Economou
and Sapounakis 1966, p.204). State intervention was based on a number of
direct and indirect incentives aiming to promote home ownership and the
marl<et for rented houses. These incentives ranged from tolerating the con-
struction ofhouses in areas not included in the city plans (and eventually le-
galising the houses) to increasing plot ratios and controlling the prices of raw
materials for building.
I Annie Vryrhea was the projccl leader and Charalambm Gofemis one orlhe learn's COmUll;1I1IS
and respolHihle for the case sltJdy of M;lnjaIH~a-AghiaSophi:l, logelher wilh Vassa Trova,
Niko.~ Bdavi!as ;md Noti~ Analli:ldis.
159
SPATIAL SECREGATION IN A PERIPHERAL GREEK NElGI1130URHOOD
Judging from the percentage of home ownership in Greec:, which is one
of the highest in the European Union (70 per cent m 1986), tillS housmg pol-
ic 'could be considered as highly successful. However, the so-~alled blllldmg
miracle of the postwar period, which led the authontles to c1atm that no sen-
ous housing problems existed in the country, soon proved not to have par-
ticularly affected housing condition.'. A number of Slud,es pUblIshed smce
1980 have shown that the situation IS far from Ideal. Housmg conditIons for
more than 65 pe! cent of households living in privately owned flats or houses
are low or very low by all acceptable standards. PenSioner couples and aged
. Ie \"Onlen are the two groups most seriously affected by bad housmg
smg , dd' . th 30
conditions (Kouveli and Sakellaropoulos 1996). In ~ iuon: mme an
er cent of households owning or renting better quality nats live m e:tremely
~ensely populated areas. Further, the number of degraded urban nelghbo~r­
hoods where social exclusion prevails and reproduce.' Itself I: steadIly 1l1-
. Fl' ally foreign immigrants and refugees are m a continuous search
creaSing. n , I< .
for housing, and homelessness, a phenomenon largely un nown m postwar
Greece, has already started to make its threatening appearance.
Maniatika-Aghia Sofia
The area of Maniatika-Aghia Sophia occupies the northwestern part of the
municipality of Piraeus, one of the biggest Mediterr~nean ports. It IS a periph-
eral neighbourhood separated from the city by an mdustrlal zone I<nown .as
the Agios Dionysios area. According to the populallon censuS of 198 I, Its
permanent population was 49,268 persons,. which amounted to 25.1 per
cent of the total population of Piraeus. Mal1lallka IS the product of the self
construction of unplanned houses, built over a period ,of almo.'t a century.
One can distinguish four periods in the neighbourhood s 11lstoncal develop-
ment.
FiI1l period: end of Ihe 191h cmlllry IInti/I922
During this period, the area could not be considered a proper neighbour-
hood. It was more an aggregation of one-storey houses, scattered around the
Karavas and Vokos hills overlooking the port of Piraeus. The area was mam/y
inhabited by Maniatcs, whose place of origin, Mani in the southeastern Pelo-
ponnesus, was (and, to a certain extent, still is) renowned for Its extreme pov-
erty and its puritan and patriarchal social ethics.
 160 SOCIAL EXCLUSION IN EUROPEAN CITI[S
Second period: /922 IIntll /944
In 1922, following the defeat of the Greek :Hmy in the war agaimtlhe Tuns, I bourhood.
I f f
a luge wave a re ugees flooded into Greece. Alarge number oflhem cam t
Pirae~s, which doubled its population during the period 1920-1 924. ;h~
SItuation was really dramatic and people were literally living in the City's
streets. Fo~ those who could afford to pay rent, Maniatika was an ideal place
to stay as It was located near the port and the factories where refugees wer e
.
trYing to earn their living. The house owners of Maniatika grasped this op-
portulllty and slarted renlll1g rooms at exorbitalll prices. As space was limiled
and 111 high demand, mosl of them started building new rooms, even in the
yards of their houses.
Third period: 1944 IIntil the end ofthe 19605
The period starting immediately after the Second World War marked the
transformation of the area into a densely popUlated neighbourhood. The
Greell CivH War (1945-1949) forced people living in the countryside to
leave theIr Villages and settle 111 the urban cenlres. This was especially true for
the inhabitants of Mani, which was the site of fierce baltles between rival
forces. During the I950s a large number of Maniates immigrallls came to Pi-
raeus and ~ith~r slayed with their relatives in Maniatika or bought tiny plots
In the areas hills, where they built their own small houses.
Internal immigration continued ulllil the end of the 1960s as the under-
development of the c~untryside forced more Maniates to leave their villages
and came to Piraeus In search of a job.
F01ll1h period:from the 19705 Oltwdrds
Duri~g this period, the neighbourhood has undergone major changes re-
gardll1g both Its spatIal and Its social and economic characteristics. Blocks of
flats, constructed mainly through d/ltipdroc!Ji, replaced the old one or two sto-
rey family houses. The new buildings were of rather low standards as local
;onstruct,ars tried to minimise costs. These deficiencies were subsequently
repaired by the owners them.selves either through personal work or through
paId work financed from theIr own small savings.
Maniates immigrants of previous decades, although still retaining ex-
tended family .traditions, with groups offamilies consisting of relatives living
In the same neIghbourhood and sharing tasks on a daily basis, started gradu-
ally to feel the air of the new times. At the same time, the new generations
Ihrough their education and liVing praclices, developed a new urban identit;
SPATIAl. SEGREGATION IN A PERIPHERAL CREEK NEIGHBOURHOOD 161
which differed substantially from Ihat of the elder inhabitants of the neigh-
Further changes in the characteristics of Maniatika have become evident
during the late I980s and the 1990.1. During this period, a large number of
low income wage earners and illegal foreign immigrants acquired rented ac-
commodation in the area, while a number of well-off inhabitanls moved out
in search of a more respectable neighbourhood.
Present economic and social characteristics of the neighbourhood
Maniatika-Aghia Sophia is a degraded area, inhabited by a mainly young
population (children up to the age of fourteen comprise 21.3 per cent of the
total population in 1981 and, according to reliable sources of information,
today most of the inhabitants are less than Ihirty years of age). The number of
illegal immigrants is high and steadily increasing. Most people living in the
neighbourhood belong to the lower income strala and work in Piraeus or in
the Greater Athens area. They are labourers in the port, sailors, workers in
factories or low-paid employees in the public or private services sector.
The inhabitants ofManialika working in Piraeus use the local bus service,
while those working in the Greater Athens area use their own private cars as
public transport services are completely inadequate.. Some of the neighbour-
hood's inhabitants work in local food stores, bakenes, butcher shops, furni-
ture stores and shops for domestic appliances. However, most people prefer
central Piraeus for their shopping as there they can find a wider range of
goods.
Unemployment in the area is higher than in Piraeus, with a rate which ex-
ceeds the national average, and hits mostly young people.
Social services are extremely limited and do not play any substanlial role
in people's lives. The area lacks a hospital and the existing schools and nurs-
eries cannot meet local needs. There is only a small sports centre and two cul-
tural centres, neither of which was functioning during the period of the
EUROPIL study. The area is not a pole of attraction for outsiders, while in-
habitants gather either in cafeterias and bars (young people) or in coffee
shops (older people) or, finally, in the centre of the neighbourhood where the
shops are located.
Despite changes in the population over the years, the larger part of the
neighbourhood's inhabitants are Maniates. These people, having arrived
from Mani during various time periods, have created a closely knit social
group whose members support each other in all fields of social and economic
life. They have transplanted their villages' traditions and way of life to the
162 SOCIAL EXCLUSiON IN EUROPEAN CITIES
city and they have tended to stick to them as a method of survival in an un-
friendly environment, resisting societal and cultural changes.
Some decades ago the extended family was a common phenomenon in
Maniatika. Even today, the head of the family (father or grandfather) has the
first say in the family's decision making, while the role of women and chil-
dren in this process is very limited. Old people and children are taken care of
within the family, almost exclusively by women, who care even for distant
relatives or neighbours. Thus, an informal support network is created, which
substitutes for the almost non-existent welfare state and provides the neces-
sary social services.
The process of degradation
The neighbourhood's degradation is the product of its historical develop-
ment, a long-term process associated with its spatial, social and cultural seg-
regation. The absence of any effective state or local authority intervention,
based on a study of the neighbourhood itself and a well defined plan of ac-
tion, is another aggravating factor.
On the spatial front, Maniatika-Aghia Sophia is virtually blocllCd along
three-guarters of its borders. To the north, the hills of Vokos and Karavas
separate it from the adjacent neighbourhoods ofPalia Kokinia and Nikea. To
the south and the south-east, three barriers separate the area from the centre
of Piraeus. The first is the railway lines, which are part ofthe national railway
network; the second is Piraeus street, a heavy traffic road which connects
Athens with the port of Piraeus; and the third is the industrial zone, the
Aghios Dionysios area, which is located between the neighbourhood and Pi-
raeus. The main road connecting Maniatika with the centre of Piraeus passes
through Aghios Dionysios which, during the night, becomes a no-man's
land. It is evident that the neighbourhood is almost completely isolated from
Piraeus, which is its main reference point for working, shopping, administra-
tive and cultural activities.
Although the area is not stigmatised in the literal use of the word, the de-
gree of its social segregation is very high. This segregation has accompanied
Maniatika right from its birth and has corne of age together with its growth.
Maniatika has traditionally been a neighbourhood of relatively poor or low
income inhabitants, mainly factory workers or labourers in the port of Pi-
raeus. The expansion of Piraeus during the 1960s created new areas within
its borders, which were also populated by people with low incomes. During
this phase many of its traditional working class neighbourhoods also became
middle class. Maniatika-Aghia Sophia did not follow this trend, most proba-
bly because of its proximity to the industrial zone and the port. The composi-
SPATIAL SEGREGATION IN A PERIPHERAL GREEK NE1GHBOURI-IOOO [6J
tion of its population gradually changed with better-off inhabitants moving
to more respectable neighbourhoods and the void being filled by poor in-
corners, a high proportion of whom are illegal foreign immigrants.
Cultural segregation is certainly to be associated with space, but also with
the social ethics of Maniates, who arc still the majority of the neighbour-
hood's population. In fact, Maniates share two opposing identities. On the
one hand, they live and work within the wider society with its modern and
postmodern values; on the other hand, they still retain (most of them, at least)
a strong cultural identity based on puritan and patriarchal values. For women
and young people, who do not have a decisive word in the society of Mania-
tika, there is only one choice if they do not agree with these traditional val-
ues: they have to leave the neighbourhood. Their departure widens the social
and spatial segregation of the area, depriving it of its more dynamic popula-
tion, and increases its degradation. Houses which were meant to shelter the
daughter's family have to be rented as the new family chooses another neigh-
bourhood to start its neW life.
Existing policies to combat degradation and social exclusion
According to the prevailing official view, Greece has not, until recently, faced
any serious problems of housing and social exclusion. As we have said in the
first part of this chapter and tried to analyse through the experience of
Maniatika-Aghia Sophia, this view is completely incorrect. Reality has be-
come evident through a number of studies and has recently started to worry
the authorities, who are in search of the appropriate policies. However, even
110W the interdependence of spatial problems and social exclusion has not
been fully realised ;md solutions are sought separately for each of these prob-
lems.
Furthermore, intervention at either the spatial or the social level is of a
rather general character and not directed towards the solution of the particu-
lar problems of a certain neighbourhood, taking into consideration its his-
tory, its social composition or its cultural values, that is, its specific problems
in space and society. The rehabilitation of Maniatika is an example of such a
general approach.
The situation in the area has been examined (and a number of measures
were suggested) in numerous studies of agglomeration. The most important
among them are the Spdtiall'roject and Planningfir the Greater Athens Area (a
study undertaken by Doxiadis Technical Office on behalf of the Ministry of
Planning and Coordination, Athens 1976), the project Capital 2000 (Lou-
kakis <I al. on behalf of the Ministry of Planning and Environment, Athens
1981), the J?f,f"ulctrifJT/ Plan/or At!JcfIJ l1!7(/ thr Areet o{ Piraetl.r (Ministry of Envi-
 SOCIAL EXCLUSION IN EUROPEAN CITIES
ronment, Planning and Public Works, Athens 1985), the study Dall' ACl'Opoli
dlAteneal Porto diPire(National Technical University of Athens, Politechnico
di Milano, Athens 1989), the Project Frammork for Aghios Dionysios - Pirae1l5
(Athens Organisation, Ministry of Environment, Planning and Public Works,
Athens 1991), and the Planning Studyfor the Rehabilitation ofthe Area ofAghios
Dion}sios of Piraeus (Association of Merchants of Piraeus, Piraeus 1993).
The Doxiadis Project envisaged the setting up of regional and planning
policies for the Greater Athens area with a 30 year horizon. The project did
not refer specifically to Maniatika, but to Piraeus, identifying a number of en-
vironmental, social and spatial problems, problems of education, bad housing
and infrastructure, and its suggested solutions were inspired by modern
movement ideas based on decentralisation and the sharing of inequalities
within the Great Athens area. Today, 20 years after the publication of the
study, Maniatika-Aghia Sophia is still trapped behind the industrial zone and
suffers from all kinds of degradation and social exclusion.
The Loukakis project was part ofa general study to revise the Greater Ath-
ens master plan, and by dealing specifically with Piraeus and the islands of
the Sapronicos Bay, provided the biggest Greek port with its first complete
master plan. The project endorsed Doxiadis' proposals on decentralisation
and made some reference to Maniatib-Aghia Sophia, proposing to end its
isolation by constructing a passage through the industrial zone of Agios Dio-
nysios which would connect the neighbourhood with the east coast of Pi-
raeus. The project also proposed a general framework for housing policy,
which included subsidising the construction of low-cost houses to shelter
people with limited financial resources, upgrading the housing in the area
and renovating its open spaces.
The Regulation Plan for Athens and the Area of Piraeus referred to the need to
rehabilitate the area of Maniatika-Aghia Sophia through the creation of four
local centres inside (or on) the borders of the neighbourhood (Aghios 010-
nysios, Aghia Sophia, Maniatika, Aghia Marina). The study foresaw the ac-
tivities of the centre of Piraeus expanding to the southeastern part of the
industrial zone and suggested a number of measures to protect the vulnerable
housing area from this expansion. One of the proposals was the construction
ofa pedestrian network which would link the local centres, as well as a pedes-
trian ring road which would encircle th~ whole neighbourhood. Regarding
the question of spatial segregation behind the industrial area, the Regulation
Plan proposed the rehabilitation of the coastal area between Keratsini and
Faliro and the construction ofa network of open and sheltered public spaces
to be used for recreation and cultural activities and which would lie on the pe-
riphery of the neighbourhood.
SP/\TIAL SEGREGATION IN A PERIPHERAL GREEK NEIGHBOURHOOD 165
The !\thens Technical University/Politecnico di Milano study proposed
the rehabilitation of abandoned industrial complexes, especially a former ce-
ramics factory, which it suggested should become a centre for avant garde
cultural activities.
The Athens Organisation's Aghios Dionysios Project deals exclusively
with the industrial zone but, due to the close proximity of the latter to Mania-
tika, the project could have a great impact on the neighbourhood itself. The
major objective of the project was to transform the industrial area into an ad-
ministrative centre which could host banks, shipping enterprises and various
services. The proposals attem pt to combine the development of the industrial
zone with the improvement of the housing areas lying behind it.
The Association of the Merchants of Piraeus study is very similar to the
Athens Organisation Project in that it stresses the necessity of creating an ad-
ministrative and shipping centre in the industrial zone, However, ifone looks
more closely at its proposals, it is evident tbat no reference is made to issues of
private or social housing in Maniatika or to the conservation of industrial
buildings of unique architectural character.
The authorities have decided to accept the Athens Organisation Project
for the rehabilitation of the Aghios Dionysios area, which would also affect
the adjacent housing areas of Maniatika-Aghia Sophia. The reason for this
choice is that the Athens Organisation is an institution incorporated in the
Ministry of Environment, Planning and Public Works, which was responsible
for the Regulation Plan for Piraeus. In fact, the works have followed the
guidelines set by the Plan. Althougb the Plan tries to combine the develop-
ment of the industrial zone with the improvement of the nearby housing ar-
eas, the first task is clearly favoured. The industrial area is now being
transformed into an administrative and shipping centre, an outcome which,
when completed, will reinforce the housing area's spatial segregation. In ad-
dition, the project by the Association of the Merchants of Piraeus, which
completely ignores the housing area, was approved by the Piraeus Municipal
Council in May 1993.
The expected outcome of these interventions will not stop the spatial, so-
cial and cultural degradation of Maniatika-Aghia Sophia since they rest ex-
clusively on the invisible hand of market forces. They neither promote
specific measures to improve public and private middle class or lower class
housing nor measures on the social and cultural level. Unfortunately, the final
outcome of this intervention will tend to further isolate the inhabitants of
Maniatika-Aghia Sophia, not preventing the area's degradation but making it
invisible to outsiders.

166 SOCiAl EXCLUSION IN EUROPEAN CITIES
An alternative strategy
The rights to housing and to citizenship are two principles on which the revi-
talisation of neighbourhoods in crisis must be based. Every neighbourhood
is an exceptional case and the same holds true for every inhabitant. Hence, all
actions should respect the history of the place and the people.
A dynamic and consistent method of resolving the problem of degrada-
tion of everyday life in any neighbourhood requires the active involvement
of inhabitants in order to release all their hidden human potential. Not only
should one abstain from policies imposed on people without their participa-
tion in the decision making, but respect for cultural and social identity is also
a prerequisite of every successful attempt to reverse degradation.
An innovative and alternative policy for the rehabilitation of neighbour-
hoods in crisis and the integration of their cilizens demands a profound un-
derstanding and critical review of the disappointing consequences of
traditional abstract programming which is based solely on quantitative data
and on the logic of averages, I.e. the 'average needs' of the 'average user', who
is the 'average inhabitant'.
Therefore, an alternative strategy must be based on a sound knowledge of
all the specific parameters of the problem of social exclusion in a particular
neighbourhood and a fine-grained, detailed analysis of people and spaces. In
this context, the collection of data consistent wilh this type of analysis is of
great im porta nee and requires the construction of a new methodology based
on action, I.e. on the cooperation and active involvement of the inhabitants.
More specifically, this new strategy against social exclusion in a neighbour-
hood should rest on the following points:
I. All ilIlfrdi5CIpfillary approacb
In order to understand the complexities and particularities ofspaces and
persons and avoid one-sided answers to the questions raised, there is a
need to refer to a variety of disciplines, such as sociology, demography,
economics, as well as architecture and urban design.
This does not mean that every member of an organisation dealing
with the problems of social exclusion will serve his or her own disci-
pline, as is the usual practice in traditional approaches. Instead, all mem-
bers in a research-action team should be guided by a set of general
principles and should have a high' degree of 'homogeneity' among
themselves. What is needed, in fact, is the creation ofa new type ofmul-
tidisciplinary expert, all of whom share the same view on the necessity
for a global approach.
SPATIAL SEGREGATION IN A PERIPHERAL GREEK NEIGlIBOURHOOD 167
2. Fine-grained socictl and spatial ctrrd~Y5i5
Apart from sociological, economic and demographic research, the new
approach requires a detailedanalysis of people ~nd spaces. Thl.s analy-
sis, which is absent from traditional approaches, IS the only pOSSible way
to gain a thorough understanding of the existing situation in the neigh-
bourhood.
3. Learning 10 listen
The views of the inhabitants, their institutions and associalions should
be an indispensable part of the whole efTort. Listening without a ques-
tionnaire means listening without prejudice, respecting the people.
An application of this alternative ,approach was attempted in the
EUROPIL Project. In Maniatika-Aghia Sophia, the study suggested the
adoption of both spatial planning and social interventions aimed at in-
tegrating the neighbourhood into the broader society of the city of Pi-
raeus, according to Figure 8.1.
Planning interventions alone cannot rehabilitate an. area. in a balanced way
which will secure its inhabitants' future. Interventions Il1 space should be
planned together with interventions in society. Social interventions the.m-
selves should reflect the mobilisation of the inhabitants rather than be a kll1d
of philanthropy. Social groups or individuals living at the margin need to be
integrated and accepted in society and not just supported to s~rvive: There-
fore, education and training are essential for mobllisll1g the Il1habltants at
various levels (communal life, working conditions, infrastructure, personal
and family situation, etc.). The integration/segregation criterion should be
used to evaluate both spatial and social interventions.
INTEGRATION
SOCIElY --~~-+---I"--- SPACE
inhabitant's planning
interventions
education
SEGREGATION

IbB SOCIAL EXCLUSION IN EUROPEAN CITIES
M.obilisation should be organised on various levels, for difTerent groups
and tor a number of objectives. Participants have to realise the effect or the
value participation may have on upgrading their own lives. Participation
should focus on mobilising people towards the ends which are most impor-
tant in their lives, i.e. employment, solving family or personal problems, rec-
reation, etc. The existence of groups with difTerent needs, expectations or
socio-cultural identities implies that different objectives should be pursued
and different forms of intervention should be chosen for each of them. The
reinforcement of these groups may provide the basis for a dynamic internal
restructuring of the neighbourhood.
As has been described above, the neighbourhood's degradation has been
a long-term process and is due to its spatial, social and cultural segregation.
These forms of segregation are interrelated. Spatial segregation has facili-
tated the reproduction of a specific cultural identity, thus reinforcing social
segregation, while, at the same time, social exclusion took form in space. Fol-
lowing the social and spatial analysis of Maniatika-Aghia Sophia, two main
lines of possible intervention were suggested by the research-action team
which made the study of the neighbourhood.
I. [nterrellliollS on a spatial level
We have already referred to the extensive degree of spatial segregation
between the neighbourhood and central Piraeus. Nothing has been
done so far to solve the problem, while, at the same time, the inhabitants
are constantly commuting to the centre of their municipality.
It is evident that the spatial gap between Maniatika and the centre of
the city should be bridged. In planning terms, this implies that it is neC-
essary to extend the local centre towards the centre of Piraeus, along the
main connecting roads. If this happens, the industrial barrier may be
broken in certain areas, thus contributing to the neighbourhood's spa-
tial integration. Just facilitating traffic through the industrial zone is not
enough. The connecting roads should be functional axes, and they
should incorporate a mixture of housing and recreation functions, shops
and offices, education and services. The upgrading of the area should
have an axial logic rather than being based on the development of an in-
terior network oflocal centres. This,policy will increase communication
between the various parts of the city and will eventually contribute to
the spatial integration of the nClghbourhood.
2. on a social and cultllral Ifl,e!
[lIIet1l01ll;01lS
The origins of the social segregation of Maniatika may be traced to the
,-tirtprpnt rllltllr'Jl v'JIIIPC 'J1l,{ cnri:ll forms which are domin~nt it, t1w In-
SPATIAL SEGREGATIOH IN A PERIPHERAL GREEK NEIGHBOURHOOD 169
cial factors which separate certain groups within the community. On the
one hand, male dominance forces women outside the neighbourhood.
On the other hand, elders' control ousts the youth. At the same time, the
extended family functions positively as an informal suppDrt network in
the community. This is a strong point ofrhe local culture which should
be reinfDrced. Following these conciusiDIlS, the research-actiDn team
made a number of propDsals.
The first set of proposals is intended to build women's confidence. In
this context, three measures were suggested:
a. Establishing a Business Advisory Centre, which would help
local WDmen to start small businesses in the area, so that they
could become financially independent withDut having to leave
the neighbourhood. The Centre should provide legal advice as
well as assistance associated with the start-up period. It would
alsn train women who are currently working and encourage
them to be more efficient in the labour market.
b. Establishing a Women '.I Advisory Centre, which would provide
infDrmation on subjects traditionally forbidden in the closed
society of Maniatika, such as health issues (cDntraception,
persDnal health, protection against cancer, etc.), family issues
(divorce, conjugal relationships, etc.) and issues cDncerning the
state~citizen relationship (pensiDns, social security, etc.).
The second set of proposals were directed towards the youth and aimed
at encouraging them to stay in the neighbourhood. These were the fol-
lowing:
a. Supporting the IDcal sports club.
b. Viewing pubs and cafeterias where young people gather nDt as
the locus of crime but as essential places for recreation,
building up the identity of the young people.
c. Establishing a YDuth Centre, which wDuld give advice on
opportunities for local employment, health issues, provide
psychological support, short-term training programmes for
employed and unemployed YDung people and legal advice on
various issues.
d. Turning the local Centre for Musical Studies into a Municipal
Musical Centre which could attract students and audiences not
only from Maniatika-Aghia Sophia, but also from other
'""<>'nhh",,, ..hnnrlco 'T'I.. " nU""~L>"""'''' ..... f "" .... 1... ., .......... 1.. .-..f .. ltr.,rti ..... n
 170 SOCIAL EXCLUSlON IN EUROPEAN CITIES SPATIAL SEGREGATION IN A PERIPHERAl. GREEK NEIGHBOURHOOD 171

with an appeal to the whole of Piraeus would contribute to the been as important as spatial factors in keeping this community isolated. This
creation of a local youth identity. local social structure has generated strong informal networks which compen-
The third set of proposals aimed at strengthening the existing informal sates for the lack of provision of services by the Greek state. If the area is to
network, which is a strong point of the local culture ofManiatika. If this become less isolated, then these informal networks will be threatened.
network is left to itself, it will certainly stop functioning. According to Change, therefore, requires that Maniatika be linked into at least some basic
the research-action team, this network should be reinforced and up- services which could be provided on a voluntary basis and which will support
graded for two reasons. First, it has proved to be a consolidating factor the Maniates in adapting. However, access to these services by women and
within the specific society. Its function integrates different social groups youth may also challenge the traditional male-dominated culture of the area,
(old or ill people, children and adults, etc.) and creates a strong commu- and this problem must also be addressed if the spatial and social exclusion of
nal identity. Second, the informal network can be used as an opportu- the area is to be successfully combated.
nity to improve the position of women in the neighbourhood. The
majority of women belonging to this informal network are middle-aged
housewives with minimal formal education and, consequently, no References
chance of e~llering .the job market. However, this same network may, Economou, D. ;1l1d Sapoullakis. A. (1996) 'Housing policy and social exclusion.' In
LJlmensiollJ a/Socirtf [Xc/liS/On in Grace (in Greek). Athens: N4ltiol14l! Centre of Social
under certain conditIOns, offer opportunities to work and possibly a
source of income. The way of strengthening the internal network is Research (EKKE).
Kotlvcli, A. :md Sakellaropoulos, K. (1996) 'Socio-economic inequalities in housing
through more professional women's training in various fields, such as
sector.' III Dimensions o!SoClal Exclusion in Greece (in Greek). Athens: National Centre
the provision offitEt aid, nursing, baby-sitting, etc. This training could
be assigned to or assisted by the Women's Advisory Centre. or Social Research (EKKE).
Finally, the last set of proposals refers to the cultural upgrading of
Maniatika through the creation of a locus for patrimonial values. Tradi-
tions of Mani and the Maniates are a subject of exceptional historical
and ethnographic value. Detailed interdisciplinary research (ethno-
graphic, historical, architectural, social, etc.) could collect and classify
1I1fonnatlon and matenal describing their way of life during different
periods in Mani as well as in Piraeus. Thus, past patrimonial values may
find a new way of surviving in the present. Such a project, aimed at mo-
tivating the older generation, could contribute to the collection of items
and historical memory. An Institute for the Study ofMani and the Mani-
ates could be established, which could be involved in various research
activities. It is certain that this action could have the social and financial
support of all the Maniates, wherever they may live.

Conclusions
\
The social and spatial isolation of Maniatika-Aghia Sofia results from the
conjunction of a number of factors: the general reliance on households,
rather than the state, for the provision of welfare within Greek society; the
str~ng cultural values of its inhabitants; and an approach to spatial planning
\v!:leh does not take into account the specific nature and needs afloeal popu-
r nn "", ..... "", .... t1" ;n ,"i" ., ......... nf D;r"Pllt: fhp lnr::ll t: ..... r;,,1 <,t .. ",..h ..." h" ...
l'\t,r,"<,
 PART THREE

Responses to Social Exclusion


Introduction
The chapters in Part Three report on elTorts to combat social exclusion and
promote social integration in five countries: France, Germany, Portugal, Brit-
ain and Sweden. Three common themes emerge from these reports. First, all
of them emphasise the point that many traditional policies and approaches to
improving socially excluded neighbourhoods have come to an impasse. To-
day's problems are dilTerent from and more complex than yesterday's. Struc-
tural changes in society limit the success of measures traditionally used to
combat social exclusion. The second common theme in these chapters is the
failure of measures which have been implemented as single isolated initiatives
and not coordinated with other measures. Many of the measures which have
failed also have in common that they were developed without much consid-
eration of the conditions in specific neighbourhoods. The third theme unit-
ing the chapters is the necessity of adopting a regeneration process that
provides a framework within which residents can exercise substantial influ-
ence while working with other local actors who have interests at stake in the
neighbourhoods.
This part of the book is introduced by a chapter which takes a structural
perspective, establishing a framework within which the micro-orientation of
the four remaining chapters can be understood and analysed. Lipietz (Chap-
ter 9) takes globalisation and the transition to a postfordist regime, manifest
in flexible wage relations, as his starting point. He argues that falling wages
for I"rge parts of the population, together with increasingly prec"rious em-
ployment, means th"t the fordist solution to housing problems, mass produc-
tion coupled with personalised housing assistance for paying the rents, is no
longer appropriate. Postfordist wage relations incre"se dem"nd for social
housing at precisely the moment when it is no longer fe"sible to provide it.
He outlines three possible responses to solving this problem. The first is a
neoliberal solution, a return to slum housing, ghettoising the poor on the ur-
ban periphery. The second solution is to continue to fight for fordist stan-
dards of social housing, accepting t),at personal housing subsidies will
continue to be an important subsidy but that the scale of provision will be re-
stricted. The third solution is to accept that housing standards for the poorest
groups will fall and to engage in physical and institutional brico/age in finding
Ilew w"ys to proVide decent housing for them.
RESPONSES TO SOCIAL EXCLUSiON 175
The remaining four chapters report t·esults ranging fr~m successIo failure
in specific schemes which have been implemented m variouS countries. These
chapters can be discussed in terms of Lipietz' three solutions. Non.e of the
authors provides a neoliberal response. Developmg new approaches IS the re-
sponse most commonly reported, although some of the reports also include
features of Lipietz' fordist solution.
KUrpick and Weck in Chaptet 10 present a new approach to regeneration
developed in the Ruhr region in Germany. The starting point was a re~lisa­
tion that sustainable results presuppose institutional reorganIsatIOn and mno-
vation. This institutional approach required targeting both existing political
bodies and networking at the local level. Networking was aimed at enhanc-
ing the local capacity to respond to social exclusion proc.esse~ by involving all
those with a stake in the area. The challenge lay In enabling CIVIC Involvement
and actively developing agendas with neighbourhood residents.a.nd .commu-
nity representatives. A number of dilTerent approaches to faoiltatlng such
participation in the regeneration process were developed. An Important les-
son is to start with small projects which improve ImmedIate economIc and so-
cial conditions. The key to success lies in building the confidence of local
residents in their own capacity to participate in planning and decision mak-
ing about the future of their own neighbourhood. . . ,
Portugal is a poor country and a substantial part of the populatton Itve~ In
slums with houses of very poor quality. In this situation, large-~cale h~uSl~g
construction programmes might be seen as the most urgent ingredIent In
housing policy. But Freitas in Chapter 11 argues that it is not. In analysing
Portuguese ambitions to improve housing conditions in the metropolitan ar-
eas of Lisbon and Oporto, she points out that areas which may look the same
from the outside can function very dilTerently for historic, social, cultural and
other reasons. Consequently, strategies for improving living conditions must
be based on knowledge about local conditions. She presents seven innovative
strategies of intervention, aimed at creating b~th lasting change and a~suring
Citizenship, and seeking to establish operatIOnal prlorttles and gutde the
choices that need to be made in implementing any complex programme.
Cameron and Davoudi's presentation of the situation in Britain (Chapter
12) starts by taking a retrospective look at regeneration policies between the
1960s and the mid-1990s. Their analysis makes a clear distinction between
improvement measures taken from 'outside' and from 'inside' the area. 'Ou-
tside' measures aim at strengthening the neighbourhood by providing quali-
ties that are essential for the wellbeing of people living in the area. Providing
enhanced employment opportunities is one such action of significant im por-
tance. 'Inside' activities are directly targeled at the neighbourhood. They can
il1rJ"rl .... rh'l"ninfT nhvdl'::ll rnnrl;iinn<, "" HI,,11 ':I" t~,n"'"' ,..l...... ~."' ... " .. ,[..,;_1; (L....
176 SOCIAL EXCLUSION IN EUROPEAN CITIES
from empowering residents in the neighbourhood. Cameron and Davoudi
observe that the coordination of'outside' and 'inside' activities is often very
poor and that improved efficiency in regeneration requires more effective co-
ordination focusing on the neighbourhood itself.
The closing chapter in this section presents Swedish responses to social
exclusion. Cars and Edgren-Schori in Chapter 13 report on a country which
is currently questioning and challenging what used to be regarded as conven-
tional wisdom. Traditionally, experts have both formed the 'picture of the
problem' and designed models, strategies and measures based on this picture.
Problems have been framed in relation to ideas of normality and norms set by
outsiders. Measures have been implemented to solve these problems and to
return conditions in the neighbourhood to a pre-existing idea of'order'. This
perspective is now being abandoned and replaced with approaches which
take their start in local needs and ambitions and which view residents not as
passive consumers, but rather as active decision makers in shaping their
neighbourhood.
Thus, Part Three of this book surveys the lessons which can be learned
from responses to social exclusion in a variety of countries. The final Conclu-
sions (Chapter 14) present the general themes which run throughout the
book, building on the wider perspectives outline in Part One, the descrip-
tions of the experience of social exclusion in Part Two, and the analysis of in-
novative responses to it in Part Three.
CHAPTER NtNE
Rethinking Social Housing
in the Hour-Glass Society
A lain Ltpietz
In france, as in many countries, social housing is in a state of crisis. Homeless
people are invading the streets. The level of unpaid rents and mortgages is
soaring. But this crisis is not simply sectoral in nature. On the contrary, the
neocraft character of this industry would seem to facilitate a switch to the
newly fashionable post-fordist methods of organising production. Restric-
tions on public spending and rising interest rates have little to do with the
sector itself, and do not reflect, at least in france, a decrease in the social le-
gitimacy of housing assistance: they are only the specific consequences of a
general economic crisis. The explosion of the property market in the late
1980.1 has not affected those suburban areas devoted to social housing, al-
though it has affected the coveted de filcto social housing zones in the :ity
centres. In fact, the land question was much more urgent at the end of the gl-
orious years of fordism' when france was building more than 700,000
homes a year. Similarly, the bursting of the speculative bubble and conse-
quent depression of the building sector in the early 1990.1 have not affected
the construction of mainstream social housing.
One cannot maintain, however, that the causes of the crisis of social hous-
ing are purely and simply exogenous, a by-product of a more general crisis.
The crisis of social housing is not simply a reflection of the fall in households'
creditworthiness or in public funding. The cause of the crisis is much more
profound It involves the housing status of the most destitute of the popular
classes and is, essentially, a crisis of the unity of the social body and ofthe role
that social housing has played in cementing this unity.
 178
SOCIAL EXCLUSION IN EUROPEAN CITIES
From the mOllfgolfier society ...
Fordism, the development model that characterised postwar France, as in all
western Europe, was founded on three pillars:
• An organisation of labour which allowed for rapid and durable
productivity gains.
• Th: systematic redistribution of these productivity gains to all
SOCIal classes, and, in particular, to all wage workers.
• The centralised and rigid organisation of this redistribution
stabilised by a network of collective agreements, sociallegi~lation
and the welfare state.
The resulting income distribution could thus be conceived of as a mont-
golfier, a hot air balloon, ascending harmoniously There were a few poor
people, a few nch pe~ple and a huge waged middle class, all ofthem growing
ncher together. The Income hierarchy was rigidly constrained by collective
agreements. Higher classes, middle classes, popular classes, each successively
reached similar consumption patterns, which rose along similar trajectories
but were laggtng after ~a:h other in time. The lifestyle of the engineer pre-
c:ded that of the technician by a few years, which showed the way for the
highly skilled factory worker, which, in turn, pointed to the path for the un-
skilled worker. We can also imagine society being carried on an escalator
where social distances remained stable but where all rose. The newcomers
from the. rural ar~as and immigrants, took their position on the last step. '
Housmg mediated thiS general access to the consumer society And yet it is
the most expensive durable good which a household must acquire. Housing
IS the baSIS for access to the more typical products of ford ism such as house-
I;
hold electrical appliances and individual transport vehicles. could thus be
considered a~ a social stepping stone and its structuring role, as part ~f a ~en­
eral culturalllltegratlon, Justrfied a policy of extensive public financing, di-
rectly or through pnvlleged access to credit. This was particularly so for the
popular classes, and even more so for the latecomers.
These po.orest groups had been confined since the nineteenth century to
shanty hOUSing, lea.sed by owners more concerned with enhancing the value
of their rent than With property investment. The small and unstable income of
these workers meant that they could only aspire to furnished accommodation
or ~hacks crammed into the ,courtyards oflarger buildings. The few examples
of ~ormal popular houSing, avadable on a lifelong basis, were found only in
regions of tndustrral paternalism, anticipating fordist precepts at a localleve!'
The programmed and anticipated rise in the purchasing power of an im-
mense labour force, together with full employment ensured masslve
- . . _:
0
<I
. dc-
RETHINKING SOCiAL HOUSING IN THE HOUR-GLASS SOCIETY 179
industry employed about 40 per cent of the work force and produced more
than a third of the net national product. Everything changed with the advent
of fordism.
Coming out of their shanty housing, or shanty towns in the case of immi-
grants, the lower stratum of wage workers, with little to worry about on the
job front, thus progressively entered heavily subsidised social housing. Eve-
rything seemed to suggest that, just as they were exchanging their bicycles for
motorcycles and, later, cars, they would also move into the semi-subsidised
housing sector and, later, into the free sector. When this occurred, society
would no longer have to worry about financing social housing. This sort of
assistance to household income through subsidising the building industry
had the same advantages and disadvantages as assistance to farmers through
subsidised product prices. It ensured effective mass production, but at the cost
of an ecologically disastrous standardisation of the product and also carried
the risk of overproduction. It was not desirable, therefore, that it should con-
tinue.
With faith in the regularity of progress, and assured that the montga/{ierof
income distribution as a whole would continuously rise to eventually allow
everyone access to basic normal housing on the basis of their own wages, the
Bme reform (J 978) moved away from the principle of subsidising bUilding
and towards the principle of personal assistance. Everyone would be entitled
to basic normal housing, and the state would help pay for it as long as neces-
sary, which, of course, would not be eternally.
Unfortunately, just as this anticipated perfection of a fordist housing sys-
tem, the AIde PCl'sonnalrsec all Logcment (APL), was implemented, ford ism gen-
erally came under strain. In the late 1970s, the manlgo/frer was about to
become transformed into an hour-glass.
."to the hour-glass society
The political, ideological and institutional shifts, which started as early as
1978 in the Anglo-Saxon countries and then spread through southern
Europe and France, and which justified themselves in the name of competi-
tiveness, fighting inflation, and restoring business profitability, signalled the
end of ford ism and the gradual advent of a new model of development in the
1980s, despite a brief respite in France in J 981-1982.
An important aspect of these changes was the drive to create flexible wage
relalions. This process involved challenging the rigid links between firms and
employees (e.g. abolishing requirements for administrative authorisation for
redundancy; generalising part-time and fixed-term employment, which espe-
It .1 ' " .. r ,
 RETlIINK1NG SOCIAL HOUSING IN THE HOUR·GLASS SOCIETY 181
180 SOCIAL EXCLUSION IN EUROPEAN CITIES

surance. These changes generally weakened the employment stability of the

10;1'1'1''1"1~~'I'·!·!~!'::.,1F1··~n:-,.-:~:-.;-;.,rt'i:.~~
1:1-'
middle and lower strata of wage earners. Meanwhile, the resulting increase in
profits, especially those based on an increase in financial revenues linked to
monetarist policies and high interest rates, created a concentration of income IlIlD 1986
o 1989
around the 'saving' strata (wealthy independent producers, employers and o 1991
the upper layer of salaried workers). fZI 1994

These processes affected some countries more than others. In some coun- ~5~
tries, inequalities in income decreased in the 1970s and have remained stable
since then (Italy) or have only increased mildly (Germany, Japan, Sweden).
These latter countries are the homelands of a negotiated involvement of the
I !
workforce in new technologies. 1n other countries, income inequalities in-
creased even more strongly in the 1980s than in the 1970s (UK and the
5 10 15 20 25 30 35 40
% of lotal revenue
USA). These countries are the homelands of flexibilisation. Inequalities in
these countries are the result of three broad tendencies:
• Larger increases in property incomes compared with wage incomes. mm 1986: 25.5 Million
[',J 1989: 27.7 Million
• Decreases in welfare income per household. o 199129 Million
e2l 1994,29,6 Million
• Increasing disparities of income among wage earners, especially
between highly skilled workers and executives, on the one hand,
and unskilled, marginalised and precarious workers, on the other
hand.
In these countries, unskilled and semi-skilled workers are more and more in
competition with Third World workers. A typical metal worker in the Mid-
west in the United States earned USD 24 per hour in the early 19805.
30 35 40
His/her substitute earned half this amount in Ohio at the end of the 1980s,
% houuholds
and was stilI in competition with a worker in Brazil earning USD 4 per hour.
British workers, especially in Wales and Scotland, are now less expensive
than Korean workers. Figurt 9.1 Frmch hOllr-gldJJ JOc/tty (1986-1994)

In contrast, France experienced social democratic management during its

turn towards neoliberal flexibility after 1983. Thus, while the pre-tax, pre-
welfare distribution of incomes presents the Anglo-Saxon evolution to 'Br-
azilianisation', the after-tax, after-welfare distribution remained basically the
same in 1990 as in 1982 or even 1975. This was due to the effect ofan exten-
sive retirement system created in 1945, which produced full retirement pen-
sions forty years later, and to the creatron in 1988 of a guaranteed minimum
income (revenu millimum d'imercioll) of FF 2400 (around USD 450) a month
per adult. Nevetlheless, a classical hour-glass distribution of incomes is obvi-
ous when considering the pre-tax, pre-welfare distribution. The rich are be-
coming richer and richer, there is a shrinking middle class and an increasing
nrnnnrrinn nf vprv nnnr hOII.l;~hnlcf,l;.
Figure 9. I expresses these tendencies. The data is taken from taxable in~ome
declarations by households (Upietz 1996). The top part of the figure IS or-
dered by household income deciles and the length of the bars represents the
share of total income accruing to each decile. Year after year the upper part
has grown, while the share of the three bottom deciles has shrunk from 10
1
per cent in 1986 to 7.05 per cent in 1994.
11 1s impossible to distinguish among the three lowes! deciles, :m indication that the .
percentage of the excluded is becoming very Iarge, an d ·IS anal Iler mamlCS
" t at'Ion 0 rsoclal
fragmentation.
 182 SOCIAL EXCLUSION IN EUROPEAN CiTiES
The bottom part of the figure reorganises this data to illustrate the cumu-
lative distribution of household income. It shows the number of households
ranked by income, sharing successive tenths of total household income:
Thus, at the top of the figure the richest 1.56 pcr cent of households aCcount
f?r ten per cent of total household income. This percentage has not changed
slglllficantly Sll1ce 1986. However, middle-ranking households have seen
their incomes shrinking while a growing number of poor households are len
to share the last 10 per cent. The percentage of households in this last group
has II1creased rapidly from 29.7 per cent in 1986, to 31.6 per cent in 1989
and reached 36.5 per cent in 1994.
The superposition of the two figures makes it clear why these social
changes can be compared to an hour-glass, where grains of sand represent
households desperately falling to the bottom and money is like air accumu-
lating in the upper part.
This income distribution not only looks like an hour-glass, but the meta-
phor also describes an economic mechanism. If, under fordism, one could ar-
gue that 'the rich lived off the expenditure of the poor', I.e. wage workers'
expenditure accounted for the turnover of entrepreneurs, in the case of the
hour-glass society 'the poor live off what trickles down from the expenditure
of the rich'.
This shin in the economic regime, and, in particular, the shift in the regu-
lation of social relations, has enormous consequences for the status of social
housing. To start with, in an hour-glass society the global advancement of in-
comes is no longer programmed, let alone guaranteed. Instead, the regime's
dynamics lead to a thinning of the hour-glass's neck and a swelling number
of households with no access to non-assisted housing. Thus, the volume of
individual housing aid (APL) is no longer destined to diminish under the
sway ofsocial progress, as the initiators of the Barre reform thought it would,
since only the upper third of the hour-glass society benefits from rising in-
comes. Consequently, the shift in wage relations is translated into a rising de-
mand for social housing, which comes up against the fiscal crisis of the state.
Here lies the exogenous aspect of the current social housing crisis.
But a focus on these developments is insufficient because it tends to en-
close the debate within the question of public budget priorities. For example,
there is the radical option: why not allocate peace dividends to an increase in
the APL budget, financed by a drop in the military budget? Or there is the ra-
tionalist option: why should we allow the nation's health budget to swell in-
defil1ltcly, and yet constrain its housing budget? It is precisely in this debate
that we find the heirs of the fordist era, the administrators of social housing
and those who long for its return, trades unions, left-Wing political parties
and tenants' assori;:lrinns
RETHINKING SOCIAL HOUSIJ'-lG IN THE HOUR-GLASS SOCIETY 183
Unfortunately these questions, however pertinent they may be, hardly
cover the topic in its entirety, since the shift towards flexibility in regulating
wage relations carries even more serious consequences. For the majority in
the lower strata of the income distribution, the stability ofindividual incomes
is no longer guatanteed. Integration into wage society is no longer an assured
lifelong progression. To be more precise, we see on the one hand a signifi-
cant, yet unpredictable, fraction of households destined to experience a last-
ing, perhaps even permanent, loss of income. On the other hand, in the case
of certain social groups, and in particular newcomers to the labour force, the
young and, specifically, non-white youths, we see the strong possibility of
never entering wage society at all.
In this context, the right to nOtmal basic housing for all can no longer rely
on a progressive extension of the individual housing assistance budget. It is
no longer a case of helping a significant fraction of people to pay a part of
their rent beyond what they can afford from their own income. It is more
likely that society will have to take care of the totality of their rent, on a long-
term basis for some, and intermittently for others.
This perspective is far from absurd. But the immediate question for the so-
ciologist, the economist or the politician becomes: from the moment when a
fraction of the population can no longer contribute, or can contribute only
intermittently, to financing their housing through their wages, is it possible to
retain as a common basic norm a type of housing which expressed, on the
contrary, the general integration of the social body in wage society? This is
the key question at the heart of the current social housing crisis.
Social housing policy in the hour-glass society
Faced with a profoundly altered macro-social situation characterised by in-
come polarisation and social exclusion, social housing decision makers can
adopt one of three attitudes (Ballain and Benguigui 1995):
• 'The situation is not shocking, and I will adapt to it.'
• 'The situation has become shocking, but I will continue as before.'
• 'The situation has become shocking, but we have to adapt to it.'
The strength of the first position is that it articulates a response which derives
directly from neoliberal doctrine. The general idea is that, on the world mar-
ket, the social benefits in terms of income and housing norms gained by
European wage workers a quarler of a cenillry ago appear as distortions in
competition which cause unemployment and the housing crisis. Given the
superior productivity of Europc;Jn capital, there mtlst exist an income fevel,
~1~_.,1.. L' l. __ .1- .1 . - ..
18'1 SOCIAL EXCLUSION IN EUROPEAN CITIES
income level, which would restore labour competitiveness in france and
Europe. A recent governmental proposition seemed to estimate this equilib-
rium wage at 70 per cent ofthe present minimum wage (after two years of col-
lege studies and with two years of experience)2 This works out at around
USD 4 per hour, which is equivalent to the income of an aeronautical techni-
cian in Brazil. At this wage level, it would be possible to find accommodation,
that is, if one is prepared to accept a certain return to slum housing, not neces-
sarily the slum housing of 19th century france or the Brazilian Jimlas. Tech-
nical progress in construction allows for improvement.
This first answer must be taken into consideration for it will inevitably, un-
less current developments in wage relations are seriously called into question,
be a necessary part of the new policy of social housing. The rehousing of
Malian road sweepers working in Paris by the regional prefect into prefabri-
cated sheds in the remote suburbs, 50 km from the centre, after their attempt
to open a shanty town on the Vincennes esplanade sheds light on a number of
problems associated with this first option.
In the town centres, there is no more room for slum housing to be pro-
vided by individual land owners. The middle classes and office users are pre-
pared to pay a price which prevents such a usage in the city centres of Europe.
There are spaces in the rural areas and they will become the location pdr excel-
lence for experimenting with industrially produced substandard housing. But
these spaces are far away and will become increasingly so since the hour-glass
development model encourages megapolisation (Lipietz 1995).
It is, however, possible to reconstitute in the near periphery of city centres
an area of slum housing, de ftC!O social housing, under two conditions: if the
area is already in decline and marked by a predominance of an excluded
population; and if no land agent can manage to upgrade the social purpose of
the area in a single renovation project. This situation is ideally present in the
case of co-ownership of de ftclO social housing (for example, in Bosquets
housing estate in Montfermeil, IS km from Paris) and sets a vicious spiral in
motion. No investor--{)wner can remain a landlord of property which is dete-
riorating and losing its land value. Therefore, he otTers to sell the accommo-
dation which he previously rented. Conversely, buying normal degraded
accommodation remains the only means of access to standard housing for a
casualised wage worker. The worker can pay in one go while in work and can
later rely on community solidarity. At a later stage, co-ownership paves the
way to subletting to increasingly marginal populations and, finally, to aband-
1 This propOSition was rejected in 1993 by a massive protest by French youth,
REll-lINK1NG SoCIAL HOWilNG IN THE HOUR·GLASS SOCIETY IH5
onment for squatters (more like Brazilian corticas than Jitvelas).'
As we can sec, the neoliberal path leads to the formation of ghettos for the
excluded (ethnic or social, or both) since it is the only way to bypass the land
question. This solution, in keeping with neolibera1 Iogic, is a real. solutio~ to
the housing question and not a pl'Oblem. 4 We can disapprove of It on ethical
grounds, but we must be aware that, as a logical solution to a ~ituation which
goes far beyond the housing issue, it has a powerful attraction, structurmg
not only much of the world's southern and eastern urbantsatlOn, but also th~t
in the developed countries which have gone furthest down the path oftlexl-
bilisation, the Anglo-Saxon countries.
The ethical objections to allowing the further development ofa neoliberal
housing strategy considered as shocking constitute at the same time the
strength and the weakness of the IWO next strategies. As one ';loves away
from a compromise between what one might wish for and what IS eConomI-
cally possible, the gap between ethics and reality does indeed become shock-
ing. The criticisms twenty years ago of the fordist, t~,ass productl~n solutIOn
to the housing question remain all the more valid smce thiS solution has be-
come the material basis of an urban ecological crisis (layered urbal1lsatlon,
rabbit hutch effect, etc.). But it seems obvious that this solution constitutes,
retrospectively, a sort of paradise lost for the return of which the poorly
housed and the homeless are ready to fight.
This is the social basis for the second standpoint. Its main message is that
the social situation is shocking, but it wouId be even more shocking to give
up on the most important achievement of the 1970.1,. th~ right to normal so-
cial housing. As we have seen, this standpoint has an m~t1tutlonal a~swer, the
extension of personal housing assistance (APL), but tl115. answer relie~ on. re-
ducing the crisis of social housing to the problem ~f mcome distribution.
And, in all probability, personal housing assistance Will also constitute part of
the real solution to the social housing crisis, simply because the heirs of the
fordist model, including the builders and those committed to the idea of
progress attached to the model, are powerful enough to ensure this.
But one must not disguise the difficulties involved. ThiS solutIOn amounts
to using APL, originally conceived as a transitory supplement ro normal en:-
ployment income in order to give access to normal accon:modatlon, as a baSiC
public housing subsidy, whereby the state finances housmg for the totaltty of
] AjaJle!lf is;1 gathering or self built, personally owned houses on illegally occupied land.
('orricns :Ire g:ltherings of r..1milies in rooms of ab:mdoned buildings.
 186
SOCIAL EXCLUSION IN EUROPEAN CITIES
excluded people and casualised workers. Such an approach leads to a number
of perverse effects.
APl was designed to be a supplement to employment income for a nor-
mal, close to minimum waged couple, in order to pay the rent for their basic
normal housing. But in France the legal minimum wage tends to remain mini-
mum in name only: part-time working and lower wage workfare is spreading.
At the same time, regular monthly wage payments are becoming problematic
for both members of the couple, and, in addition, the stability of the couple
itself is becoming more precarious. The result is that since employment in-
come tends to become the most precarious share ofa household's income, the
public social housing organisations tend to favour those households best en-
dowed with APl: large families. Thus, the 'good' white couples without de-
pendent children will be evicted while immigrant 'tribes' will be housed,
'paid for by child benefits', 01' so the National Front frequently asserts in its
propaganda.
There are other examples. Tenants with precarious or low income live in
normal degraded accommodation. The backer or the co-ownership union
negotiates refurbishment, financed by a public loan. This improvement, up to
standard norms, brings about rent increases leading to the eviction ofinhabi-
tants who were originally satisfied with slightly subnormal housing. Another
example relates to families who exceed density norms (inhabitants per square
melre) and so are not entitled to APL. They have a choice between hiding in
order to remain together but not being able to claim benefits, or receiving
benefits but being separated. This is the case not only for African families liv-
ing in standard four-room flats, but also for single 01' divorced mothers with
two children living in studios.
Personal housing assislance is running out as it tries to fill the gap between
post- (or pre-) fordist income levels and the cost of normal fordist housing.
Within this context, a third solution is spreading among many housing pol-
icy managers and decision makers, as well as among activists protesting for
improved living conditions. While being indignant at the 'shocking' gap be-
tween fordist housing norms, which were considered as haVing been won,
and the impossibility of guaranteeing them for everyone without reforms at
the level of income distribution and stability, they are looking for a way to re-
newed social housing action. Following the words of the Abbe Pierre, 'By re-
fusing to house the poor allower norms, we end up not housing them at all',
these officials and activists are forced to reconsider the notion of normal
housing. This approach leads to distingUishing three notions:
• The right to normal fordist housing. This norm was based on three
elements: a standard of comfort, industrial standardisation in
RETHINKING SOCIAL HOUSING IN THE HOUR·GLASS SOCIETY 187
.111 a consumer soc ',ety (allowing space for furniture and household
< .
appliances, even space for cars). Since the last two element~ no .
longer mean much for the lower part of the hour-glass SOCIety, thIS
normality becomes obsolete.
• The right to dignified, decent housing. This is no doubt the aim to
pursue, but it has become a fuzzy objective which eludes ..
standardisation and which must take account of cultural, famlltal
and micro-ethnographic elements. Converted lofts arou~d ~n
industrial yard can offer decent accommodation ~~d a dignified,
indeed happy, life in certain organisatIonal condItions of everyday
life.
• The right to shelter. This issue is raised by the proliferati?n o,r
homeless people. It is probably the only part of th~ mythIcal right
to housing'S which can give rise to a legal obhgatlon, through the
appointment of a responsible authority (wh~ can. therefor~ be sued)
for its effective implementation. Pursult1g thIS thtrd objectIve caiis
for international juridical comparisons, for instance WIth countries
where vagrancy is illegal and certain authontles are IpSO jitCIO
responsible for providing shelter. .
Pursuing the second objective opens a vast theoretical and practIcal field
around the physical and institutional b,'icolageinvolved In maklt1g a new type
of social housing: self construction, improvlt1g old or degraded houslt1g,
renovating squats and lofts, policies for 'sensitive' neighbourhoods, etc. How
can decent accommodation be created with a minimum of heavy wad, and
without buying land? How can rent be secured for people WIth pre~arl~us or
nonexistent incomes? How can people feel that they are pat'tlclpatlt1g It1 the
improvement of their own living conditions?
In the face of this sad, modest and noble ambition, there are two dangers.
On the one hand, the definition of decency may be lowered to an absolute
minimum, or on the other hand, the definition of decency may be pulled to-
wards fordist norms, for example, by imposing reqUIrements for car parklt1g
or electrical heating systems, which would only reproduce sltuatl'O~s of ex-
clusion. In the context of the general degradation of housing COndItIons, de-
manding the best may be tantamount to denying the good.
'j The problcm<ltic constiUltionalily of the right \0 housing was confirmed by the !uddg'bm',ot
on the orclIpnlion of a huli,
. " mg.In avenue Rem. C0 ty by migr;mt ,sgualters orgalllse y llC
d,ssoci<ltiOI\ /)roll (fU L(J,~mJmt.
188 SOCIAL EXCLUSION IN EUROPEAN CITIES

References
Ballnjn, R. and Benguigui, F. (199 5) Lo,~rr /0 p(r!onnrs difdlIOrtS(rs. La documental ian
fran,ai,e, Pari, (mai).
Lipielz, A. (1995) 'Avoiding megapoliz:aiol1: the battle of IIc~de~France.' European CHAPTER TEN
Planing SfJldi,s 3, 2.
Lipietz, A. (1996) La sOC/tte w sahhn: Lr pdrtd,-~( du traMl'1 contr( la dlchl'nlr( SOC/d!t. Paris:
Editions La Decouverte. Policies Against Social Exclusion at the
Neighbourhood Level in Germany
The Case Study of Northrhine-Westphalia
Susanne Kurpick and Sabine VVi'ck

Economic restructuring and increased socio-economic polarisation can be

observed in Germany, as in other countries in the Western industrialised
world. [n parallel the political and social sectors have been deregulated, The
social achievements of the welfare state have been questioned. It is, above all,
the municipal level that is challenged to cope with the negative effects of the
secular trend from the 'welfare state' to the 'entrepreneurial state', The large
German municipalities, especially, find themselves in a dilemma, caught be-
tween tightened financial budgets and an urgent need to respond more
closely than ever to growing internal disparities and processes of socio-
economic polarisation.
The extent to which social polarisation has increased in the recent past is
illustrated by data on the changing income distribution. Increasingly, the
working middle class and low wage workers who, 10 or 15 years ago, felt
themselves to be in a relatively safe position, now see themselves threatened
with becoming cut off from the mainstream. A recent study commissioned by
the German trade unions association showed that the wages of nearly 12 per
cent of socially insured employees working full time were below the relative
poverty line, defined by having an income orless than 50 per cent of the aver-
age wage,
The trend to increasing socio-economic polarisation is paralleled by
growing spatial disparities. Until now polarisation processes in Germany
have not resulted in severe manifestations of destruction and devastation,
such as in the distressed inner city neighbourhoods oflhe United States, nor
expressed themselves in violent ;:lctions, such;ls on the periphery of cities like
 190
SOCIAL EXCLUSION IN EUROPEAN CITIES
Paris or Lyon (Dubet and Laf,eyronnie 1994) And y t t h ' b .
. e ere IS an 0 VIQUS
danger of whole neighbourhoods sliding into a state of social deprivation
cut off from the urban and regional mainstream, as not only the traditionalla~
bour market but ~Iso th~ welfare state lose their socially integrative power
and prevJOus sOCIal achIevements and standards are put into question. As
Henmng Voscherau, Mayor of the City of Hamburg, put it: 'The classical
~ompensation and integration mechanisms of a social market economy dur-
Ing a period of growth are having no effect, and the Federal Government
doesn't even appear to want it' (Voscherau 1994, p.256). And while:
Cities have always been characterised by unequal opportunities... until
now the spatial proximity of poverty and prosperity offered, in princi-
ple, the opportunity of gradual integration and social mobility. The cur-
rent social polarisation processes are dangerous for the reason that at the
end of this development there will be a totally polarised separation of
these social and economic spheres. (Voscherau 1994, p.259)
This chapter concentrates on the Land of North rhine-Westphalia in order to
show the nature of social exclusion processes in Germany and policies for
combating them at the neighbourhood level.
Economic restructuring and social exclusion processes in
Northrhine-Westphalia
Economic restructuring has had an especially strong impact on the densely
populated area of Northrhine- Westphalia with its tradition of large-scale in-
dustry. In particular, the district along the river Ruhr, an area of about 4400
sq. km with a population of about 5.4 million, has been affected by the im-
pact of restructuring processes which have led to the closure of coal mines,
steel plants and associated supply industries. Today, the former bases for eco-
nomic growth, the steel and coal mining industries, are heavily subsidised.
Together with functionally related sectors, they still offer relevant potential
Jobs, but what had once been the basis for economic growth has been re-
duced to a few plants, themselves currently threatened with closure.
With the dismantling of industrial activity, work and the social networks
surrounding .it lost their socially integrative power. The erosion'ofthese pro-
cesses had wlde-rangmg repercussions on the stability of whole neighbour-
hoods. Everyday life for many families in the Ruhr District was centred on
:"ork in the coal mines, steel works or other large factories. Large works hous-
mg schemes provided housing, as well as social life and leisure activities, de-
veloped on the basis of the common work experience (Aring el dl. 1989).
With the closure of plants and whole industries, these traditional social net-
\\lorks and milieus have been eroded. With growinD' ."orbl jnpnll~ljt" rr'J"t~jn
POLICIES AGAINST SOCIAL EXCLUSiON IN GERMANY 191
individuals or groups of individuals have become vulnerable to social exclu-
sion. Above all the long-term unemployed, but also the second and thIrd gen-
erations of the (overwhelmingly Turkish) foreign population and newly
arrived migrants, are in danger of becoming permanently excluded (St~ubach
1996, p.20), not only from the formal labour market but also from sOCIal and
cultural opportunities. ..
The sociai integration of migrants in this region has tradttlonally always
taken place via work (IBA 1995, p.9), a path that is now blocked for many
non-Germans. Although Ihe social integration of individuals does not de-
pend entirely on monetary income and paidemployment, work and access to
education and qnalifieations are central to It. It IS especIally hard on young
people to be excluded from the labour market and the 'normal' opportunities
and practices linked with it, such as personal Income, credIt and a range of
other facilities. Those without work define themselves not through what they
do, but what they are, Ihat is, as members of the local groups they belong to or
as members of ethnic or national communities (Touraine 1996), a process
which may also sharpen intercultural eontlicts or promote extreme political
positions. ,
The extensive switch of the labour force to the tertiary sector, a trend at
the national level in the I980s, bypassed the Ruhr District. The growth in
producer and financial services has favoured urban region~. like Munich,
Frankfurt and Stuttgart, and, in Northrh1l1e-Westphalla, Dusseldorf. The
trend was relatively weak in the Ruhr District and did not compensate for the
collapse in manufacturing employment. The absolute dominance of a few
large industrial clusters in the past had a strong intlue~ce on the structure of
settlement in this region, its infrastructure and the qualtficatlOns profile of Its
workforce. While the existing infrastructure is still efficient, it is inadequate
to the needs of modern growth industries. Settlement structures have devel-
oped in a somewhat disordered way based on the interests of heavy industry.
Thousands of hectares of dangerously wasted derehct land are another hen-
tage of rapid industrialisation in the Ruhr District. Also, the qualifications
profile required for new jobs in the tertiary sector does not match the profile
of the workforce laid off from the industrial sectors. All these factors affect
the innovation potential of the Ruhr District and Northrhine-Westphali~ as a
whole and have been focus of various modernisation policies and regIOnal
structural programmes by the Land of Northrhine-Westphalia over the last
two decades, among others the structural programme of Ihe International
Building Exhibition Emscher Park. A further funding programme, aimed at
the promotion of integrated approaches to the regeneration of disadvantaged
urban neighbourhoods, was launched in 1993. Currently 2 I local pnonty
.. • .•• :".~ ....",.-;r " .. no ;h'~I. • ....l_.J ~._ .l_~_ _ __
 I'OLlCIFS ACAINST SOCIAL EXCLUSION IN GER,'vIANY 19 J
192 SOCIAL EXCLUS10N IN EUROPEAH CITIES

Selection of targel areas included in the state funding programme is nDt

In Ihe national context, the Northrhine-Weslphalia Land initiative stands
based Dn stalist;cal data Dnly, but also onlhe local political commltmenrtolll-
oul. Only the cily Slates of Hamburg and Bremen have promoted similar iI1le-
stitutiDnal ;nnov"tion and I he deve lopment of inte grated regeneration "ellDIl
grated approaches.
The remainder of this chapter discusses the different DrganisatiDnal ap- IllEDEnSACIiSEtl

proaches tDwards, and early results in, promoting social integratiDn at the
neighbDurhDDd level in Duisburg-Marxloh and I-Iamm-Norden in
Northrhine-Westphalia.
NIEOEf~LAtIDE

Key features of the NDrthrhine-Westphalia Land funding programme

Currently 21 neighbourhDods in 18 cities in Northrhine-Westphalia have
been included in the funding programme, which is designed to be open to
further neighbourhDDds. The programme targets thDse neighbDurhDDds that e AHlEH
show increasing instability in their social structure, economic base, physical
structure and quality of housing. The focus on neighbourhood is essential to
the programme's objectives. The neighbourhood is the spatial point ofrefer-
ence for everyday life. It is, simultaneously, a place tD live, to earn one's liveli-
hood, 10 participate in social institutions and to engage in social interchange
(Alisch 1996; I-Ierlyn, La;emann and Lettko 1991). Approaches and strate-
gies aimed at the improvement of living and working conditiDns must start
with the everyday life experience of target groups. In each of the neighbour-
hoods, actiDn concepts have been developed which reflect the specific nature Il E 5 5 f 'I

of its everyday life.

The neighbourhoods included in the programme so far can be divided
into two groups. The first group is made up of inner city areas, often close to
industrial areas or derelict land, with ecological and environmental problems
resulting from past industrial activities. These areas are often predominantly
working class areas. Social links were based on work in local steel or coal RIlEIHlAIIO PfAll

mining plants and with the close down of the traditional industries these °KOpenhago n
links and traditional milieus disintegrated. Yet there is often still a vivid
socio-clliturallife and a trades union based political culture in these areas. Ex-
Boundary
amples Df this type of area are the neighbourhoods of DlIisburg-Marxloh, •
• Ruhr-Alea Amslarda
DlIisburg-Bruckhausen, Dortmund-Nordstadt, Essen-Katernberg and
• Rhillc·Arc;! BrOssel
CDIDgne-Kalk, among others. The second group of neighbourhoods are •
$f:l\1' I 1 'JOO {JOD
found on peripheral housing estates built in the 1960s and 1970s, with their
well known environmental and stnlttllral defects: an often monotonouS Edition and Cartography:
Resear(h h151iWIl' for Regional and Urban DcvclopmcrH
physical envirDnment lacking much in the way of amenities, infrastructure •
of Ihl' Fcdn.ll SIal(: of NOrlhrhinc-Weslphalia Bmn
and services, and isolated from emplDyment opportunities. Social identity
and netwDrks are normally we;lk and there is a tendency to social disintegra-
tion. These areas include CoIDgne-Chorweiler, Dortmund-Scharnhorst, FlgllU 10, f Location of the 21 neighbourhoods WIth spcn'{fl rc,~cnt'ra(inn nads in
I •L ~ •. ~ . _. .r' _ U~n.,,,/',,I,,,
 POLICIES AGAINST SOCIAL EXCLUSION IN GERMANY 195
SOCIAL EXCLUSION IN EUROPEAN CITIES

concepts. Instead of an overly rigid application process, it has been lefl to mu-
nicipal authorities to select those urban neighbourhoods, within certain
socia-economic criteria, which they were committed to and wanted to see in-
volved in the programme. The funding is targeted at meaSures for urban reha-
bilitation, economic development, training and qualification schemes, social
initiatives, support for local initiatives and associations, and improving social
services and cultural f.1cilities. The institutional emphasis of the programme is
targeted at both transcending traditional departmental thinking and enhanc-
ing partnership and networking at the local level.
One of the most innovative characteristics of the Northrhine-Westphalia
state funding programme in the German context is that it is funded from vari-
ous state department budgets. When the programme was launched, it was
claimed that urban rehabilitation policies or social policies, implemented in
isolation from each other, had limited scope for stabilising regeneration areas.
A more coordinated and effective deployment of departmental funds was
seen to be essential to trigger off wide ranging, rapid and sustainable im-
provements in economic and social living conditions in the targeted areas.
Thus, one of the key objectives of the programme is to promote coordinated
funding for complex projects at the neighbourhood level. Although addi-
tional projects also get funded, the programme is aimed above all at explOit-
ing the synergy effects from a more coordinated deployment of already
existing funds. Since the Programme for Neighbourhoods with Special Re-
generation Needs was launched in 1993, it has clearly developed as one of
the main action fields in Northrhine-Westphalia structural politics.
An interdepartmental steering group has been built up for coordinating
strategies and managing the whole programme, in which nearly all Land de-
partments participate. Projects developed within the action concepts for the
neighbourhoods are approved by this steering group and then receive fund-
ing priority in the budgets of the various departments. In addition to the co-
pol icy fields. It has become clear in the last few years that effective ap-
proaches towards the reviralisation of deprived areas require transcending
narrowly defined categorical initiatives and establishing strong linkages be-
tween them (for example, between economic development, investment meas-
ures and active employment policies, sporlS activities and social objectives,
qualification programmes and general public improvements) in order to pro-
mote synergy effects between the different activities.
Second, it focuses on networking of actors both horizontally, at the
neighbourhood level, and vertically within the established policy system.
Previous experience showed clearly that successful and sustainable regenera-
tion strategies must foster strong linkages among all those with a stake in the
neighbourhood. There is an obvious need for a partnership approach be-
tween the local authority, business and residential community in order to re-
spond more closely to local needs, adapt standard programmes to specific
local needs and opportunities, concentrate all available resources on the local
level and mobilise the critieal mass of the area's own resources and know-
how. This vision calls for the establishment of an adequate organisational
framework for networking and a more communicative, cooperative and par-
ticipative approach. In most of the neighbourhoods selected for funding, re-
generation initiatives had already been launched by guite a variety of
different actors, for example by a group of parents and teachers who had
been scared by growing violence at school, or by;m association oflocal retail
traders faced with decreasing purchasing power in the neighbourhood. The
crucial point is to pick up these local initiatives and bundle endogeneous po-
tential together.
lnttrdependenf
Rcgiona.l Ministriea Steering Group
Lm'
ll.u>d NRW I Municipalities ILS
Network ofCilfts

ordination of sectoral departmental funds, a fund 'with no specific

Sleering Group
designation', available for unrestricted use, was also established for greater IMunicipAlil)' I ~ ~ Administration Inner~dmininr.lfive

Oexibility in reacting to local problems and opportunities. City Council

Coordin:nion Group

Neighbourhood

I~"I
Scl>oo" Cl>url>oo Rmdel"ltiaJ
OmcdM~n~gn
Community
Ul/derO"lIg prll/Clples
On the basis of the experience of pilot projects in a few innovative munici- ~om
~
Dirtrid
Politici~
• """"""'' '
ClrvniutiOO1
Neighbourhood
Confercntc~

Districf Counril
palities, the Land funding programme was designed following four key prin-
ciples.
First, the programme is aimed at a more integrated regeneration approach
at the neighbourhood level, promoting a holistic approach and stronger link- FI/'yre 10.2 Vcrrical dnd bOr/z.onld/ /IctlJlorking within the Northrhi!1c" JVCJfph,t/ictfimding
ages between regeneration strategies in different, traditionally separated, programme (adaprrdJiwn KllrfJ/ck (995)

196 SOCIAL EXCLUSION IN EUROPEAN CITIES
An area-based approach at the neighbourhood level creates added value that
cannot be realised with centrally devised policies or standard programmes at
the city or higher policy levels, Neighbourhood-based regeneration initia-
tives are more apt to identify local opportunities and develop synergistic ac-
tivities in regenerating the area, Yet concentration of resources on
geographically small areas will be ineffective if the neighbourhood approach
is not embedded within a city-wide strategic approach and a coherent and
supportive system of policies at higher policy levels, Thus, the financial and
organisational support from the Land is contingent on a clear statement by
the municipal authorities of their willingness to develop an integrated ap-
proach towards the regeneration of a specific neighbourhood, The city coun-
cil must demonstrate its political will to make a concerted, medium to long
term effort by formally adopting a resolution based on the action concept de-
veloped for the specific neighbourhood,
The third key principle of the programme is to allow flexibility at the local
level in the management and implementation of strategies, Neighbourhood
regeneration approaches are embedded in quite different organisational ways
in each of the cities involved in the programme, The organisational arrange-
ments vary according to local problems and potentials, as well as specific his-
torical, political and institutional settings, There is, of course, no one single
way to organise the regeneration process, As a rule the neighbourhood ap-
proach is implemented under the overall control of a particular city depart-
ment, most frequently the planning or urban development department. Less
frequently, the social or youth welfare department may be responsible for its
overall management. Different forms for interdepartmental action have been
developed by different municipal authorities, They include the establishment
of interdepartmental project teams, the establishment of development agen-
cies outside administration, or setting up new decentralised interdisciplinary
administrative units, In most cases, small public neighbourhood management
offices have been established in the neighbourhood areas, operating in an aC-
tive, open and flexible way, The objectives of these nei ghbourhood offices
are primarily to develop and promote projects in cooperation with local aC-
tors and residents, to coordinate public policies and adapt them to local
needs, and to promote networking among all those with a stake in the area,
Besides coordination and moderation, some of them also actively develop so-
cial and cultural infrastructure,
finally, the fourth characteristic of the programme is the transfer of
know-how and exchange of experience in order to learn from each other,
Neighbourhood conferences have been or will be organised in each neigh-
bourhood to provide a forum for presenti,~g .:'~d discussing the str"tegies and
197
rOI.lCIES AGAIt'i5T SOCIAL EXCLUSiON IN GF.Rr.lANY
missioned the publicly financed Research Institute of the Land of
Northrhine-Westphalia (ILS) to organise and promote the exchange of expe-
rience within the network of cities included in the programme,
In order to give deeper insight into the objectives and pdnciples behind
the programme, its implementatinn in two neighbourhoods WIll be presented
in more detail. The two examples vary considerably in terms of the character-
istics of the areas as well as in the organisation of the local regeneration strat-
egy, While the first example, Duisburg-Marxloh, represents a lively inne,r dty
area with housing dating back to the end of the 19th century and contamIflg
substantial commercial and industrial zones, the second example, Hamm-
Norden, is characterised by a heterogeneous mix of housing and a residential
population with weakly developed social networks, In both these neighbour-
hoods, fairly institutionalised and formal structures have been set up, whereas
in other neighbourhoods within the programme" regeneration appr,oaches
have been characterised by more open and fleXible forms, [n DUlsburg-
Marxloh, a development corporation acting in cooperation with an adminis-
trative unit has been established in the neighbourhood, Hamm-Norden
started with decentralisation of social services and their cooperation with
other actors in the neighbourhood,
The example of Duisburg-Marxloh
The City of Duisburg, with more than half a million inhabitants, is one of the
most im portant economic centres in the Ruhr District. Due to its centralloca-
tion in the rail and road networks and the fact that it hosts the largest Euro-
pean river port, it plays a role even in the European context. With
industrialisation in the last century, Duisburg developed into a prosperous m-
dustrial city, whose outward appearance, architecture, functio,n, quality oflife
and population structure were shaped by the coal and steelll1dustrtes: O:er
and above the trends of structural crisis affecting the whole Ruhr Dlstnct,
Duisburg is exposed to particular pressures on its urban econoo;y and is chal-
lenged to reinforce its role in the regional, national and international context.
The neighbourhood of Marxloh is situated on the northern fnnge of the
city, It used to be industrial, with the coal and steel Ifldustnes provldIflg both
jobs and housing, forty-six per cent of the land in Marxloh is still in commer-
cial or industrial use, The fortunes of the neighbourhood have always been
dominated by pits, blast furnaces and metallurgical companies which border
it. Today, its close proximity to industrial uses is considered as one of the
dominant factors in the decline of rhe neighbourhood, Apart from its close-
ness tD indusrri,,1 sites, the area also suffers from heavy traffic. Both these fac-
 198 SOCIAL EXCLUSION IN EUROPEAN CiTIES
POI.ICIES AGAIHST SOCIAL EXCLUSION IN GERMANY 199

tors strongly affect the local environment and the health of the local
population.
Structural crisis in the coal and steel industries has hit Marxloh quite hard.
In the last five years only, 6000 jobs in the bordering factories and pits have
been lost, with consequent effects on locally dependent small and medium
size enterprises and on local purchasing power (Prajrkt Marx/ah 1996, p.4).
Abandonment by private capital and deterioration of the physical environ-
ment brought with them a spiral of deprivation, resulting in further eco-
nomic and environmental deterioration. Selective emigration of the
economically better-off population has contributed to increasing socio-
economic imbalance in the neighbourhood and accelerated the decline of the
area as the traditional trading centre in the north of DUisburg.
About 2 I,000 people live in the neighbourhood. In relation to the City of
Duisburg, Marxloh has a high unemployment rate, 25 per cent, versus 19 per
cent in the whole city. Fifteen per cent of the population in Marxloh live on
social welfare, and 15 per cent leave school without certificates. At 36 per
sponsible for physical and eco?omic regeneraIi~n sI~ategies in Marxloh.
EGM is a corporation set up oUIslde the city adnllnlstratlon, but 1DOper cenI
'ned by the City ofDuisburg and receiving 90 per cent ofltS funding from
the Land of Northrhine-Westphalia. It, thus has arm ,s-Iengt l
0\' tid'
1 ree om 111
budgeting and managing its activities. In 1996 EGM established, with finan-
cial support from Communimy Initiative URBAN, a small local ec~n.omIC
development company (EGM Wil'tschaji), which, together with an InitiatIve
in Bremen, is a pioneering project in Germany for promoting the local econ-
omy in a neighbourhood. The objectives of EGM Wlrlschafi are W Improve
job and income opportunities, to stabilise the number of local reSidents and
purchasing power in the area, and to strengthen the Identlfic~tlon of the local
business community with the neighbourhood.lts activities aIm at stimulating
new economic activities, improving the rate and quality of new-start busi-
nesses, and promoting networking among the business communities, with a
special focus on the ethnic minority economy.
._-="-~-. _.~-~-'------'
v_·~ ___ ~

cent, the proportion of foreign nationals, mostly of Turkish origin, is well Pro;ekt Marxloh
over the city average of 17 per cent (Projekl Marx/ah 1996). But there are also Duisburg-Marxloh Development Corporation EGM
District Projecl
specific opportunities arising out of the population structure and the eco- I
Local economy
nomic development potential in Marxloh. For example, the high concentra- Physical rcgeneralion and
modernization
tion of mostly Turkish nationals in the neighbourhood has already led to the
development of lively and diverse ethnically based economic and social net-
works. · Employment and
qualification
Information and
participation of
· Business information and
advice, especially business
schemes in both residents in sfart~up advice

Ol:~alll:raliolia/ approach
sodal and
commercial trades
physical
regeneration · Development of
industrial/commercial sites
The City of Duisburg has promoted an active and integrated approach to- · social
Improving the
infra-
projects
Conversion of · Creating employment
opportunities
wards the regeneration of the district Duisburg-Marxloh, establishing ['rajekl
Marx/ah in 1994. The objectives of the action concept for Marxloh are to im-
·
structure
Providing
listed buildings
into intercultural
and social facilities
· Stabilizing of purchasing
power and number of
prove, in a sustainable way, the economic base and housing situation in the additional
. Encouraging residential population
neighbourhood, to improve relationships between Germans and non-
Germans by developing adequate social infrastructure, and to improve the ·
services
St;lbilis;llion of initiative and · Strengthening the
and business communities
residen~ial

social structure giving advice to

identification with their
ecological and environmental situation in the neighbourhood. The approach and re1iltions local private
neighbourhood
is characterised by two goals: first, to link employment and structural poli- housing owners
cies, such as establishing the interlinkage of urban renewal measures with em-
between Germ;ms
:md non-Germans on modernization · Strengthening cooperation
Activating self-help potential

ployment and training schemes; and second, to develop and exploit the · lm'olvemcn! and
mobilsiltion of
· berween German and
potential for self help (Prajekl Pdarxlah 1996, p.6). residcnlS
non-German business
ProJekl Marx/ah is divided into two organisational parts, both established
since 1994 in the neighbourhood. The first part of the regeneration ap- '-.-_. __ .~.- ..",--'---- ,----
communiry

proach is promoted by the locally based Duisburg-Marxloh development

FI:~lIrr fO.} Or,~'1f1"S{/tl'(Jllcrl app1"fldch rifProjekt 1\1arxloll (b.vrd on Projckt Marxloh f996)
corporation EGM (ElIllI'i[kltm.g~~cse/lscha/i lJlIlsbur~-Marx/oh), which is re-
 200 SOCII\[, EXCLUSION IN EUROPEAN CITIES
EGM cooperates very closely with the second organisational part of Prol,kt
Ma,.xloh, which is a local administrative unit for promoting social regen~ra­
tion strategies in Marxloh, called the district project (Stadtwlpro/ekt M~rxloh).
The activities of Slddtle1lpl'OJekt IHarx/oh are to carry out employment and
qualification schemes focusing on young people, the long-term unemployed
and social welfare recipients, to improve relationships between Germans and
non-Germans, to develop adequate local social and cultural infrastructure
and to activate residents' involvement in the regeneration process (Projekt
M,'rx/oh 1996, p.7). The approach of Slddllellpl'Ojekt Marx/oh is aimed at link-
ing qualification and employment schemes with work which benefits the lo-
cal neighbourhood, that is, carrying out work in socially useful areas.
Although these qualification and employment schemes in the secondary la-
bnur market cannot compensate for the continuing industrial job losses, they
give an essential impulse to the neighbourhood and activate residents.
Already 360 individuals in both social and commercial trades are em-
ployed through Stadllellpl'Ojekt !vlarx/oh. All projects and schemes follow the
principle that it should be primarily local residents who carry out work in
their neighbourhood, that is, more than 50 per cent of the individuals em-
ployed in the schemes should be local residents. In addition, non-Germans,
with a special focus on women, arc participating in the schemes according to
their share in the residential population. In the commercial sector, projects in
fields such as landscape design, catering or construction have been estab-
lished. In the social sector projects for the promotion of self help, child care
and care for the elderly have been set up. All the projects combine training
opportunities, advice and access to formal qualifications.
Expel'lfllceJ
The stable and professional organisational framework for regeneration set up
by EGM and the district project, with their personnel and financial resources,
has both provided the base for effective organisational structures linking the
neighbourhood and the city level and developed a point of reference for all
actors in the neighbourhood. It has been most important that city level politi-
cians and officials have backed the action concept and that a continuing, or-
ganised and efficient dialogue between the neighbourhood and the city
council and its administration has been established. The neighbourhood cen-
tre, which includes a cafe, neighbourhood office offering advice and help
with official issues, correspondence and translation, and the office of EGM,
has become a job and communication centre for the whole neighbourhood.
The crucial point of such an organisational approach is that the adminis-
POl.ICIES ACA1NST SOCiAL EXCLUSION IN GF.RlvIANY 201
both organisational parts of Prole}t Marxla;' are established in the neighbour-
hood on a limited time scale, their strategies must focus on 'initialising' net-
works and being a pacemaker in a proc~ss in which other local actors and
community org:misations take over more and more responsibility and control
before the administrative actor is withdrawn from the process. For sustainable
development, roles and objectives in the regeneration process must be organ-
ised according to this go:" from the beginning, promoting self help and the
active involvement of the residential and business community.
The close interlinkage between EGM and the district project within an in-
tegrated action concept has been very important for strengthening social net-
works and intercultural links in the neighbourhood. Associations,
organisations, institutions, individuals and local enterprises have been in-
volved in the process of developing ideas and concepts and in the practical
implementation of various measures. Duisburg-Marxloh is an example of a
neighbourhood in which the German population was more socially destabi-
Iised and isolated than the non-German population. Behavioural attitudes
and a lack of entrepreneurial spirit seemed to constrain self-organisation and
bottom-up initiatives among the local German population.
Linking employment and structural policies has been especially useful for
both giving a clear and visible sign of improvements in immediate living con-
ditions and providing essential economic opportunities for the neighbour-
hood. The qualincation and job schemes of the district project arc directed to
socially useful areas of work that could not be otherwise covered by the mu-
nicipal authority due to financial restrictions. To involve local residents in
projects which benefit the wbole neighbourhood both strengthens local
identincation and also makes them central actors, generating multiplier ef-
fects for the neighbourhood (see ILS 1996; Projekt Marx/oh 1996).
TIle example of Hamm-Norden
The City of Hamm, situated in the east of Northrhine-Westphalia, and more
precisely, on the eastern periphery of the Ruhr District, is a relatively small
city with 189,000 inhabitants. For decades, coal mining and related indus-
tries had a strong influence on its economy and urban shape. Hamm-Norden
is a traditional working class neighbourhood, located on the fringe of the
municipal area of Hamm. Due to its geographical location, separated from
the rest of the town by a river and a canal, the area has always suffered from
spatial disadvantage. Apart from the typical problems due to its isolation and
difficult access, Hamm-Norden also suffers from considerable traffic and pol-
lution. In addition, the rail infrastructure cuts the neighbourhood in two.

202
SOCiAL EXCLUSION IN EUROPEAN CITIES
Apart from its spatial disadvantage, the area is characterised by dilapidated
social housing estates and a highly heterogeneous residential population.
The neighbourhood, mainly built up between 1950 and 1970, falls into sev-
eral parts. It is essentially composed of social housing estates, mostl y residen-
tial blocks with 6 to 8 floors. In the 1980s, due to changing rents and social
housing regulations, many families with low incomes and of migrant origin
moved into the area. As a consequence of structural neglect over many years,
the housing estates are in a poor state of repair. Housing renewal work is tar-
geted on some of the blocks and is being carried out by a state-owned devel-
opment corporation. Apart from the social housing estates there are also areas
with detached and semi-detached houses in private ownership and areas with
municipal emergency accommodation built especially for the accommoda-
tion of migrants.
Over 14 per cent of the area's total population of about 14, 100 is of mi-
grant origin, compared with II per cent in the city as a whole (municipal
data, December 1994), while in some of the blocks this proportion is up to
56 per cent (llS 199 Sa, p.9). Fifty-two per cent of the population of migrant
origin is Turkish, and 12 per cent is Moroccan. The non-German population
is younger than the population elsewhere in the city. In some of the blocks,
more than 50 per cent of the children are of migrant origin (llS 1995a, p.9).
The co-existence of communities with different cultures, nationalities and in-
terests and, above all, the lack of links among these groups has led to severe
conflicts, especially in the geographically small part of the neighbourhood
with residential blocks built during the 1960s and 1970s. The population
has grown rapidly over the last three decades and although the rapid housing
and population development was evident and easy to foresee, adequate social
and transport infrastructure for the residential population was not provided.
There is a clear lack of social, cultural and leisure opportunities which could
foster links between the different residential communities. Also links be-
tween the neighbourhood and the whole town have been missing. Due to the
lack of adequate and culturally sensitive infrastructure, especially for children
and young people, the area has suffered from a high propensity to violence
among adolescents, high rates of delinquency, drug consumption and traffic,
conflicts between various youth gangs and violence against children and
adults.
All socia-economic indicators, such as the unemployment rate, the high
proportion of social welfare clients, and so on, characterise the area as one
with special regeneration needs. On top of that, the residential population is
suffering from the stigmatised image of the neighbourhood. Young people,
for example, are reluctant to name their home address when applying for
inh" -,,, tl~p" .....'" "' ....... ,., ~(" .. I-. .. ~('c~,,~ _(' .. 1...
20J
POLICIES AGAINST SOCIAL EXCLUSION rN GERMANY
Olganisal/ollal approach and acto" Iln'olvcd
Against the background of increased violence and. deli~quency amo~g
young people, a neighbourhood initiativ~ .aim~d prImarIly at preventIve
you th work was established in 1992. The Initiative was . launched. by a'local
secondary school that had been frightened by the high propenslly to :'10-
lence among schoolchildren. Local reSidents, various SOCIal \:ork profeSSIon-
als and local authority officials participate in the preventtve youth w?rk
initiative, Pravent/vkre,! Hammer Norden, which brings together r.epresentatlves
from churches, local associations, independent welfare agencIes, youth and
social welfare departments, and politicians from the City and District Coun-
cils. It was the initiative of this body that led to the developme.nt ofa mme de-
cen tralised and coherent approach to social revitallsatlon . In the
~
neighbourhood. The youlh work initiative developed an actIon co~cept ,or
the social regeneration of the neighbourhood: called for concrete Improve-
ments, and achieved the establishment of a neIghbourhood centre as.". b~se
for social service delivery organisations. At the time the youth work tnltlatlve
was set up, there were parallel discussions within the local auth~rtty about re-
organising its social services delivery structures, and th~ nelghbourh~od
J-Iamm-Norden was chosen as a pilot project area. Also, wlthm the planllIng
department there were endeavours to focus on the physical regeneration. of
the area and to put a stronger emphasis on social factors and the partiCipation
of local residents. All these endeavours and initiatives were bundled IIlto the
project for a Social and Community Orientated Action Concept Hammer
Norden which was agreed by the City Council in 1993. The neIghbourhood
was one of the first areas included in the regeneration funding programme of
Northrh ine- Westphalia. . .
Shortly aner the city council approved the action conc~pt, two mdepend-
ent welfare agencies moved into the area and started work In July 1993 m ~ne
of the conflict areas in the social housing estates. A plannmg office, speCIal-
ised in the involvement of local residents into urban renewal processes,
moved into the area shortly afterwards and in November 1994, locally based
units of the youth welfare and social welfare agencies joined them m a former
school building, called the neighbourhood centre Hamm~Norden (Stddtletl-
zenll1an HdmIllNordcn). The underlying rationale.ofthe nelghb~urhood cen-
tre is to bring all the social and youth services deltvery organIsatIOns together
in the neighbourhood and link their activities and services to support. target-
oriented community work. The neighbourhood-based approach IS aimed at
being more responsive to local needs and to realising synergy effects through
mor~ coordinated and decentralised aClion among the different services. It
has been especially useful that the SOCi;l! welfare dcp~rtme~t,. v..: hich ~sua~ly
.:. __ : ~C .. L_ .. _
 2lH SOCIAL EXCLUSION IN EUROPEAN CITIES POLICIES AGAINST SOClt\L EXCLUSiON IN GERI\1ANY Z05

and activities facing the neighbourhood are presented and discussed with lo-
I LOCJI ResidcllliJI Communities

1
I -- cal residents, The ideas, comments and criticisms of the local reSidents are
hannelled to the relevant local authority officials and results fed back at the
t ~ext conference. Parallel to the neighbourhood conferences, which give
Adminim:lfion Clt v Council District Council Committees every resident the chance to bring forward his, or her ideas and get involved in
Board of Welfare AQencies the development of the neighbourhood, speCial emphaSIS has been put on es-
tablishing adequate forms of participation and in:olvement for ~ach of the
Neighbourhood Conference specific projects being implemented In the area, .The partlclpatton mecha-
Input, Q!!ality Conlrol, Presentation nisms arc responsive to cultural and language bamers and have a much more
and Discussion of Issues and Projects proactive approach than traditional participation mechanisms in order to en-
I l-.leiphbourhood Centre Harnm-Norden courage residents to share in decisions about the future of their ar~a, for ex-
Itocall y Locally locally LocalJ ample, in the context of urban planning projects related to the Immediate
1sed Youth based 50- based other based housing environment, photo excursions with children have taken place and
Idfare cial Delivery Deparlment
Prl!!:vl!!:ntive Youth Work Initiativl!!: workshops have been organised for women only.
[~epattment Welfare Agencies of Planlling
PartidpanlS: Association, Independent Wei·
Deoilrlment
- fare Agencies and Charitable Organizations,
X Schools, Nursery Schools, Churches, State.
own Developmenr Corporafion (LEG), Po- Experiences
I Coordinating Group
'Hamm-Nordl!!:n'
Meeting once a fortnight of
Steering
Group
I-
+---+
lice, Social Welfare and Youth Department,
Departmtnt of Planning, R.eprtsentatlve for
I+- The action concept for the neighbourhood explicitly focuses on small proj-
ects and steps towards improving the immediate living conditions in the
Equal Rights, Representative for the Rights
---I all actors of the Neighbour- of Children, District and City Council Poilli- neighbourhood. Projects developed so far have targeted the lacl, of adequate
hood Centre dans, Local Residents infrastructure for children and young people, such as the creation of meeting
and leisure places for young people, attractive playgrounds for,children" a~d a
variety of socia-cultural initiatives, both intercultural Il1Itlatlves and 1111tla-
figure lOA Orgdnisdliondl dpprvdCh ofHdmm-Nordcn
tives responsive to the special needs of non-Ger~an~, have been developed
for all age groups, Activities focus on the mobilisation and r:'0ttvatlon of
of clients' names, reorganised its delivery structure into a geographically young people, especially those marginalised d~e to drug ~ddlctlon,lang~age
based system. problems or lack of access to work and qualifications, Street workers ap-
The more combined approach in community work is fostered by regular proach young people at their meeting places and have developed adVISOry
meetings of a coordinating group, Arbeitskreis Hamm-Norden, in which all 10- services that are easy for young people to access, for example, containers,
cally based units and agencies in the neighbourhood centre participate, The such as those used on construction sites, have been provided for young peo-
coordinating group initiates meetings of a steering group, Lenkungsgmppe, in ple and are used both as a meeting place and a place for offering social serv-
which the heads of the respective municipal departments and welfare agen- ices. Prevention of crime and the establishment of projects preventing drug
cies are represented and which is responsible for strategic decisions, coordi- abuse and addiction have been prioritised in the action concept. Key persons
nating departmental policies and controlling input-output effects, in the neighbourhood, for example, have received qualifications in dealing
Coordinating group members attend the meetings of the steering group and with drug addiction and related problems, .
participate in the decision making, There i..s an established system of report- Also various initiatives aimed at capacity building among the local resI-
ing from the coordinating group to the preventive youth work initiative dents h;ve been launched, for example one especially among women of mi-
through regular meetings, and the youth work initiative receives the minutes grant origin, The action concept focuses on small projects that are easily and
of the coordinating group meetings, rapidly translated into action and the visible improvement of I,:-,medlate hv-
The neighbourhood conference is the arena for discussions with the local ing conditions, This approach is seen as an important steppl1lg stone for
" ." . . 1_~~ - .. "T'L .• c... ~ ...... ,..o" ... rt> .."' .... dr"',.-I ...... rl .. " ......... .-.,.h.,-f h" hnth .1 ~L" ; .... _I ....._~ ••• , . ( \,.-,,...,1 ..", .. 'rlpnfc in tlllllrr nP1D'hbnurhood
 206 SOCIAL EXCLUSION IN EUROPEAN CITIES
action. The philosophy behind this approach is tim it strengthens both the
motivation of local residents to become actively involved in the regeneration
process and gives them confidence in the regeneration process as a whole as
well as in their own capacity.
The active involvement of local residents takes place both in the preven-
tive youth work initiative and its committees and through the neighbour-
hood conferences. One of the neighbourhood conferences, for example, has
been held for children and young people only. But although these formal
bodies offer possibilities for getting involved in the regeneration process, it is
also obvious that in a neighbourhood where there is no local tradition in the
establishment of social networks and political representation, these bodies
will not clearly fulfil their function to represent the interests of the residents
until small and adeguate forms ofpanicipation, 'consulting the clients', have
created confidence and trust among the residents and helped them to develop
their own voice.
Three years after the establishment of the initiative, positive developments
can already be observed in the fact that socio-cultural offerings in the area are
regularly used and residents are showing increased activity in developing so-
cial initiatives on their own. for example, a health initiative offering advice
has been established for Turkish women, and also a women's group has been
funded. A neighbourhood cafe has been established, which especially re-
flects a high degree of personal commitment among local residents and is
regularly used.
Plans for the future include the development of employment and training
schemes for young people, confronting the high unemployment rate among
them. Confidence and capacity building will continue to be a priority in the
neighbourhood in order to broaden the still relatively small circle of people
involved in its development.
Community work in the neighbourhood calls for still more extensive re-
organisation of existing financial and personnel resources. Also, more flexi-
bility in funding social work is proving to be necessary. for example, because
funds that had been assigned to the youth project in and around the contain-
ers were not made available to the neighbourhood in time, due to administra-
tive problems, this offer of meeting and advisory services had to stop.
Conseguently, three years of successful prevention work were reversed and
old phenomena, such as groups ofyouths meeting in the cellars of the blocks,
emerged again.
Direct contact between the 'servers' and the 'served' has proved to be an
essential factor for the stabilisation of the neighbourhood. Social welfare cli-
ents are 'served' in their neighbourhood by persons with whom they become
(;lInili~r and vice vcrs;!. To SUDDort Ihis more tarpet-nt"irntrn rnrnmllnit\f
POLICIES AGAINST SOCIAL EXCI.USION IN GERMANY 207
work, administrative delivery structures have been reorganised and the 'mo-
ving into the neighbourhood' of social services has been a clear sign for resi-
dents that their needs were being taken seriousl\( The approach pioneered in
the area has proved to be efficient and it is planned to implement it in other
areas of disadvantage in the City of Hamm. In the context of the
Northrhine- Westphalian programme, Hammer Norden is a good example of
institutional innovation and the development of effective organisational
structures linking the neighbourhood and the city government.
Conclusions
The sustainability of the efforts undertaken in the neighbourhoods depends
very much on the institutional reorganisations which have taken place, that is,
on the extent of institutional innovation. As to the intentions of the pro-
gramme, the institutional emphaSiS is targeted both at transcending tradi-
tional departmental thinking and at networking on the local level to enhance
the local capacity to respond to social exclusion processes by involving all
those with a stake in the area. Preliminory conclusions concentrate on these
two points since it is too early for a systematic review of all the outcomes of
the programme. Also, such a systematic review would be somewhat mislead-
ing, as integrative regeneration approaches have a long tradition in some cit-
ies, while in others such approaches were only started with the launch of the
Northrhine-Westphalia programme.
It has become obvious in the first four years of the programme's imple-
mentation that the organisational and political embeddedness of the regen-
eration approach has a lasting influence on the success and progress of
neighbourhood initiatives. It also has become clear that in most of the cities,
interdepartmental thinking and acting is easier to achieve around individual,
concrete projects at the neighbourhood level than at a more programmatic
level. QIlite a range of different organisational approaches has been devel-
oped. Whereas some cities gave 'arm's-length' freedom to the neighbour-
hood offices in budgeting and managing the regeneration process, in other
cities administrative regulation sets limits on progress as each single project
implemented in the neighbourhood has to pass the city councilor its com-
mittees. Whereas neighbourhood regeneration in some cities is dealt with at
the level of the political executive, in other cities political support and con-
sensus could be improved. Some of the neighbourhood agency officials claim
that targeting actions to combat exclusion processes in disadvantaged neigh-
bourhoods is still not being given the priority it should have with city coun-
cils.
20B SOCIAL EXCLUSION IN EUROPEAN CITIES
As to the ,ctive involvement of key persons and residents in the develop-
ment ,nd management of projects, different positions and philosophies can
be observed in different cities. Drawing on discussions by Davoudi and
Healey (1995), local governance processes may be characterised as either
more technocorporate, narrowly focused on professionals and administra-
tors, or more participatory, widening the range of those involved as well as
expanding their interests and forms of discourse towards more participatory
democratic forms. As a rule, administrative actors still tend to control agenda
setting and management process in the neighbourhoods. But in many of the
neighbourhood areas included in the programme, there are clear signs of a
shift from an essentially paternalist or welfare approach to politics to encour-
aging civic involvement and actively developing the agenda with neighbour-
hood residents and community representatives and, in some rare cases, the
business sector. Although much of the agenda of the projects was determined
relatively early in the process, there is still flexibility in setting up new priori-
ties and projects at the neighbourhood level. As an ideal case, while the po-
litical 01' administrative actor may still be the pacemaker in the regeneration
process, the focus of the approach is on promoting the potential for selfhelp,
allowing for mutual learning processes, and promoting the development of
self-regulating social systems and networks.
There are also differences in the baseline positions of local communities.
Whilst local capacity in some communities is developed enough to enable
them to make an effective contribution to the neighbourhood regeneration
process, in other communities this capacity and self help potential is less de-
veloped for a variety of reasons, be it widespread apathy or resignation, dis-
trust towards politics and administration, or the fact that individuals are
simply busy with organising their everyday lives. A whole range of different
mechanisms to get residents and community representatives actively involved
in the regeneration process has been developed, such as consultative forums,
regular conferences with all relevant agencies and actors, informal meetings
with community initiatives and so on. Although the development of formal
bodies for the involvement of residents in the regeneration process is an im-
portant step forward, it is not in itself sufficient to increase the civic engage-
ment oflocal residents. The most important thing in activating and involving
people in disadvantaged communities is an approach that starts with small
projects which improve immediate economic ~nd social living conditions,
building the confidence of 10c~1 residents botb in the revitalisation process
~nd in their own c~pacity to share in decisions ~bout the future of tbe area.
New attitudes of 'servers' are equally important, maldng the interests and
needs of the residenli~1 population the st~rting point for any strategies in or-
POLICIES AGAINST SOCIAL EXCLUSION IN GERMANY 209
der to make a difference to the life of people in disadv~ntaged areas and en-
able them to take ~n active part in urban society.
As to the thematic focal points of the Northrhine-Westphalia programme,
it will focus more on opening up the schools and bringing their resources
into the neighbourhoods. Community economic development, enhancing
access to jobs and improving prospects, especially for young people, will also
be more stressed in the future (North rhine-Westphalia Minister of Urban De-
velopment, Culture and Sporrs 1997). One of the clear benefits of the pro-
gramme is th~t it has increased the sensitivity of local authority politicians
and officials to exclusion processes. Every deutschmark that has come into
any oftbe 21 areas with special regeneration needs through the Northrbine-
Westphalia programme has attracted seven to eight deutschmarks more in
public and private resources (Northrhine-Westphalia Minister of Urban De-
velopment, Culture and Sports 1997). Although much has been achieved in
the interdepartmental thinking at the level of the Land, more integration is
still needed. A long-term perspective in funding of the programme is also im-
portant in order to be effective in improving the immediate living conditions
in neighbourhoods with special regeneration needs.
Fighting social exclusion will have to be increasingly aimed at turning
around distribution mechanisms and allocating resources to the spatial areas
most in need. One of the main objectives will still be to increase the geo-
graphical targeting of existing programmes and resources, from the Land as
well as from the municipal authorities, to areas of disadvantage. Linking the
focus on priority groups, which is the predominant element in the vaSt major-
ity of social and structural policies and programmes, with the geographic
component is essential for community development work at tbe neighbour-
hood level. The Northrhine-Westphalia funding programme is certainly an
important step forw~rd, yet its scope for effective action in the long run will
always be limited as long as the federal level does not make use ofits scope for
action and national policy settings are not more responsive to the challenge
of fighting social exclusion in neighbourhoods with special regeneration
needs.
References
Alisch, M. (1996) 'Strategicn fUr den sozi,len Allsgleich. Handillngsspielr,ume im
Stadt",,' Hamburg.' Ajk 1//%,291-303.
Aril1g, J., BUfzin, B., D.1nielzyl<. R. ;md I-Iclhrecht, 1. (1989) 'Krisengebirt Ruhrgcbict?
Alterung, Strllkturwandcl ulld PI;Il1\lllg.' rVahrnr:hmlm,gJgmL~rdphiJch(' Stud/en zur
Ue,gionalmtll'icJdullg 8, Oldenburg.
 210
SOCIAL EXCLUSION IN EUROPEAN CITIES

Davoudi, S., and .Healey, P. (1995) 'City challenge'

. .
sustalnabl
, e process or temporary
gesture? Em'lronmmt dnd Pldlming C f 3, 79-95.
Dubet, F. and Lapeyronnie, D. (1994) 1m Aus der Vorstadtc. Der Zerfall der
demokratischcn Gescllschaft, Stutrgart.
CHAPTER ELEVEN
Herlyn, u., Laiemann, ~. a.nd Lettko, B. (1991) Armut und Milieu. Benachteiligte
Bewohner In grogstadttschen QlJattieren, Stadtforschung aktuell Bd. 33, Basel U.a.
IBA (Internationale Bauausstellung Emscher Park) (1995), IBA-Positionspapier Mobilising Community Resources
Benachteiligte Stadtteile'. Author, R. Staubach.
ILS (Institut fllr Landes- und Stadrentwicklungsforschung des Landes in Portugal
Nordrhein- Westfalen) (199 Sa), Hal1dlungskol1zept Hammer Norden, Materialien
fUr die weitere Diskussion, Dortmund. MctrictJoilo Lopes Freitcts
ILS (1995b) Handlungskonzept Duisburg-Marxloh. Materialien nir die weitere
Diskussion, Dortmund.
ILS (1996), Die Menscher! machen ihren Stadtteil sclbst ... Sozial, Netze und
Bewohner / -inncnbeteiIigung in Stadtreilen mit bcsondcrem Erneuerungsbedarr.
ILS Schrifrenreihe 117.
KUrpic!{, S. (1995) Organisations- und Kooperationsstrukturcn in inlcgrierten From the concept of poverty to the concept of social exclusion
Sladtcrneucrungsprozessen (Diplornarbeit), Universirar Bochum. Portttgal has always presented very high rates of poverty compared with
Notthrhine- Westphalia Minister of Urban Development, Culture and Spotts (1997), olher European countries, and, even now, the latest EC Report on Poverty
Speech or the Minister at the Neighbourhood Conference in Dortmund-Nordstadt still places Portugal bst among the fifteen member states. Most studies of
26.04.1997. '
poverty in Portugal have been carried out by economists using social and eco-
Prop:).:r ~~~~'x/oh (1996) Das Projekt Marxloh. Neue Wege cler Stadterneucrung. nomic indicators. However, more culturally and locally based micro-studies
Akttvnaten 1994 bis 1996. St>dt Duisburg.
raise questions about the most appropriale concepts to use in studying this
St>ubach, R. (1996) 'Solidarische Stadt?' Zukiiuji, /6, 20-23,
phenomenon.
Voscherau, H. (1994) 'Die Grosstadt als socialer Brennpunkt _ am Beispiel Hamburg.' The first studies of poverty in urban areas focused on families or commu-
In L. Carlson and F. Unger (cds) HIghland Park ad" die Zukunfi drr Stadt. Berlin, nities living in shanties. For some time, this was the main face of poverty in
Weimar.
towns: families having difficulty competing in the housing market, sharing
Zimmer~~egmann, R. (1996) 'Stadrreilcrncucrung tiber das Vcrnetzen von Planungcll housing and other conditions which were below acceptable standards, living
- Das IOtegTlerte Handlungskonzepr des Landes Northrhinc- Westphalia fUr in slums or other neighbourhoods without infrastruclure, with very low lev-
Sradtteile mit besonderem Erneuerungsbeduf.' Paper presented at
els of educational attainment and vocational skills, very low incomes and very
Landesjugendamt Westfalen, MUnster, J 1.06.1996.
high birth rates. But the studies also showed that it was impossible to general-
ise across situations and thaI, over time, while some features changed in these
scenarios, others did not change even when family income increased or hous-
ing conditions were improved, for example Ihrough resetllement pro-
grammes.
What Ihe studies showed was that family dynamics were very complex
and a variety of different residenlial and social trajectories could be observed.
These different trajectories reflected differences in histories ofsettlement, so-
cial composition, neighbourhood dynamics, housing and residential con-
texts, housing and social needs and expeclations, and abililies 10 be proactive
and participalein tbe wider society. Siudies using a very broad and general-

2I2 SOCIAL EXCLUSiON IN EUROPEAN CITIES
Consequently, the local studies raised new questions and the idea ofsocial
and spatial exclusion appeared to be more appropriate in fi'aming studies
about the ways of life in shanties or transformation in social rehousing settle-
ments. What this approach revealed was that it was not simply the common
characteristic of past or present poverty which unified these family dynamics.
These families also shared a complex accumulation of ,gaps' which led them
to be socially excluded: gaps in their cultural and educational attainments, in
vocational and social skills, in access to public services and their bureaucra-
cies, in access to better housing conditions and living areas, in access to par-
ticipation and to full citizenship rights and duties.
Using the concept of social exclusion in these studies has three advan-
tages. First, it can be applied across a great diversity of social situations and
problems, including issues of low family income, unemployment, housing
deprivation, ageing, homelessness, and the new urban poverry, among others.
Second, and more importantly, it deals with these issues as dynamic pro-
cesses. Third, and most importantly, it shows that these situations arise
through the interaction of endogenous social factors, the social characteris-
tics of the populations, and exogenous social factors. The most important ex-
ogenous factors include the limits, flexibility and permeability of projects
proposed for social promotion, architectonic and urbanistic factors such as
the quality ofdomestic and residential environments, factors related to politi-
cal processes which surround developing and implementing housing and so-
cial policy projects. However, the most important insight gained from using
concepts of social exclusion was that the ways in which endogenous and ex-
ogenous factors are combined underlies the development of a broader social
dynamic which creates exclusion or cohesion at both local and more global
levels.
Thus, it is possible to say that social exclusion is both a concept, useful for
looking at issues around poverty and housing in particular, and a problem, re-
lated to others. It is the interaction between these two aspects of social exclu-
sion which makes it so useful in raising questions and seeing new challenges.
TIle PER programme: housing need and new challenges
Around 550,000 families in Portugal are in housing need. They include
young couples who have difficulty acceSsing the housing market, over-
crowded families, families living in older central urban areas or industrial
courtyards, families living in badly dilapidated or temporary social housing
or in uncompleted buildings, families liVing in areas without basic urban in-
rr'1clrllrturp :mrl f:lmilips livil1P in slums. In order to improve living condi-
2 I)
1'.-lOBILlSING COMMUNITY RESOURCES IN PORTUGAL
subsidising illlerest payments when they buy or builda house: Some govern-
ment support is also given for Ihe construction of SOCial houslllg. The extent
of this support is, due to financial constraints, rather limited.
In 1993, the Central Government initiated a large resettlement pro-
gramme (Program Especial de Realojament, PER) as a political response to
social and housing problems, mainly for families living in shanties. The pro-
gramme aims to improve housing conditions for approximately 50,000 fami-
lies living in barracas in the metropolitan areas of Lisbon and Oporto.
Implementation is based on formal contracts between the central and local
governments and has recently been extended to establish direct contracts
with families and non-government organisations. Within these contracts, the
central government provides a direct subsidy of 40 per cent of the cost of new
apartments and lends another 40 per cent of the cost at very low interest rates.
!t is not exactly new to talk about resettlement programmes and processes
in Portugal, but the PER does introduce some new ideas and practices. Up
until 1993, all resettlement programmes were partial. However, the social
and political timing of the PER has combined with a new approach to imple-
mentation, involving wider discussion among politicians, technicians and the
public. It reflects both a wide public discussion about the failure of other re-
settlement experiences and the problems they caused and an ambition to
eradicate all slums and bal7'acas before the end of the century. It, thus, aims to
transform the ways of life of a very large number of families, either directly or
indirectly, and to transform the urban landscape of Portugal's two metropoli-
tan areas. The programme is expected to have a major impact, both in requali-
fying the urban built environment and in improving the housing quality of
families.
However, the ambitions ofthe PER are wider than simply the physical im-
provement of urban areas and living conditions. !t also aims to contribute to
the social promotion of the families who will be resettled and, thus, to be a
tool in fighting social exclusion. While such an aim is not new, the methods
and intensity of intervention pose some new and difficult challenges in
thinking about how such programmes can contribute to promoting social co-
hesion and full citizenship roles. Consequently, it has led to a very wide-
ranging reassessment of resettlement programmes as a policy tool.
Atthe politicallevcl, discussion has centred around the roles, rights, duties
and competences of different social actors in defining the significance of par-
ticipation in the implementation processes. What is, or should be, the role of
resettlement programmes, as a political tool, in housing policies and policies
for improving the urban environment? What housing rights do people have
and what should they have"! What are, and should be, the boundaries be-
l .,~ hi...... .. ,.... I("lrp <;:t~I(" local
214 SOCiAL EXCLUSION IN EUROPEAN CITIES INTRODUCTION 2J5

municipal or regional governments, and private aclors, such as NGOs and

families? This discussion is very broad and some importanl philosophical and
ethical questions emerge from it: What meaning can be given to equity, equal-
ity and social justice? What meaning can be given to citizenship and partici- ". ..•
~ .'

pation? How are these concepts relevant to the practical tasks of defining and tf "," .
.. .'
managing priorities? What do these ideas mean in the context of comprehen-
sive, global, continuous, dynamic and complex processes?
The very ambitious aims of the PER also widen the field of intervention
.. . .'
' ...
. .
•
"
'

D'
, ,,", ", \11\ :

and introduce new kinds ofpsychological, social and cultural issues about Ihe 0"
.'
CAS
/~~
s . ,"
'.
...::' :
" .n :
relationships among different actors, What is meant by social change in this
conlext? How is it possible to deal with, prepare for, anticipate the nature of, Sm~ll Seulements (1-9 Bame:J.s)
a Medium Selliemenu (10-50 Bmac:J.s)
influence the course of and manage the process of social change? How III Large Settlements (More th~n 50 Bwans)
should the specificities of individual, social, local and cultural identities be
treated in designing 'cohabitation scenarios', issues of integration and segre- Figure 11.1 Loralion ofbarrdcas ill Cascais
gation, insertion and exclusion, salience and non-salience? What is housing
quality? What do different actors need in order to face, prepare for and man- the programme. In terms of managing and implementing the programme,
age new challenges, in lerms of technical skills, forming new social relations, Cascais is a clear example of best practice.
patterns of ownership and use of space, and being satisfied with the out- There were 1304 balTacdSin Cascais in 1993. They lodged 2039 families
comes? and 5371 individuals. Forty-two per cent of the balTacdS are concentrated in
Other practical questions follow on from these questions. How can reset- two neighbourhoods, one with 338 balTacdS and the second with 207. The
tlement and participation processes be successful and what should they remainder are dispersed in 118 small settlements (Figure 11.1). This disper-
avoid? Is innovative praxIs possible within them? What kinds of innovation sion is unusual in Portugal. In Lisbon, where it is estimated that there are
are possible in promoting and managing local social development, in pro- 35,000 barracdS, the settlements are usually much larger and more concen-
moting changes in the relationships among different actors in order to de- trated.
velop synergistic changes supporting participation and citizenship? How can Vector 1
all these complex processes be made transparent, visible, efficient and effec- Change
tive?
Social and urban qualil1C:llion and promotion

Mobilising community resources in the PER in Cascais

The implementation of the PER in Cascais illustrates the significance of these Inertia Scenario I Scenario 4
Parliripalion
dependency directive innovation
questions. Cascais is a municipality within the Lisbon metropolitan area. It passivity protagon ism Vector 2
has a territory of97 sq. km and approximately 170,000 inhabitants. The 20 autonomy Citizenship
sq. km which lie along the coast and railway line are intensively urbanised, Scenario 2 Scenario 3
dominated by hotel and service industries. The settlement pattern in the inte- dependency discontinuity
rior consists primarily of villages and neigbbourhoods, where some electron-
ics firms have recently located. Reproduction of unfavourable and sorial
exclusion situalions
The PER encourages local solutions based on specific conditions and
needs. Consequently, the profile of renewal in Cascais reflects the municipali-
ty's perspective on local conditions, as well as ils own specific ambitions for
FI,gllr~ ".2 Tll'O pnHlh/c.frdmcsfnr d~finlll,(T, prioritics dnd choiers
 217
SOCIAL EXCLUSION IN EUROPEtiN CITIES lHTRODUCTION

However, from the beginning, the municipality ofeascais has been unusual • should not be developed without involving the participation and
in dcveloping a very different orientation to the PER, based on an extended engagemenr of all actors (technicians, politicians, pnvate partner
and highly participative discussion of the philosophy and principles that agencies and the population of the area affected).
should guide its actions, the settlement scenarios that could be developed and Designing a programme to avoid these pitfalls, however,. is mo.re difficult.
strategies for implementation. These discussions have involved and mobi- Two vectors were identified as possible frames for defil1l~g pnortttes and
lised technicians, politicians, non-governmental organisations and families in choices: Change and Citizenship. These are illustrated tn FIgure 11.2. Each
expressing their opinions and suggestions. As a consequence, the project be- one is treated as a polarity, and taken together they present four different gen-
gan with: eral scenarios for the outcome of a resettlement programme. The vector of
• outlining, debating, formulating and analysing the main problems Change contrasts the reproduction of social exclusion in the new resldenttal
and anxieties associated with implementing the programme's context (nothing changes or it even becomes worse) wtth the promotIOn. of
philosophy as a basis for formulating proposals for the overall social change, generating social and urban qualtficauon and coheslO~
development of the project through local social development approaches (somethtng changes tn a PO~I-
• involving technicians, politicians and other partners who would be t ·rve w-oy)
" .
The vector of Citizenship contrasts the development of tnerua,
. .h h
passivity, dependency and exclusion from participation mechal1lsllls Wtt t e
involved in implementing the project in order to mobilise their
tlse of dynamic and protagonistic participatton pl'O~esses b~sed on support-
engagement in it and develop working relationships among them
ing the development of actors' autonomy in managtng soctal change, SOCIal
• creating a document based on these discussions which can be used mobility and social Insertion.
as a guide to preferred strategies and approaches during the
implementation of the programme.
Promoting social and urban
Mobilising the political will of the municipality, the interest and engagement developments versus
of other partners and the local population in a participative process was a fun- fapde solutions
damental choice made by the municipality to strengthen and guide the im-
plementation of this project from the beginning. Consequently, it provides an Qyality versus deterioration
excellent case study for reflecting, not only on good practices within PER,
Involvement versus wasting
but also on some of the main problems involved in il.
Strategic management
versus short-term perspectives
Change and citizenship: the main challenges of PER in Caseais
Reflecting on previous resettlement programmes indicates some ofthe things Sustainability versus immediatism
that should be avoided in developing new programmes. Analysing previous
experience in Portugal and elsewhere shows that the projects: Global analysis of costs
and investments versus
• should not be seen as simply physical and financial interventions short-term expensesmanagcments
• do not generate multiplier or other wider effects on the
development of social dynamics simply as a consequence of Communication and information
providing new homes for indlvidua~s versu:-,;urerise effects

• should not be reduced to and concentrated on the gift of a new Global resource management versus
home incn1cicncy and ineffectiveness
• should avoid reproducing dependency situations
F(gllrr '1.3 Eight H:gnifir.-wf r!)(f/{cllgrs(iJr (he rnrltlrl/lClit pro,gramme

218 SOCIAL EXCLUSiON IN EUROPEAN CITIES
The intersection of these vectors presents four generalised scenarios within
which the project as a whole can be conceptualised, They also provide a basis
for guiding the organisation, management and ongoing evaluation of a proj-
ect which is expected to evolve and change as it is implemented, In addition,
the scenarios also provide a relatively fixed basis for assessing the effective-
ness and emciencyofa project in which 'unexpected' consequences and im-
pacts are to be expected as a consequence of tbe involvement of a wide range
of actors and the emphasis on mobilisation and participation in promoting a
dynamic process, Indeed, promoting this kind of social dynamism in a com-
plex, intersectoral project is a major aim of the PER in Casca;s,
Using these four scenarios allowed the municipality to identify eight sig-
nificant challenges it would need to meet in order to realise and operational-
ise its basic aims for the resettlement programme (see Figure 11,3),
I, Promoling sOCIal and urball deJlelopmenl Jlersus fafade soluliolls
The issue is the extent to which a resettlement programme can be used
to promote the larger objectives of promoting social and urban
development rather than simply achieving the fa~ade solution of
replacing shanties with permanent housing, Previous experience had
shown that fa~ade solutions could, in practice, simply lead to new and
deeper social and urban problems and social exclusion in the new
settlements,
2, OJ!.allly Jlersus delerioralioll
This challenge requires paying attention to guaranteeing quality in
both architectural and urban management processes, It is more than a
technical issue, since it involves considering the social needs and
aspirations not only of the families being resettled, but also those of
their new neighbours, Neglecting this aspect of the problem would
mean that new architectural and urbanistic solutions could lead to
sti gmatisation and a sense of the deterioration of the quality of urban
life, rather than supporting improvements,
3, !!lJloh'emelll Jlersus wdJltng potenlials
This challenge is connected with mobilising the participation of
different actors in the process, recognising them as fellow partners and
allowing them to feel and act accordiugly in order to develop
concerted actions based on the negotiation of solutions acceptable to
all. Without this kind of mobilisation and participation, socially
dynamic forces and potentialities are wasted and the process of
intervention becomes more dimcult and possibly rejected altogether,
219
MOBILISING COMMUNITY RESOURCES IN PORTUGAL
4. Strategic manrt,gement J!Cl:f1l5 short-term perspectives , , .
One of the problems of managing a complex project ~s faetng the
implications of the different time perspectIves governl~g dIfferent
parts of the programme, The success of the ,whde project can be
, rdised by urgent problems which require IInmedldte solutIons,
Jeopa h' '
The commitment to promoting social change and co eSlon reqUIres
recognising that these social dynamics have theIr ow~ temporahty and
rhythm and that other parts of the project may both mfluence them
and profit from them,
5, Sustctindbdity versus immedidlism
To think about a programme as being sustainable means looking
beyond its immediate results, Its success depe,nds not ?nly on the
achievement of immediate goals, but also on Its capaCl,ty to buIld the
social mechanisms which will ensure that this success tS not ,
compromised in the long run, The pe:spe~tive n~eds to bedynamlc
and cross-generational, so that achievmg Immedlat~ goals IS seen as a
basis for sustaining and empowering SOCIal groups m the I~ng~r run,
The issue is to understand how a more immediate perspectIve In,
resettlement programmes can strengthen social and spatial exclUSIon
processes, thus threatening the sustainability of the processes of SOCIal
cohesion, promotion and change whIch form the WIder alms for the
project.
6, Global analysIs of coslS and il/wslment l)erstiS shorl-tmn expenses management
A real dimculty in projects of this nature arises from having to ~anage
fixed budgets and justify investment expenditure, The problem IS more
complex when the aim of the project is to generate SOCIal change,
since the indicators of change are not often reflected in financial
evaluations; and, even when they are included, they are m~ch more
dim cult to measure because they reflect subjective evaluatlo~s and are
spread over long time periods, Their diffuseness contrasts :,Ith the
immediate visibility of financial indicators, The challenge IS to develop
measurement techniques which are appropriate to these WIder ~Im~ m
order to avoid cheap projects which only become more expenSIve m
future, In this sense, this challenge interacts with promoting
sustainable development.
7. Communication dnd in/onna/ioll versus surprise effiets
Aiming to involve all actors as partners in producing a social dynamic
supporting cohesion requires th;H all.aCf?rs arc always permanently
r , .' 1 • • •
 221
no SOCIAL EXCLUSiON IN EUROPEAf'l CITIES MOBlLlSING COMMUNITY RESOURCES IN PORTUGAL

underst;wding when and how to step in n

methods ,nd rules ,re not established ,nd used by all actors in a
guar,nteed and mutually respected way, then it is not possible to Diagnosing, programming
achieve the social aims of the programme. Such communication and evaluating to guarantee
eITectiveness and efficiency
procedures are fundamental parts of mobilisation, p,rticipation,
engagement and citizenship. Without them, 'surprise effects' generated
=
Using PER as a strategic
by rumours ,nd unknown soci,l dyn,mics ,mong those directly and lool to widen the domain
indirectly affected by the project prejudice perme,te its of intervention
implement,tion and mean that it will not achieve its social aims. Good Organising partnerships
communication can, thus, be considered as both a means of to empower synergies
implementntion and a part of the aims of the programme.
Developing the architectural
8. Global resource managemel1l versus inelJtCiency and ineffectiveness
,nd urb,n qu,lity of proposed
Most of the time, organising political, technical, logistical and human building programmes ZR

resources in managing resettlement programmes is considered as a

secondary problem in project management, le,ding to sectoral ,nd
partial perspectives. Using a global perspective on resource
management is necessary to avoid discontinuity, rigidity, inflexibility
and pl,in nonsense, that is inefficiency and ineffectiveness, in project
implementation. The global perspective becomes even more important
where resources are scarce and difficult to mobilise, and is key to
developing projects which are more global, sustainable and based on
engagement and participation.
The im portance of thinking through these challenges before starting is that it
allowed the Municipality of Cascais to formulate a strategy for intervention
which reflected the capacities and resources available to it, while at the same
time linking the strategy to achieving its aims of promoting lasting change
and assuring the active citizenship rights of all those involved.
Seven innovative intervention strategies
The Municipality of Cascais formulated seven innovative strategies of inter-
vention, aimed at creating both lasting change and assuring citizenship, to es-
tablish operational priorities and guide the choices that need to be made in
implementing any complex programme. These strategies have structured the
entire resettlement project (see figure 11.4).
I. Understanding when and how to step in
Several of the challenges that were identified centred around building a posi-
tive soci,l dyn,mic which would sust,in the overall objectives in the long
.. "T'L .. _ .t..~ r,p,,+ .. rl~"C>""",r th ... nrr-.hl,·m" or IInnrf."I::lllriino thp. role of inter-
Promoting information
and communication
Innovation in know-how
Figure' 1.4 Sewn mnolJativt intervenrion JtrdtegieJ
other words, how to understand the municipality's role ,s only one among'
number of important actors, so that its interventions would support the de-
velopment of this dynamic. .' ..,
Three ,n,lytic,l research exercises provtded an Important onentatlon m
developing this strategy. The first exercise was designed to gen~rate , broad
,nd comprehensive understanding of post-resettlement dynamt.cs, based on
studies of previous resettlement programmes. The research contnbuted to de-
fining this strategy by identifying the main fa.ctots .th~twould teqlJ(t~ atten-
tion throughout the project ,nd help to clanfY pnontles for man'gmg the
project. The second exercise focused on a study of the commumty which was
to be subject to resettlement. It identified a sigmflcant number of Isolated for-
eign male residents, and highlighted the need to understand what they
wanted from their settlement, their ways of hfe generally and how they or-
ganised their daily life ,nd networking stmtegies. This research gave detailed
knowledge about this group ,nd helped the opemtlonal team to understand
their needs ,nd so to t,ilor rehousing solutions to the needs of the group and
individuals within it. The third rese,rch exercise was based on a census in
1993 of the families to be resettled, which has provided a b,sis for observing
their social dyn,mics, e.g. residential mobility. demogmphic prome: f,mily
striltegies, etc. The results of this observation sl:ow ':,complcxl~_Ylr~~.I~I~_~~~I~
 222
SOCIAL EXCLUSION IN EUROPEAN CITIES
Ihe basis for discussion among all the partners in the pr ' t' d '
'
better un derstandlng , alec In or er to gam a
.
of the specific dynamic needs ofth f: 'I' h' h
e ami les, W Ie In
'
turn, has II1formed the programming of both new bUl'ld'mg an d promoting : for each level, the specific content of each of these criteria is elaborated in a
the autonomy of the group as part of assuring citizenship rights,
2. Dtdg,nO.flng, programmmg, dlld flJdluatlltg to guarantee eJfectivClIeJS and efficiency
The central idea behind the Cascais PER programme was to generate a social
dynamiC,
. . ,which would become self-sustaining. in the long run. Can sequen tl 1',
It IS very I~portant tO,observe the development of this dynamic and to take
account ,of It In aeOnllnUOUS feedback with the designing and managing of
specific Interventions, Dynamic diagnosis is the 1001 that allows this perma-
nent feedback between intervention and the development of an auto
' Id ' nomous
socia ynamlc. It ensures flexibilityand adaptiveness in responding to the
spec~fic events, needs and trends which emerge during the process of inter-
vention and allows the programming of the project to be altered accordingly,
Dynaml~ diagnoSIS has three ~aln elements: pre-diagnosis, programming
and eval~atl?n, H has, been orgalllSed on the basis of defining 'territories of
Intervention, which mclude both the communities or groups of dispersed
barracdS as well as the neighbourhoods which will welcome these families
wh~n the, new ,housing has been built. The pre-diagnosis characterises the
mam partlcularttles of each of these areas, their needs and problems, attitudes
towards the ~esettlement programme, and the potential for developing the
social dynamiCs supportmg coheSIOn and citizenship in these areas, Much of
the data for the pre-diagnosis is qualitative, based on visits to the areas and di-
rect COntact wah r~S1dents, neighbourhood associations, organisations which
work wah the residents, and informal and formal leaders, An important part
of the technique IS promoting partnership discussion groups in the areas,
TIllS pre-diagnosIs generates specific programmes of intervention in each
of the ~reas, with specific goals and paths to reaching them, within the main
strategies and goals of the overall programme, The dynamism flexib'l'ty d
d b'l' f h ' I I an
a apta, I tty 0 t e specific intervention programmes are assured by on-going
evaluatIon at three levels: at the level ofthe specific programme· at the level of
the organisation of different teams throughout the project dev~lopment. and
at the level ofthe programme as a whole. Three main criteria guide evalu~tion
at each of these levels:
• drectiveness: goals achievement, adhesion, sustainability, autonomy,
Innovation, satisfaction
• emeiency: goals achievement and management, articulation of
actions, cost/benefit analysis
MOBILISING COMMUNITY RESOURCES IN PORTUGAL 22J
• impacts: expected/unexpected, positive/negalive, reproducibility.
grid which includes both external and internal evaluation. External evalua-
tion, by observers and experts, allows a more distant and less constrained
contribution to developing the project, while internal evaluation by promot-
ers and participants is also a way of promoting their involvement and engage-
ment in the evaluation process and ensures permanent discussion and
feedback about both the project and the social dynamics which it is generat-
ing,
Both dyn.mic diagnosis .nd generative programs are necessary in an
'open programme', but they also allow much better use to be made of the de-
velopment of social dynamics and allow mistakes to be put right much more
quickly. The process is very useful in addressing the needs and expectations
created by the project and empowers the dynamics which are being pro-
duced.
3. USIng, PER dS d strategic tool to 1I11den tbe domaIn of imC/"entioll
Politicians and technicians often confuse large intervention programmes
with policy, However, an intervention programme is a tool of policy, and re-
lates the policy to the real context within which it is being developed, Stress-
ing this distinction allows the implementation of a policy to be integrated
with other programmes, which will enhance the outcomes, Thus, it is impor-
tant to remember that PER is simply a programme that ani I' finances building
construction. Using it as a strategic tool to support the social promotion of
families and local development strategies requires integrating it with other
initiatives and understanding how its domain of intervention is wider than
simply building construction.
In Cascais, the PER programme has been profitably linked with other in-
tervention programmes primarily concerned with financing urban renewal
and social development. This integration of programmes has been developed
by:
• Learning from local social dynamics prior to resettlement, both with
the f.lmilies to be resettled and their future neighbours and working
at the psychological, social .nd cultural level: improving the
self-esteem and self-respect of individuals and groups, improving
vocational and social skills; motivating and contributing to the
development of individual and social life projects; supporting the
initiatives and panicipation of individuals and groups; working
with dinf:rcnt ape ;Inn nrhrr arnllm in rhf' nnnlll:lt;nn to IJnt1f>n:t!ln,..{

224 SOCIAL EXCLUSION IN EUROPEAN CITIES
around the changes in their life associated with new housing and
habitats.
• Planning and investing in the improvement of the neighbourhoods
of resettlement: providing better architectural and urbanistic
solutions, more integrated into the environment and with better
designed public spaces; providing new settlements with
complementary facilities, such as schools and community facilities,
the provision of commercial and industrial buildings to support
continued economic activity by those being resettled; and in
general improving the urban context for these new buildings so
that the host community benefits as well as those families being
resettled.
• Developing the intervention programme in a way which supports
Ihe creation of positive dynamics between host communities and
their new inhabitants, by paying attention to the interaction
between the two groups and the challenges this poses.
The main idea is to ensure in programme management that these different ac-
tivities connect in the right way and at the right time, taking into account the
specific characteristics and needs of each of the local areas.
However, some very basic difficulties need to be overcome in doing this.
The most common problem is ensuring that the complemenlarity between
separate activities is realised, beyond each one meeting its own objectives.
There are two aspects to this problem. The first aspect comes from the tension
inherent in implementing a generative programme, which requires working
with global, complex, dynamic and participative processes at a local level.
The symbiosis between global and local perspectives is often very difficult to
make and control, although it is fundamental. It is very easy to retreat into the
global programme, on the one hand, or simply avoid all kinds of program-
ming, on the other hand. Both these responses have the effect of limiting the
ability to identify and use all the instruments that may be available. They also
tend to lead to a commitment to pre-established cerlainties, the idea that a
specific strategy which has succeeded in one place will have exactly the same
effect in other circumstances. The second aspect of this problem is much
more common, a part of daily project maA-agement: political, technical and
administrative lime schedules frequently do not match up. Sometimes it is
possible to negotiate these problems, but the success of such negotiations de-
pends on a shared commitmenlto the project itself. While reconciling timeta-
bles has been an important part of projcct management in Cascais, it has also
MOI1ILJSING COMi\,\UNITY HESOURCES IN PORTlIGAL 2"
4. Otgdl1iJlIIg pm·ll1m/JlpJ 10 empower S)'l1crgies
Promoting and developing participation is an important objective for alllo-
cal social development programmes, :lIld there are always some baSIC ques-
tions to be answered in building participation. What kind of participation?
How is participation made operational? How to set about encouraging il?
What means can be used to make it possible? What are the obstacles that may
make it impossible? How can these obstacles be overcome? In brief, what
does participation really mean in practice? .
In Cascais, these questions were not answered at the o~tset, but w~re bUIlt
into a project orientation designed to build on the potential and motivations
of all actors and on the dynamics that developed between them. SpeCial at-
tention was paid to mobilising the interest and participation of politicians,
municipal technicians, other organisations, the population Ii:ing hlthe bdrr~­
CdS, their future neighbours and general public opinion. whtle thl~ :vas a bIg
challenge, it has also been a major success for the project smce panl~lpatlO~ IS
now taken for granted by all actors, whether they are dIrectly or mdlrectly m-
volved in the project.
MOBILISING THE POLITICIANS
political and technical logics are very different in terms of how they look at
problems, their practices and timinK These differences reflect th~ differe~t
dynamics and competences of pohtlcal and techmcal work. WhIle technt-
cians often see political logic as an obstacle to effectIveness and effiCIency, the
problem is rather to recognise, accept and profit from the differences. In Cas-
cais, considerable thought was devoted to understanding the~e differences as
a basis for mobilising and coordinating both kinds of actIvity. Thus: p~htl­
cians have been involved in discussing with technicians the mam prmClples
and strategies behind the programme and specific features of its develop-
ment, as well as participating actively, along with other partners and the
popul"tion, at key moments in implementation. This c.ontact between politI-
cians and technicians has been supported and mamtamed by formal and m-
formal presentations and discllssion of progress reports. In this con~ext, both
technicians and politicians have been able to develop an appreCiatiOn of Ihe
complementarity of their roles and to develop a cornman languag~ for diS-
cussing problems, supporting the motivation, engagement and particIpation
of both sides.
MOBILISING MUNICIPAl. TECHNICIANS
The broad goal of integrated local social development within which ~e PER

216 SOCIAL EXCLUSiON IN EUROPEAN CITIES
im porrant first step was to involve and mobilise the whole local authority or-
ganisation in contributing to this broad objective. Commonly, departmental-
ism is" significant obstacle in achieving this wider involvement. Thus, when
the PER team was first formed, it set itself the objective of developing col-
laborative links within the local authority by identifying collaboration which
could benefit other departments within Cascais City Council. In turn, this
has generated a new project-centred organisational culture within the
authority, so that technical and managerial staff in all departments have been
involved in discussing the principles and main strategies for the project, as
well as being involved in designing integrated subprojects which support the
main project, in setting up partnership groups with other organisations, in
the process of pre-diagnosis and in thinking through the management of the
future housing and neighbourhoods.
MOBILISING OTHER INSTITlrrtONS
In addition to the local authority, a variety of other institutions are also in-
vol ved in working with the population ofCascais. The Cascais PER team saw
their participation in developing the project as fundamental, and proposed
the idea of constituting formal partnerships with them. Previous experience
with partnerships, however, provided little basis for this, since they had been
based either on profit-sharing arrangements or on formal requirements. In
these circumstances, it Was necessary to think through ways of working
which would be mutually beneficial, in order to motivate these other organi-
sations to participate in the project and mobilise their contribution.
The strategy was to let formal partnerships evolve 'naturally' through a
process of discussion. All potential partners were involved in the process of
local diagnosis and in discussing the main issues around resettlement. The
range of organisations was very broad, including: education, health, police
and security forces, religious organisations, social security, employment and
training, other local authority and non-governmental organisations. Informal
partnership teams were formed to work together on general problems and
thematic partnership teams worked on common interests and competences.
More recently, these partnerships have been constituted formally.
To date, there have been three partnership 'commissions', dealing with
programming investment in technical equipment, with family issues and with
the theme 'changes and habit3t'. This I~st commission is the most developed
and innovative of the three, involving mainly organisations working with
education, training and extra-curricular activilies based on schooling from
nursery school through to the twelfth year. The participants chose the theme
Ihemselves, 3S work to be done in anticipation of resettlement, 3nd defined its
main gO::lls. The idea was that e;tch of the Dartners WOIlIe'! jntrr"-I ..... '" ,h ........
MOBILISING COMMUNITY RESOURCES IN PORTUGAL 227
[hemes in their own activities with those to be resettled and the future host
settlemenls. This was an important strategy because it bypassed the common
resistance 10 participating in partnerships hased on additional effort, work
and costs. Due to the variety of org3nisations involved, their target popula-
tions and competences, a very large number of issues were identified 3nd spe-
cific activities developed [0 3chieve the main g03ls th3t had been identified in
e3r1ier discussions. This group serves as an excellent example of the value of
the synergy that C3n be achieved from this apprmch. It rapidly passed be-
yond the work of the PER te3m, and members of the group have 3chieved a
rem3rkable mobilisation and autonomy in this way of worklt1g whIch has
strengthened their communication, contacts 3nd links with other initiatives.
This same strategy for constituting partnerships h3s also been applied in
working with organis3tions in the future host communities, who have been
involved from an early stage with the PER team and local teams.
The step-by-step strategy towards constituting these partnerships has al-
lowed each to develop its own dynamic, based on the interests and motiva-
tions of the partners, to their mutual benefit and to the benefit of the specific
communities they serve.
MOBTUSING THE POPULATION
Mobilising the participation of the population is important in securing their
satisfaction with ch3nges, but is also central to developing the ability of
groups to promote themselves, to be autonomous and to benefit fr~m exercis-
ing their full rights as citizens. In Cascais, both the famllres whowtll be reset-
tled and the residents of the host neighbourhoods have been It1volved. The
main basis for mobilising participation has been identifying the specific po-
tentials, and obstacles to realising it, of the individuals, families and local ar-
eas.
For example, previous studies ofpeople who lived in slum areas, especially
those emphasising the culture of poverty, have noted the tendency of these
families to 'submit to destiny or fate' and to extern31 control in resolving
structural or individual problems. Initiatives supporting their protagonism
had very little impact over time and tended to be concentrated on individuals'
own life projects. The population in these areas was very deeply dependent
on state or local government solutions to their housing or other structural
problems, and this dependency was effectively cultivated by these organisa-
tions 3nd their poliCY approaches. At the same time, these groups were also
very sceptical about the solutions propnsed and this made local intervention
even more difficult. On the other hand, some families showed a very high
level of initiative demonstrated by cumulative investment in their housing ~r
t • • . ' • . '
 128 SOCIAL EXCLUSION IN EUROPEAN CITIES
oped, becnuse these families were more strongly opposed to innovntive or al-
ter~nti:e housing solutions, which they saw ns threatening their ability to
mnllltain or contll1ue to Improve their own quality of life,
In Cascais PER, two typical examples illustrate how participation can
mean different things in different situations, and thus requires different
strategies, In one situation, the residents had very few resources to improve
their own Circumstances and were strongly in favour of being resettled as a
solution both to their housing problems and to the stigmn attached to living
III an aren With a high level of drug trafficking, They expected some support
from the City Council, but did not believe that they would receive it. There
was very little formal organisation in this area, but very strong informal sup-
port networks among a community of immigrants, In the other situation, the
neighbourhood was very well situnted and was strongly controlled by its resi-
dents, Most of the residents had arrived in the barracas as a consequence of
decolonisation, and saw their situation as a temporary phase in building new
lives, Consequently, they had invested in improving their housing conditions
in the locality, This group had already started a process of protagon ism to im-
prove their own life conditions and social position, They also had consider-
able experience of neighbourhood-based organisation, even though it was
not active when the PER team begnn work in the area,
In both cases, the initial steps taken by the Cascais PER team were similar:
• General meetings of the whole population in which the Mayor of
the City Council introduced the local PER team and in which the
main goals of the project were presented and discussed,
• Smaller meetings with a group of residents who volunteered, to
discuss their anxieties, fears, motivations and expectations about the
way the project would develop,
• Mobilisation of a tenm including residents to work on the issues
which were felt to be most important to the community, This team
provided an important channel of communication between the PER
team and residents and participated in organising the local office
and neighbourhood activities, and provided a basis for promoting
communication with the future host neighbours,
• Mobilisation of the participatioQ of each family in choosing their
future neighbours, future neighbourhoods and future tenant status,
• Development of local socinl dynamics by sharing the organisation
of activities which would allow this group of residents to get used
to working within an organisation and wh~ch would support them
MOBILISING COMMUNITY RESOURCES IN PORTUGAL 229
The mobilisntion of this participatory structure took a different length of
time and yielded different results in the two situations, The differences were
in: the path taken to constituting the teamwor!< groups; the fears, expecta-
tions and motivations of the residents and the solutions they demed; the en-
gagement of the population during th? pro~ess; the structure .of individual
choices; and attitudes toward and relationshIps With future neighbours and
neighbourhoods,
The host populations had been mobilised to participnte before the reset-
tlement process began, Initinlly, their reaction to their new future neighbours
was very negative, and in some cases was very strongly organised, from the
beginning, the PER tenm listened to these reactions and fears and p~omoted
discussion of them, both with residents and with other local authOrIty staff,
The process of preparing the host neighbourhoods for the, resettlement also
included systematic contact with neighbourhood orgal1lsatlons and reSIdents
groups, local leaders, organisations and their staff, This contact was designed
to discover their expectations, anxieties and fears about the process and to
identify ways in which they could benefit from the process, Discussion th~re­
fore was aimed at introducing these organisations to the process of prepatlng
for resettlement and building an information bridge with the neighbour-
hoods in which doubts could be clarified, The aim was also to support con-
tacts between partner institutions and with neighbourhood groups,
This work has been very difficult, especially the work with families and
their future neighbours, It has taken a long time and great persistence to gain
their confidence and involvement in the process, and successes are, as yet, stIli
small. It is important to remember, however, that this is a process which is in-
tegral to the whole resettlement programme and that it needs to be cont~nued
during and after resettlement, so that its success can only be evaluated III the
long term,
MOBILISING PUBLIC OPINION
Mobilising public opinion is a direct consequence of the Cascais PER's aim to
improve the quality and social development of the entire area. Thus, dissemi-
nating informntion about the project and allowing participation by all Cas-
cais citizens was seen as a very important task. The main idea was to involve
as many people as possible in order to combat the negative social images of
this kind of programme and the families involved, The main techniques
which hnve been used are periodic mailings, setting up Local Information
Points open to everyone, and encouraging public presentations of some ~f
the nctivities developed by people directly or indirectly involved III the proJ-
ect.
 2)0
SOCIAL EXCLUSION IN EUROPEAN CITIES
5, Df"elopri\~. the archl!ectliral and I1rhan qIlalrty' orproporcd bUI'Id'mg ProgrdlnmCJ
J .
One of the most visible problems of resettlement programmes is often the
poor quality of what IS built, both technically in terms of the desl'gn f
, . d' f' 0 new
~ousl~g an '~ te:ms 0, Its public image, The new settlements are, most of the
time, "ery easily Identlfiable as social housing in its most negative sy b I
meaning, mOle
Many studies hav~ identifie~ ~he architectural and urbanistic features of
these wtlements ,which create visible obstacles' both to quality and to the
promotlon of SOCial and spatial Insertioll. These include:
• construction of very large and dense neighbourhoods
• failure to, supply other f.1cilities in the neighbourhoods and their
surrounding areas
., ma:sive visual discontinuities between the new neighbourhoods and
their surrounding areas
• architectural solutions which reinforce the stigmatisation of th
spaces an d tIleIr' In
, habitants ese
• :ehousing people in the neighbourhoods before the building work
IS complete
• poor layout and maintenance of external spaces
• poor quality of building materials and fittings
• de~igning dwellings which did not fit with the living habits of their
reSidents, making them dimcult to use and identity with,
The Cascais PER saw these obstacles as an important challenge in developing
ItS programme, In particular, it aimed to:
• prom~te ~rchitectural and urban quality and turn on its head the
~,egatlve Image of these areas, in order to use them as a tool in an
Integrated social and urban development process
• develop ~ concept of quality based both on technical excellence and
on the WIShes of future residents, in terms of how they wished r
us~ the dwellings and what fearures were important for their 0
satIsfaction
• create a collaborative working process among architects housing
promoters, technical experts and the population throughout the
whole process of planning, promoting, designing, building,
allocallng, hVlng in, managing and maintaining the buildings.
:'; i~e~:'~,:f1:ix~I~~~::et~lt;: ~~~~~,rn~~~~ o:I~=a_s~~~~,_~i~~~:l~~~e_~~i ld ing norms
I' J tectural solutions within a framework of recommendations about thp
MOBILISING COMMUNITY RESOURCES IN PORTUGAL 'J I
ated with promoting new municipal housing are long and complex and it is
dimcult to introduce procedural innovation into them. And finally, previous
experience of popular participation in these processes in the mid-1970s was
marked more by failure than success,
In Cascais, the main strategy for meeting these challenges was to include a
large number of housing promoters in the programme, both to assure diver-
sity in housing and urban design and to widen the choice open to families be-
ing resettled. Thus, from the beginning, the City Council was committed to
supporting both social and private housing promoters providing dilTerent
tenures and to considering the possibility of supporting cooperative and
self-build solutions, This last possibility is still embryonic, because it requires
sustained work with the population and needs to grow out of the develop-
ment of local social dynamics,
The overall programme will provide about 1200 new dwellings, on about
22 sites, each with between 24 and 110 flats. By deciding on a programme of
small sites, the PER team is working with existing housing promoters to meet
a number of architectural and urbanistic goals:
• To integrate new buildings into the urban fabric in a way which
ensures continuity with their general environment.
• To ensure that the human scale of these new settlements facilitates
their use by residents and commitment to living in them,
• To programme and build, if necessary, both urban services and
supporting facilities which can be used by both the new population
and the host population, so that the new developments are open to
their general environment.
• To use architectural solutions which are not yet stigmatised in
public perceptions.
• To ensure that the layout, completion and maintenance of the new
development and its surroundings are considered in the design.
• To use building materials and fittings which do not deteriorate
rapidly; to design the flats and buildings in ways which fit with the
families' desires in terms of privacy, security, function, size, storage
capacity, daily domestic activities and ways of life,
The local decision to promote diversity in new development was supported
by the way the national PER programme is open to financing and promoting
the direct choice of housing solutions by the families in a free market. A di-
verse sct of promoters also supports the use of dilTerent architccts and archi-

232 SOCIAL EXCLUSION IN EUROPEAN CITIES
Since there was no time to consult families directly about their future
dwellings, the I<ey issue Was to promote a 'social housing marl,et logic', wid-
ening the choices open to families and motivating them to exercise this possi-
bility of choice. The idea was that families would be able to choose their
preferred tenure (renting, owner occupation, self-build), the type of neigh-
bourhood they wished to live in, and their neighbours from among the fami-
lies to be resettled, thus maintaining old networks or gaining the possibility
of building new ones. To support mal<ing these choices, families have been
given information about the possibilities open to them and are being asl<ed
about their preferences and the way these are ranl<ed. This consultation is in-
tegrated with the worl< oflearning about, mobilising and supporting families
in their own life project strategies associated with the social promotion and
insertion objectives of the overall project.
The use of this strategy shows that it is possible to incorporate considera-
tions of housing and urban quality into programmes of social housing pro-
Illation, even when time is short and housing needs are large and urgent.
6. Promoting mJimnation and communication
The investment in information and communication in the PER has been
broad and fundamental. Opening the project, making it visible and participa-
tory, has allowed the use of feedback to improve the programme as it goes, re-
dUcing perverse rumours, gaining the confidence and participation of many
actors, ensuring the coherence of the project and the way in which it contin-
ues to develop as it is being implemented.
There have been some interesting difficulties, however, in building these
communication processes. At the formal level, neither population, technical
experts, partner organisations or politicians were used to being kept in-
formed and asl<ed to participate, and so were sceptical as to whether the pro-
cess would be sustained during the whole pro;ect. In one sense, the
construction of credible means of information exchange and channels of
communication, as well as creating the rules for managing them, has only
been possible because everyone has been involved in doing it and has gained
from this participation, thus making the information and communication
process 'user friendly'. At the same time, the necessity to ensure that the mes-
sages being communicated were comprehensible to all participants intensi-
fied the communication process, leading to a better knowledge by all of the
logics and dynamics affecting each and so building closer relationships
within the whole group of participants.
2)3
MOBlUSING COMMUNITY RESOURCES IN PORTUGAL
7. lJlJlaJY11ion t"n knaw~halP
Thinking about local social development implie~ thinking about what can
and should be done, but also thinking about how Il should be done.The Cas-
cais PER rose to this challenge, which resulted from starting wtth diSCUSSIOns
among those who would be responsible for implementing the project. The
nrst initiatives were based on constituting a flexible operallonal team and es-
wblishing Jinks with other teams, other partners, politicians and the popula-
tion. f' .
Innovation at the know-how level is not just a matter a Innovative out-
comes or products, it is also d matter of innovation in the process of imple-
mentation. Any action, in this I<ind of process, 15 a s~all piece of a dynamiC
and generative puzzle aimed at local socidl promotion and .mprovlng the
quality of life. These aims also imply that putting the puzzle together must
also be participatory, but without losing sight of the malngoaIs of the pro-
gramme. As with any ;igsaw puzzle, the projectas a whole ~s burlt up step by
step and the picture is achieved by putting the right pieces In the. right place,
taking into account the progressive development of the overall ptcture. Some
pieces only make sense when they are joined with other pteces. Som~ larger
parts of the whole only cohere when they fit with other parts, even tf th~se
parts are built separately. This is the real innovative challenge, to .work wtth
the problems but also the emerging possibilities that different pieces afTer,
making them fit in a generative and harmOlllOUS way, wllhout losmg Sight of
the overall goals and objectives. .
Figure I 1.5 shows that orchestrating th~ resettlem~nt process Iscomple~.
It deals with several dimensions and strategic tools whtch are very dtfferent m
nature. The fundamental idea is that the process is complex and needs to
evolve as it proceeds. Equally important is recognising that there ate n?
ready-made recipes for the process. The specific contribution of the Cascats
PER project is that it began with these two ideas, that th~ process was ~om­
plex and that a part of it was developing an internal evolullonary dynamiC, re-
lated to the dynamics of all parties involved in it. It was an act of fa.th to start
with the idea that more could be achieved if potenttal achievements could be
defined in the course of this evolving dynamic rather than at the outset. In
this sense, the project aims to release further potential possibilitie~ as it un-
folds, and the skill of managing the project consists of ~I.lderstandlng,:h~n
and how to step into this complexity to promote a pOSltIV~ dynam.c Wlthm
each of the main actors and through their relallonsh.ps wtth each other..
When complexity and dynamism are joined together, there 15 an I~filllty
of specific paths which can be followed. Both social exdUSlOn and SOCIal co-
hesion processes are dynamic and complex and we are Just begmnmg to un-
 234
SOCIAL EXCLUSION IN EUROPEAN CITIES

CHAPTER TWELVE

Principles
Politicians Combating Social Exclusion
ethics Looking In or Looking Out?
values decision- Stuart Cameron and Sill/in Davoudi
makers
Flexibility
ConciJation
Resettlement

-~~
Over the past decades, various terminologies have been used to define a per-
process sistent phenomenon in the advanced industrial societies, The Victorians and
orchestration their American counterparts called it the problem of the vicious, the degener-
Nature of Empowermem Partners in
ate and semi-criminal classes, The more enlightened late twentieth century
calls it the problem of the disadvantaged and the underprivileged (Hall
technical social/local 1994), More recently, the term underclass has been widely used both socio-
Dynamism Opportunity logically and in public life, Further, within the European Union, the term so-
action development cial exclusion has been given a central place in the discussion of social
inequalities and social policies in Europe,
These terms refer to an increasing isolated mass of impoverished people
whose chances of upward social and economic mobility are minimal. How-
ever, the ways in which the terms are interpreted and used by various critics of
social policy differ substantially (Fainstein, Gordon and Harloe 1992), These
Population can be grouped into two broad categories: the structural explanation of pov-
erry, and the cultural definition of the phenomenon, In Hall's words: 'Some
blame the system, others original sin' (Hall [994, pAOO),
The term social exclusion was first introduced by Jacques Delors, It derives
F(gurr 11.5 DimrTlJions dnd srrdffgie tools in the re.mtlrmrnt proem from its use in French social policy which, as defined by Esping-Anderson
(1985), is characterised by a corporatist/conservative model of welfare re-
than ,secur~ and sustainable outc0l11.es, Developing, analysing and experi- gime, Such a model is based on a concept of society which is composed of
~lentmg With new ways to understand these complex social processes is a groups with reciprocal rights and obligations and which seeks to ensure the
ong-run challenge, one which needs to engage social analysts, politicians, participation of all within the moral orderofsociety. As Atkinson (1996) sug-
techmcal experts and all the other social actors who are involved in th gests, this conception of social exclusion differs from the concept of poverty
Further contributions to developing this understanding are needed d em, which lies within the Anglo-Saxon tradition where, according to Esping-
pected, an ex- Anderson (1985), a liberal model dominates, The liberal model is based on
 .~ J6 SOCIAL EXCLUSION iN EUROPEAN CITIES
eng'ged in collst,nt competition with each other. It is held that the state
seeks to ensure a minimum material standard of wellbeing for each individ-
ual. Within this context, poverty is viewed as a static concept, an outcome
rather than a dynamic process, and is mainly concerned with income distri-
bution and defining what constitutes an adequate level of income (Atkinson
1996)
Some (such as Allen 1996) argue that Delors failed to achieve political
centrality for the concept partly because he introduced a concept appropriate
t_o one type of welfare regime (french corporatist model) into a negotiating
tramework which needed to be also approprbte to another type of regime
(Anglo-Saxon liberal model). However, the concept has remained at the cen-
tre of the European Union's discourse and has provided two useful discursive
aspects:
• It relates the incidence of poverty and disadvantage among some
groups and in some locations to wider processes of restructuring of
economies and welfare states.
• It emphasises the multiple nature of disadvantage and looks beyond
issues of income inequality.
I n The Community's Bartle Against Poverty, Ii IS stated that:
Poverty is a complex, heterogeneous phenomenon and can not be de-
fined solely in terms oflow income levels ... The European Community
and several of its Member States now consequently tend to define pov-
erty in terms of 'social exclusion' '" It serves also to emphasise the mul-
tifaceted nature of the phenomenon and the multiplicity and diversity
of the factors which combine to exclude individuals, groups and even
regions from those exchanges, activities and social rights which are an
inherent part of social integration (CEC 1992, p.3).
The concept of social exclusion has shifted the debate away from merely fo-
cusing on the issues ofincome inequality and material exclusion dominant in
the AnglO-Saxon view of poverty to incorporate the social and cultural di-
mension of the exclusionary processes emphasised by the french corporatist
model. The latter view of exclusion puts much greater emphasis on the need
to create social solidarity and seeks to ensure that individuals are integrated
into the social and moral order. As Atkinson suggests, social exclusion in this
context:
... is primarily concerned with ,elationol issues and the dynamic pro-
cesses which lead to the breaking of social tics and marginalisation of
groups in re,"tion to the nation ... The nation as a living, almost spiri-
I - I: -- _ •• l." l..,,,... , .... r ,hie' rnnrl"'nlinn (Atkinson 1990. 0.1 t
_ .. : _ - -
COMBATING SOCIAL EXCLUSION 237
Lipietz, Chapter 9 in this volume, outlines the economic dynamics which un-
derlie such processes of marginalisation.
Within the EU policy debate, the term social exclusion conveys isolation
from the moral order of the wider society (Room 1995). EU documents on
social exclusion stress that exclusion is not wholly economic, nor confined to
the problem oflow money incomes, but to: 'multiple and changing factors re-
sulting in people being excluded from the normal exchanges, practices and
rights of modern society' (CEC 1993, p. I). The multidimensional nature of
social exclusion at the level of the neighbourhood has also been identified in
programmes of exchange of experience between EU countries (for example,
CCRE 1994).
Therefore, the concept of social exclusion incorporates both the french
corporatist interpretation with its emphasis on social aspects and cultural ex-
clusion, and the Anglo-Saxon tradition with its focus on income inequality
and material exclusion. (see Allen, Chapter 2 in this volume, for further com-
parisons of different welfare regimes.)
In this chapter, we argue that in combating exclusionary processes, the
United Kingdom's urban regeneration policies of the 1990s have engraved
on them, if not fully endorsed, elements of the various dimensions of the con-
cept of social exclusion. On the one hand, they focus on the material dimen-
sion of poverty and seek to link the 'excluded' to mainstream economic life
through training and employment measures. We call this looking out. On the
other hand, they are concerned with the social and cultural dimension of ex-
clusion and seek to provide linkages between the 'excluded' and the main-
stream norms of civic society through community empowerment measures.
We call this lookIng "/.
The spatial metaphor used to distinguish the two approaches reflects the
significance of the role of place in the process of exclusion (see Madanipour,
Chapter 4 in this volume, for an extended discussion of why space matters).
Although social and spatial exclusion may not be related, in capitalist cities
social divisions go hand in hand with spatial segregation (Mollenkopf and
Castells 1991). The operation of the housing market and the price mecha-
nism have resulted in an increasing spatial concentration of poverty. Our case
study areas in Tyneside, in the northeast of England, arc examples of such
processes.
Within the looking 01/1 perspective, policies are focused on making people
in disadvantaged neighbourhoods mOte able to compete for the employment
opportunities which exist outside those neighbourhoods. Within the looking
ill perspective, policies are focused on improving the social, cultural and envi-
ronmenwl conditions within the area. They aim to build up social and institu-
'.L·.I : .J~~ ..... ;.~f" ........ ,.,tn ,hI' rlil'~rhJnnt:luprt

238 SOCIAL EXCLUSiON IN EUROPEAN CITIES
neighbDurhDDds inro the mainstream sDciety. Healey, Chapter 3 in this vDI-
urne, discusses the issues which underlie building institutiDnal capacity.
The remaining part Df this chapter will expand and clarify this argument
by using examples from our research on two disadvantaged areas in Tyneside.
First, we briefly review the histDry Df UK urban regeneration policies over
the last 30 years in order to highlight the shifting emphasis of the policies
and the length of the time taken to develop an approach which attempts, al-
beit tentatively, tD link the laakill,g ill and the looking alit dimensiDns.
SDcial exciusiDn and UK urban regeneratiDn pDlicy
In the UK, explicit urban regeneratiDn pDlicies (which used to be called inner
city policies) are usually regarded as dating from the second halfof the 1960.1
(although it is somewhat misleading to talk of UK policies since Northern
Ireland and Scotland, in particular, have a ditTerent history ofpolicy develop-
ment from England and Wales).
Of the fDur main phases of inner city and/Dr urban regeneration pDlicy
which might be identified, each can be seen as having a characteristic rela-
tionship to the concept of social exclusion and the lookillg IiI! lookIng alit dis-
tinction.
PhdSC ,: Late' 960s alld social policies
In the late 1960.1, when central government in Britain first explicitly recog-
nised the existence of an inner city problem and introduced new measures to
address this issue, a major mDtivatiDn was awareness of the problems of eth-
nic minDrities in the decaying inner areas DfAmerican cities, which had led tD
widespread riDting. This brought fears Df similar events in Britain. Under-
standing Dfthe nature of the inner city was strongly inJ1uenced by American
ideas. The issue was seen mainly in terms Df the sDcial problems created by
the inadequacies and antisDcial culture Df Some inner city residents and com-
munities.
Two concepts, derived from the USA, described mechanisms which were
said to transmit deprivation between the generations and trap people in inner
city areas. The first concept, the cycle ofdeprivation, suggested that inner city
children, disadvantaged by a poor ""me background and pDor schoDI facili-
ties, wDuld fail in the education system resulting in pDor jDb opportunities
which would, in turn, trap them and their f.1milies in the inner city, with the
cycle then mDving Dn tD the next generatiDn. The secDnd cDncept, the culture
of poverty, suggested that deprived inncr city areas developed their Dwn de-
vi;:J!1t subculrurc which rejected dominant values in society, in particular the
239
COMBATING SOCIAL EXCLUSiON
idea of striving for success and achievement. This rejectiDn then led to ap~thy
and alienatiDn from the rest ofsDciety, as well as antisoCIal behaVIour, cnme,
addictiDn and SD Dn.
A key concept in the perception of inner city problems in the 1960.1 was
the idea of multiple deprivation: people experiencing a range of mutually re-
inforcing social problems. The concept of multiple deprivation was.seen at
this time tD apply not only to families, but also to whDle areas, parttcularly
thDse parts Dfthe inner city referred to as twilight areas. These were concep-
tualised as quite small areas, often of subdivided old homing on the edge of
the city centre - the rODming hDuse areas of much Amencan urban sDclOlogy
_ with a racially mixed, unstable, transient pDpulation. The probkm ofthe 111-
ner city was seen as invDlving small pockets of deprtvatton ansmg f:om the
inadequacies of individuals and families in an otherwise healthy soctety and
economy. . .
As can be seen, the conceptualisation of inner city problems m thIS phase
had much in common with the image inherent in the concept of socia! exclu-
sion, an image of locations and sectors Df the pDpulation which are detached
and isolated from the social, cultural and economic mainstream of soctety.
The central idea of multiple deprivation also foreshadowed the use of the
concept of social exclusion to refer explicitly to a range Df deprivation and
disadvantage as opposed to a more limited concept ofpoverty as l~w mcome.
The conceptualisatiDn also has much in common with re~ent dlscusston of
the development of an underclass. In particular, it shares wtth some verstons
Dfthe underclass theory a tendency tD locate the origins of the problem m the
behavioural and cultural practices of the pDpulatiDns of disadvantaged areas
(Edwards and Batley 1978).
phdSC 2: MId to late 1970s and local economic development
In the second phase in the 1970.1, the fDcus of attention began tD change. to
the employment problems ofinner city residents created by the declIn~ of In-
dustry in the older industrial cores Dfcities. This change In focus came 111 part
from a challenge to the assumptions ofearlier analysis and polIcy of the II1ner
city problem. The develDpment Df the Community Devel~pment P~Dject
(COP) with its neomarxist analysis was particularly interestt~g. Establrshed
in the late 1960s, the task DfCDPs was seen as helping depnved commum-
ties to help themselves: overcoming apathy, helping them to organise tD press
fDr rights and to provide themselves with services.
The COPs soon came to challenge the assumptions on which this role was
based. They suggested that the main problems Df inner city areas stemmed
rrnn1 fhp v..r;thrlt-.."".,l "'t;'~"""~'~~~h' 1-.. •~_: .. _.- :._1 c__ --- .1 _. .•

SOClAL EXCLUSiON IN EUROPEAN CITIES
ditional industri,,1 "cas of Britain. The problems of inner city areas did not
arise Irom the inadeguacies of individuals or from deviant cultural traditions
within these areas themselves, and their problems could not be overcome by
self help and community development.
The title of one of the key COP publications, The CoSIS ofIndusll'lal Change,
renects the key focus of this analysis, which can be seen in a guotation from
this publication, describing the making and breaking of five urban industrial
locations:
The fortunes of each community are intimately related to the state oflo-
cal industry, which in turn is dependent on processes at work in the
wider community. As the economic role of each area changes over time,
so the basis of the local economy is transformed. The symptoms of'de-
privation' appear as industrial change shifts areas that were once impor-
tant industrial centres to the periphery of the economy (COP 1977,
p.5)
The interest in the issues of social exclusion and social cohesion within the
EU also arises from concern about the costs and the casualties ofeconomic re-
structuri ng:
The single frontier-free market and monetary union constitute growth
factors for Europe as a whole, but they are also risk factors for the weak-
est regions and social groups and must be accompanied by more dy-
namic policies in the field of economic and social cohesion (CEC 1992,
pAl·
Of course, this parallel does not extend to an acceptance of the radical, neo-
marxist analysis of the COPs, which located urban problems in the very na-
ture of capitalism. It perhaps has more in common with the subseguent
conceptual changes in official inner city policies, which saw urban problems
as arising from economic decline and affecting much larger areas of cities.
From the mid-1970s, the lead was taken by local government in creating
local economic development policies to assist local firms and create employ-
ment through the provision of industrial land and buildings, environmental
improvements and loans and grants to firms. The 1978 Inner Urban Areas
Act was the climax of this approach. The White Paper which led up to the Act
recognised the importance of economic decline, stating that: 'The decline in
the economic fortunes of the inner areas often lies at the heart of the problem'
(DoE 1977, p.2).
The emphasis in this phase on the impact of de-industrialisation and the
effects on inner urban areas of the decline of traditional manufacturing in-
dustries echoes the element in the concept of social exclusion which is Con-
. r. t ~ •• l_~: . .J 1~ ~_.:~., ... ,,,hirh r:1n hI' ""fit;
CO,'~\HATING SOCIAL EXCLUSiON 241
as the casuelties of economic restructuring. The policies of the 1970~ repr~­
sented an attempt to respond very directly to this process by r~-creattng pri-
marily manufacturing employment within inner urban neIghbourhoods
(although, in practice, on a scale which was dwarfed by the extent of employ-
ment decline).
phdJe 3: 19805 dnd property-led regenerdlion
In the third phase in the 1980s, economic objectives remained central, but
while in the 1970.1 local government had taken the lead in local economic
policies, the Thatcher government sought to reduce the role of local gover~­
ment and increase the role of the private sector. The main thrust of these poh-
cies was commercial ptoperty development-led regeneration (Healey el al.
1992). The spatial focus was under-used mban land with .commercial devel-
opment potential in central areas or former mdustrlallocattons. The very evo-
lution in terminology, which in the I980s referred to urban regeneratton, as
opposed to inner city policies, renected this ch~nge of emphaSIS fr.om a con-
cern with the social and economic problems of Inner city commumtles to the
physical and economic renewal of the city. .
This was, of course, best exemplified by the flagshIps of 1980.1 urban re-
generation policies, the Urban Development Corporations (UDCs). These
were government appointed bodies with deVelopment powers which were
transferred to them from local authorities. Their main task was to open up de-
velopment opportunities for private sector development (Imrie and Thomas
1993). h'
Typically, UDC development schemes reflected the international fas Ion
for waterfront regeneration begun in the USA. In contrast to the 1970.1, :,h~n
reviving the manufacluring economy ofinner cities was given first priOrity, In
the 1980s the emphasis was on commercial and leisure development.
The UDCs often literally turned their backs on existing inner city commu-
nities by excluding virtually all established tesidential areas from withintheir
boundaries. Little direct attention was given to the needs of deprived mner
city communities, with the assumption that the pr?sperity created by new de-
velopment would trickle down to the most deprived.
The concept of social exclusion, especially as it has been ~sed and deve.l-
oped in the discomse of the European Union, suggests. the Imag~ of a com
with two sides. On one side there is a process of economIC Integratton and re-
structuring which is seen as both inevitable and desirable in terms ofth~ over-
all economy of Europe; on the other side is the creation of casualtIes, of
populations and locations excluded and disadvantaged by these processes.
rT'L ~ .... i... "n rpapnpr~tinn initi'1tivp" of the: 19805 were characterised most ofall
 l-12 SOCiAL EXCLUSION IN EUROPEAN CITIES
by the one-sided nature of their approach. They enthusiastically embraced
proc~sses of economic restructuring by enabling their implementation in
physical deve.'opment terms while, at the same time, gave almost no recogni-
tion o.r attentIOn to the processes of exclusion beyond the crudest of spatial
targetll1g.
In that sense, the dominant urban regeneration policies of the 1980s
could be seen as mirroring the one-sidedness of the general approach of the
UK government of that time to the European project in its emphasis on a free
market Europe a?d rejection of a social Europe, best exemplified by the opt-
out from the SOCIal Chapter of the Maastricht Treaty. They mirror, too, a re-
Jection of the premise on which concel'l1 with social exclusion is based.
In fact, some of the same limitations and conflicts exist within the discus-
sion of policies relating to social exclusion and cohesion in the EU. For exam-
ple, the issue of subsidiarity and the extent of the EU's role in tackling social
exclusIOn, as opposed to that of individual member states, has been a matter
of contention (see CEC 1992; 1994).
It is n~t only economic restructuring, but also the restructuring of welf.1re
states wlllCh form part of the explicit context for the European discourse on
exclusion a~d cohesion. If there are limits to the EU's competence to inter-
vene, there IS also assumed to be a limit to the extent to which social exclusion
':ill be addressed by comprehensive, publicly financed welfare state provi-
:lOn.. Elements of the EU project itself, for example, the cuts in public spend-
II1g m;posed by the movement towards monetary union, reinforce this
lImitation (CEC 1993). There is, rather, an emphasis in the EU policy dis-
course on utilising the capacity of the voluntary sector (Chanan 1992).
phl1Je 4: 19905 andpeople-centred policies?
The fourth phase ofurban regeneration policies in the 1990s could be said to
reflect some disiIlusionment with the approach of the I 980s, specifically
With the assumption that the benefits of commercial property development-
based .approache~ to regeneration would trickle down to the deprived com-
munities of the cIty. There was a discernible return to the social objectives of
tbe I 960s With a shIft of emphasis from property to people.
Tbis change of emphasis came first in Scotland with the policy document
New Lifefo~ Urban Scotldnd (Scallish Office 1988) signalling a shift in empha-
SIS to. tackhng the problems of the large peripheral bousing estates around
Scottish cities. [n England, this change was subsequently reflected in the City
Cballenge programme which clearly involved a move away from the land and
commercial development approach of the earlier policies and a return to a
more people-centred concept of urban regeneration (Davoudi 1996). A total
243
COMBATING SOGAl EXCLUSION
of 3 I challcnge authorities were declared in 199 I and 1992. In comparison
with the UDCs, they tend to have large residential arcas and a substantial resi-
denl population within their boundaries. The City Challenge initiative is
based on a partnership which includes local authorities, local businesses, the
voluntary sector and local communities. The intention was that City Chal-
lenge would develop policies which more directly addressed the problems of
deprived communities and promised the integration of physical, economic
and social regeneration. In fact, the integration of different aspects of urban
policy is one of the key features of City Challenge.
It is in City Challenge and the related British urban regeneration pro-
grammes of the 1990s that the link to the concept of social exclusion is most
clear. It is also in City Challenge where attempts have been made to link the
lookillg ill and the lookillg Oul perspectives. The objectives identified for City
Challenge in the initial guidelines from the Department of the Environment
(DoE 199 I) included:
• developing disadvantaged areas which have significant
development potential for the cily and are a major constraint on
city wide development
• providing disadvantaged residents with access to opportunities
produced by regeneration through specific measures
• linking disadvantaged areas and residents to a city's mainstream
economy.
These are clearly couched in the language of social exclusion in, for example,
the reference to 'linking ... to the city's economic mainstream'. The underly-
ing assumptions about the nature of the problems experienced by particular
sectors and neighbourhoods in cities mirror many of the basic statements
made about social exclusion in EU documents, for example the statement
that: 'The Community cannot be satisfied with a "two-speed society" breed-
ing, as it would, poverty, exclusion and frustration' (CEC 1992, pAl.
The recognition that some people and some places do not automatically
benefit from economic change, that specific processes exclude them and that
specific measures are necessary to re-integrate them is found in both dis-
COllrses. The redefinition of the objectives of urban regeneration programmes
in the late [980s and early I 990s involved a re-focusing on people in more
than spatial terms. The problems of areas of social exclusion may be rooted in
economic change - and a defining charrtcteristic of these areas in the UK has
bccn thc experience of higb levels of long-term unemployment -- but tbere
arc social and cultural patterns within these communities which inhibit and
disable their populatiolls from taking advantage of new economic opportuni-
 SOCIAL EXCLUSION IN EUROPEAN CITIES
ties, Gilroy and Speak, Chapter 5 in this volume, discuss some of these
mechanisms in more depth,
All of this is closely related to the ideas expressed in the recent British con-
cern with re-integrating disadvantaged groups, such as the long-term unem-
ployed, back into the mainstream society (Davoudi and Healey 1995), This
concept in itself draws heavily on the US literature on community develop-
ment (Bendick and Egan 1993),
The policy response of the 1990s also has echoes of the 1960s, involving,
on the one hand, education and training programmes to improve skills (i.e,
the focus of the looking Ollt approach) and, on the other hand, programmes
and structures for community development and empowerment (i.e, the focus
of the looking in approach),
The Tyneside case studies
Some of these issues arc illustrated below with reference to two neighbour-
hoods in two adjacent local authorities within the Tyneside area: Meadow
Well in North Tyneside and Cruddas Park in the West End of Newcastle-
upon-Tyne, Three features of these neighbourhoods make them especially
interesting:
• They are classic examples of communities suffering from the most
severe problems, Both are areas of local authority housing in which
problems of poverty, social disadvantage, crime and insecurity
occur to an extreme degree and where long-term unemployment is
at such a level that it could be said that they are virtually excluded
from access to the labour market. Both the Meadow Well estate and
the West End of Newcastle, in which Cruddas Park is located, were
scenes of serious disturbances and rioting in September 199 [,
• Both estates have Community Development Trusts (CDT), These
are local multifunctional community organisations of which there
are now over 200 in the UK. They vary greatly in form and
emphasis, but are essentially about a bottom-up approach to the
regeneration of disadvantaged neighbourhoods, They are typically
run by local people with some professional support and address a
wide range of issues fo", the improvement of the neighbourhood. In
Tyneside, the Cruddas Park COT and Meadow Well COT are
examples of great intrinsic interest in terms of the innovative nature
of their organisation and their genesis,
• Both areas have a long history of community development work
COfl,IBATING SOCiAL EXCLUSiON 245
initiatives since the 1970s, They share a similar spatial location and
juxtaposition with regard to two major ce,ntml govern,ment initiated
urban regeneration programmes in Tyneslde, Both neIghbourhoods
fall within the area of a City Challenge initiative and each is
immediately adjacent to the boundary of a UDC, the Tyne and
Wear Development Corporation (TWDC),
Therefore, the two neighbourhoods have experienced both the looking 0111
and the looking in aspects of urban regeneration initiatives over time, The fol-
lowing sect inns illustrate how the two neighbourhoods have been affected
by these approaches since the 1980s,
Looking out: linking to the economic mainstream
As mentioned earlier in the chapter, this dimension of urban regeneration
policy has been most clearly reflected in the objectives and practices of the
UDCs since the 19805, The Development Corpotations' focus on property
development in targeted areas and its assumption that the disadvantaged peo-
ple in those areas or the areas adjacent to them would eventually benefit from
such developments are a clear indication of a 100kll1g out appr,oach, although
in its crudest sense, Our two case study neighbourhoods provtde a claSSIC test
of the question widely raised about the operation of the UDCs: do they bring
benefits to deprived and disadvantaged residents in adjacent areas? In thIS re-
gard, the House of Commons Employment Committee in 1989 stated that:
'UDCs cannot be regarded as a success if buildings and land are regenerate~
but the local community are bypassed and do not benefit from regeneratIOn
(House of Commons 1988, para 89). .
Cruddas Park is adjacent to the Newcastle Busll1ess Park and Meadow
Well is close to the Royal Q!tays Development in North Tyneside. Both de-
velopments are considered as being two of the TWDC's most pres~igious
schemes, known as flagship projects. Both have brought large-scale II1vest-
ment with substantial jobs which either have been or are being created.
However while detailed data on the employment of local people in the
two TWDC development areas is not available, it is clear from local knowl-
edge that the extent of employment is extremely limited, It can be said with
confidence that the TWDC has not delivered employment benefits to the
case study areas despite their desperate need for employment, the success of
the TWDC in attracting investment, development and jobs and the propin-
quity of one to the other. What is less certain, though, is whether thi~ can be
seen as a failure of the UDC concept, as such, WIth Its exclUSIOn of resIdenttal
communities from its area of operation, its emphasis on commercial property
 COMBATING SOCIAL EXCLUSION 247
SOCIAL EXCLUSION IN EUR.OPEAN CITIES

development and reliance on a trickle down of benefits to deprived residen- ture has been recently transformed in dramatic fashion with the construction
tial areas. of a major new development in the area by the German electronics company,
The Tyne and Wear Development Corporation has been aware of this po- Siemens, involving inward investment of £ I. I billion and the creation of al-
tential criticism of UDCs and has, in schemes such as Royal Qtlays and the most 2000 jobs.
Newcastle Business Park, attempted to facilitate local employment and pro-
vide training. In general, though, these efforts have met with limited success.
To quote the Director of the Cruddas Park Community Development Trust
with reference to the Newcastle Business Park: 'As far as the residents of
Cruddas Park were concerned, the whole Business Park development might
as well have been on the moon.'
With the advent of City Challenge in the I 990s the two neighbourhoods,
Cruddas Park and Meadow Well, were included within the boundaries of
two City Challenge areas, one in North Tyneside and the other in the New-
castle West End. While City Challenge brought in a new dimension to urban
regeneration policy, that of looking in, as mentioned before, it also continued
with policies and practices which have been associated with the looking out
perspective, i.e. property development and job creation. Such measures vary
according to the type and nature of each City Challenge programme, as our
case studies show. But, in general, they have been more concerned than the +H++-\'" local Authority Boundaries
UDCs with the provision of education and training schemes as part of their
job creation and economic development programmes. It can, therefore, be ...-.- Inner City Parlnership/Programme
said that the City Challenge approach to the looking 0111 dimension has been a ""lIm'" Tyne Wear Development Corporation
step forward compared with the UDC's approach, which, to a large extent, . . , Ciry Challenge
has merely focused on property development.
However, the questions remain. What difference did the inclusion of the
two neighbourhoods in the boundaries of the City Challenge areas make?
Has there been a significant change in terms of access to employment oppor- Figtlr{ 12. 1 T.-yn{Jid, inntr-ciry initiativts
tunities arising from incorporation into a City Challenge area?
To some extent, the context does differ between the two areas because of Does this imply that the residents of Meadow Well have benefited, or will
differences in the nature of the two City Challenge programmes. The area of benefit, much more from access to new employment opportunities than the
operation of the Newcastle City Challenge contained little potential for residents of Cruddas Park? It must be said that it is too early to judge. How-
large-scale new development and employment creation, and housing re- ever, the experience of the failure of the residents of Cruddas Park to benefit
newal was very much the main focus of the investment programme. In con- substantially from the new employment in the adjacent Newcastle Business
trast, the strategy adopted by the North Tyneside City Challenge was to Park clearly provides a warning.
include within the designated area a large area orland with potential for new Even in terms of physical propinquity and accessibility, there is a distance
industrial development (refer/ed to as the A19 corridor; see Figure 12. I), and between Meadow Well and the new jobs. The main development areas ofthe
its investment programme includes major spending on economic develop- II I9 corridor, including the location of the Siemens plant, are some distance
ment. While the development of the new industrial areas within the North to the north of the residential parts of the City Challenge area. Moreover, the
Tyneside City Challenge has been rarher slow (inhibited by uncertainty over gmin of existing public tmnsport facilities in the area is predominantly
the provision ofEmerprise Zone status for part of the land, a status which of- east-west. The new jobs :lre not, therefore, in a 10ccHinn which is easily acces-
r. • •
rNf'n (::IX rrlit,r .::tno rC'!;lX;lfiofl or nl:lnninQ: regulations for tcn ve:lrs) thp nlr-

248 SOCIAL EXCLUSION IN EUROPEAN CITIES
Well. A public transport and accessibility strategy to link Meadow Well and
similar areas to the main new employment locations has been notably absent
from the plans and spending programmes of City Challenge, although this
may change with the advent of the Siemens investment.
However, physical accessibility is not the only, or even the main, con-
straint. It is social access, relating to issues such os qualifications, training,
work experience, confidence, and a range of other factors which inhibit the
people of an area such as Meadow Well or Cruddas Park from taking advan-
tage of even the most physically accessible employment opportunities. This is
one ofthe key issues which the initial guidelines for City Challenge sought to
address, with their reference to the need for specific measures to give resi-
dents access to opportunities. It must be admitted, though, that neither of the
City Challenge programmes could be said to have successfully developed a
large-scale, comprehensive strategy of training, education, job placement,
etc., to provide these links. Training and related measures have formed a rela-
tively minor element of their spending programmes in comparison with, in
particular, housing and economic development.
In the case of the Newcastle City Challenge, there has been a wide range
of training and education initiatives within the programme, but these are
generally small scale. The North Tyneside City Challenge, too, has developed
some (mostly capital) schemes, but it would not be unreasonable to suggest
that the development of a straregy and programme for training and employ-
ment access has been one of the less successful elements of their action pro-
gramme, in contrast to their success in attracting investment to the area.
It can be concluded that neither the TWDC's flagship projects nor the
City Challenge training and education programmes has been able to fully de-
liver the main policy aim of the looking out approach, which is to link the peo-
ple of Cruddas Park and Meadow Well to the economic opportunities which
were created immediately adjacent to these areas.
Looking in: partnership and empowerment
As mentioned earlier, the looktng in approach with its focus on partnership
and empowerment has been a key theme in recent urban regeneration poli-
cies, in City Challenge and in its recent replacement, the Single Regeneration
Budget (SRB). The latter con~olidated a variety of urban policy funding pro-
grammes and put more emphasis on the involvement of the community and
the voluntary sector in the formulation and delivery of regeneration pro-
grammes.It does seem clear that in relation to the two Tyneside examples, the
nexus of urban policy making processes provided by the combination ofCity
COMBATING SOCIAL EXCLUSION 249
Challenge and the Community Development Trusts has made a significant
difference.
In the past, North Tyneside was seen by the Conservative government as a
rather radical and confrontational Labour council. City Challenge has been
central to an explicit strategy to change this image and approach and to work
in partnership with central government, the private sector and the commu-
nity (Davoudi and Healey 1995). The partnership approach has been very
successful. City Challenge itself has, given its quite limited budget in relation
to its size, provided a generally well targeted and relatively high impact ac-
tion programme. Over and above this, though, the partnership approach has
had a number of major successes in attracting both private investment and
further public funding (from the National Lottery, Single Regeneration
Budget, etc.).
In Newcastle, too, the infrastructure of partnership within City Challenge
has been successfully utilised, especially in a number of successful bids to the
Single Regeneration Budget which is based On competition rather than need
(Oatley 1994). In the West End of Newcastle, with a longer, more organised
history of community action, it does seem, too, that the clement of commu-
nity representation in these partnership structures has been more. ~vident.
The evidence in relation to the empowerment of local commUnIttes IS per-
haps more ambiguous. The structures of City Challenge and related initia-
tives do have a place for community representatives. In addition, the
examples of Community Development Trusts discussed in this chapter have
both involved very ambitious and exceptional processes of democratic con-
trol by local residents over organisations which have, in theory, taken on a
wide-ranging responsibility for rhe regeneration of their area. Major areas of
difficulty have, though, been apparent.
While these Community Development Trusts have aroused widespread
interest and admiration for their innovative nature, they have proved to be
quite fragile and problematic as organisations. They have been given a high
level of responSibility for a wide range of objectives but with severe limita-
tions in their actual level of control and resources. They have, moreover, been
characterised by a high level of internal connict. The term community gives
scant impression of the tensions between individuals, families and groups
within these neighbourhoods. The Director of the Cruddas Park Trust says:
'The word "community" conveys a nice cosy feeling of supportive together-
ness, bUI working in our most marginalised communities can be one of the
most vicious, frustrating and destructive of personal experiences as well as
One of the most rewarding.' The collapse in 1995 of the Meadow Well Com-
munity Development Trust in its original form perhaps exemplified some of
thpc:p notential problems.
 .DU SOCIAL EXCLUSION IN EUROPEAN CITIES
There are also some questions about the exten! of empowerment and in-
volvement in decision making by community representatives.ln North Tyne-
side, for example, local community representatives in general, and the
Meadow Well COT in particular, seem to have had little impact on decision
making regarding the major programmes of economic development by City
Challenge and have not really seriously raised the issue of access to the jobs
these create. Both the narrow horizons and inward-looking approach to em-
ployment by the community itself and the business-like style of City Chal-
lenge seem to have militated against this. The mechanisms of community
representation have generally been largely focused on narrow community is-
sues of local facilities involving quite small-scale resources.
While effective partnership involving those with a stake in an area is one
of the main objectives of City Challenge, in reality the community partners
have only been given a mere presence rather than voice. It can, therefore, be
concluded th'lt the government's rules and procedures for providing re-
sources and monitoring the City Challenge and SRB programmes have re-
mained deeply technocratic.
Concluding remarks
~ecem developments in urban regeneration policies, as exemplified in the
ryneslde area, do seem to represent a more Wide-ranging and imegrated ap-
proach to regeneration, which relates, to an extent, to the issue of social ex-
clusion in both its material and cultural dimensions. There are elements
which look oul to address the economic and environmental context of de-
prived neighbourhoods and elements which look in to address issues of em-
powerment and citizenship. However, the coexistence of the two dimensions
does not necessarily mean that a closely integrated approach has been
achieved.
The main area of doubt which remains is the effectiveness of the links be-
tween the excluded neighbourhood and the mainstream in terms ofaccess to
employment, on the one hand, and in terms of empowerment beyond the
confines of the neighbourhood itself, on the other hand. The examples from
the Tyneside area shed serious doubt on the success of various urban policy
programmes in providing sustainable economic, social and political links be-
tween disadvantaged areas ,and the mainstream. Both neighbourhoods,
Cruddas Park and Meadow Well, still suffer from high levels of unemploy-
ment, social marginalisation, environmental degradation and stigmatisation.
The most immediate question which comes 10 mind is: why? To that ques-
t,on, research as yet provides no answer. But a simple observation suggests
COMAATfNG SOCIAL EXCLUSION 25'
that there is a need for more effective links between those aspects of policy
which look 0111 with those which look in.
References
Allen, J. (1996) 'Europe of the neighbourhoods: four queslionsall social exclusion
and neighbourhoods.' Paper presented at 'Social Exclusion and the
Neighbourhood' Seminar, Newcasde, 19-20 January.
Atkinson, R. (1996) 'Housing, spatial segregation and social exclusion.' Paper
presented at ENHR Housing Research Conference, Denmark, 26-31 August.
Bendick, M. and Egan, M.L. (t 99 3) 'Linking business development and community
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COP (1977) The Costs oj Industridl Chdnge, Industry, the Srare and the Older Urbdn AredJ.
London: COP Intcr.Project Team.
CEC (1992) The Community'S Bart!r against Pmlrr~v. Brussels: Commission of European
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Bacl(ground Report, ISEC/B [ 1/93 6/4/93.
CEC (1994) Solidarier. Issue I. Brussels: DGY.
Chan an, G. (1992) Out of rhe Shadows: Locttl Community Action and the European
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Davoudi, S. (1996) 'City challenge, the three·way partnership.' Planning Practice f11ld
!lrJ<drch 10, 3/4. 333-344.
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Tavistock.
Esping-Anderson, G. (1985) PolitICS dgainsr Mdrket. New Jersey: Princeton University
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Fainstein, S., Gordon, I. and Harloe, M. (1992) Divided Cities: Nell' fork dnd London in
the Contemporary ['Varld. Oxford, Blackwell.
Hall, P. (1994) Ot,6 oj TomolTom Oxford: Blackwell.
Healey, r., Davolldi, S., OTool, M., Tav,sanoglu, S. and Usher, D. (cds) ([ 992)
Rrbui/difl,g the C1~y: Proprrry-lcd Urhttn Regtnmttion. London: Spon_
I louse of Commons (1988) Employment Committee Third Report, The Emplo.ymmr
EjftaJ of Urbdfl Dew/opmtnt C011Jordfions. HoC Report 323--1, 1987--88. London:
252 SOCIAL EXCLUSION IN EUROPEAN CllrES

Imrie, R. nnd Thomas, H. (cds) (1993) Brilish Urban Policy and the Dn1dopmmt
Corporatt"olls. London: P;1ul Ch:lpm;lIl.
Mollenlwpr, J.I-I. ;)nd C:lstells, M. (1991) DUdl Ci~l': ResfrucluriTJ.f{ New York. New York:
Russell Sage Foundation. CHAPTER THIRTEEN
Ontley, N. (1994) 'Winners and losers in the regeneration game.' Pld1lning 1068 (13
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The Response of Swedish Society
Scottish orner (1988) Nt" Lift for Urban Scotland. Edinburgh. Scottish Orne,.
Gbrttn Cttrs ttnd Mttlld Edgren-Schori

This ch~pter describes and ~nalyses social exclusion in Sweden, its starting
point being ~ short presentation oftraditional policies ~nd approaches to pre-
vent social exclusion. A case study, with a focus on immigr~nts, then illus-
trates social exclusion in the Swedish context. The final section discusses new
~nd emerging appro~ches and policies to combat social exclusion.
Sweden is ~ highly urbanised country. It has an international reputation
for having not only a high GOP but also an even distribution of welfare
~mong the popul~tion. Equ~lity has been an important political objective
over a long period of time. In this context, Sweden is currently debating
whether social exclusion is a new phenomenon or whether Swedes are just
paying attention to something that has ~lways been present but not previ-
ously recognised. If social conditions are looked at in retrospect, it is obvious
that expressions of social exclusion have always existed, in terms of economi-
cally segregated neighbourhoods and marginalised individu~ls and groups.
Excluded groups can be identified throughout the postwar period: the men-
tally disabled, the homeless and some minority groups have certainly been
living outside the mainstream society. In this respect the phenomenon is not
new. However, until the I980s, the concept of social exclusion described the
situation of only a small part of the popul~tion. Today the situation is differ-
ent, m~inly ~s a consequence of increased unemployment, changes in public
housing policy and cuts in v~rious welf~re programmes. A large and rapidly
growing proportion of the popul~tion is either excluded or in the process of
being excluded from daily lire in Swedish society.
In order to ~nalyse why soci~1 exclusion is emerging and to define me~s­
ures to combat it, it is necess~ry to brieOy ex~mine how Swedish society and
social policy have developed over the p~st dec~dcs.
 254
SOCIAL EXCLUSION IN EUROPEAN CITIES
11,e Swedish social welfare model
Th~ Swedish welfare model has been characterised by a broad definition of
sOCIal policy, which incl~des housing policy and labour market policy within
Its ambit. ThiS model IS usually defined as an institutional redistributive
model. In contrast to mo~t other capitalist welfare states, where family rights
are the base for ~omI poltcy, Sweden has developed a social concept based on
the right of the IIldlvldual (Esping-Anderson 1990). Each individual is given
support Wltltout maklllg other family members, or members of an extended
family, subject to a means test. Means tested benefits have a subordinate role.
instead, welfare policies and public services are designed to apply to the en~
ltI:e populatIOn. This has re.sulted in an extensive public sector providing a
Wide vartety of SOCIal serVices, lI1c1uding health care and social insurance
benefits. Redistribution becomes a characteristic feature. The general, all-
InclUSive character of benefits is also meant to avoid or minimise the stigmati-
sation of individuals.
The different social programmes have been largely financed by taxes. To
:reate.legltlmacy, there has been an ambition to involve the entite population
111 SOCIal welfare programmes. he:ybodyconttibutes to financing the system
and everybody can reCC/ve SubSidIes at different stages in the life cycle. This
welfare model has, as its central ambition, an aim to reduce social inequalities
and promote social equality.
Labou~ market policy has also been an important part of social policy in
Sweden since the Second War. A re-employment policy, as opposed to an in-
:ome support poltcy, has dominated and consequently labour market train-
II1g has received a lot of attention. The unemployment insurance benefit
system IS an exception to the universalism and direct public sector provision
which g:nerally cllaracterise the Swedish welfare state. Unemployment in-
surance '~ admll1lstered by the trades unions and financed by government,
trades Ulllon a~d employer contributions. If a person has qualified through
earlier periods 111 work, and he or she is included in the scheme (for example,
has been a member of the unemployment insurance fund for a period of at
~ast twelve months), then financial support is related to the previous wage.
e~ple who do not qualtfy get substantially less economic support, usually as
SOCial welfare payments.
The relatively .extensiv~ d~mand for benefits from unemployment insur-
ance has resulted 111 many Immigrants liVing on welfare support, which pro-
~Ides a much lower level of payme~ts and is more stigmatising than the
Income-rdated benefits paid by the social insurance system inclUding unem-
ployment Insur~n~e. Thed~sed door to the labour market is the principal ob-
stacle to quallfyll1g Within the unemployment insurance programme.
Inpmnlnllrnp", PC'ro .......... lI .. f...... ~L.~ __ ••• t.._ .J~ ~~~ _ •• _fa:.
SOCIAL iNTEGRATION AND EXCLUSION 255
insurance, often results in the exclusion of individuals and households as it
decreases all sorts of choice in daily life.
The general principles of housing policy were forged by the Swedish P~r­
liament in a series of decisions taken after the Second War. These poltcles
were meant to provide all households with healthy and spacious homes at af-
fordable costs. Municipalities were givcn responsibiliry for implementing
programmes to dcvelop local housing supplies in order to ensure sufficient
and modcm housing for thc population. In order to accomplish this task, mu-
nicipalities were encouraged to create their own local housing associations,
set up as non-profit companies. The objective has been to ensure that the en-
tire population, regardless of income and social affiliation, had adequate
hOUSing. This means that the public housing stock includes a great variery of
dwellings in terms of size and quality and every fifth Swede lives in a dwell-
ing owned by a public housing association.
Legal restrictions on immigration have significantly influenced the pro-
cess of social exclusion. Immigration was not regulated until very recently in
Sweden. During the 1960s and 1970s, Sweden imported a large workforce,
mainly from Italy, finland, Greece and former Yugoslavia. In the middle of
the 1970s, the trades unions called for a more restricted immigration policy
in the face of rising unemployment. Since 1975, immigration to Sweden has
consisted mainly of refugees and relatives joining people who have already
established their right to asylum in Sweden.
The aims of policy towards immigrants since 1975 are expressed in three
concepts. Equality means that immigrants should have the same standards
and living conditions as Swedes. freedom of choice refers to the individual's
or household's own choice to a.ssimilate or to retain his or her own culture
and ethnic background. Cooperation indicates the authoriry of immigrant
organisations to take part in planning for the quality of life at different levels
in the process of integration into Swedish sociery.
During the long period of time when there was no legal regulation of im-
migration, public policy was based on assimilating immigrants into Swedish
sociery. This aim was not expressed in active policies, but through an inactiv-
ity which presupposed that the best situation for immigrants was to become
'Swedes' as soon as possible. In the 1970s, public policy became based on the
concept of integration. The aim was to support different ethnic groups in pre-
serving their characteristics while still being incorporated in Swedish sociery.
rntegration is still the official goal, but the consequences of changes in social
policies, housing policies, values in mainstream sociery, high rates of unem-
ployment, etc., have increased the marginalisation and exclusion of large
c ... . groups of immigrants. This is particularly visible in ethnically segregated

256 SOCIAL EXCLUSION IN EUROPEAN CITIES
Something has happened: traditional policies at an impasse
As in other West European countries, the economic and social situation
changed in the early I 990s. This change was characterised by economic re-
cession, changing values and increasing differences in ways of life among
different groups of the population. The traditional aims ofwelfare, and espe-
cially the role of the public sector, were increasingly debated and questioned.
Cuts in welf.lre programmes improved public finances and made tax cuts pos-
sible. Improved efficiency in the way traditional public services were deliv-
ered could also be observed.
However in achieving these objectives, substantial social changes became
obvious. The labour market based social insurance programme, for example,
presupposed minimal unemployment. With an increasing proportion of the
workforce unemployed, this programme could not support all the needs it
was intended for. As a consequence, the pressure on other social insurance
programmes became very strong. Thus, it become necessary to begin to re-
construct the different programmes (pension, sick pay, parenthood benefit,
unemployment benefit, housing benefit etc.). Unemployment rose to levels
that, only a few years ago, no one could imagine possible. The number of
poor people increased dramatically and the percentage of people dependent
on social welfare, housing allowance or other benefits also increased rapidly.
A parallel process of growing social segregation could be noted. The concept
of poverty was again introduced into public debate.
Sweden today is at a crossroads. Various programmes and previous social
policies are facing an impasse. Economic constraints do playa role, but per-
haps even more important is the fact that these measures do not meet current
social needs efficiently. It is not possible to identify a consensus on how to re-
construct - or reform - social policy programmes to fit the needs of today.
However, the mainstream position in the debate clearly seems to favour re-
considering social policies and developing a new social concept for combat-
ing social exclusion and promoting social integration.
The next section of this chapter looks at the case ofBlakulia (Blue Hill), a
suburb located to the northwest of the Stockholm city centre. It provides a
starting point for considering how social exclusion can be combated in the
Swedish context.
Social exclusion in the Swedish context: the case of Blakulla
In order to understand social exclusion in the Swedish context we have cho-
sento briefly present a neighbourhood currently subject to renewal. The pur-
pose is to give an idea of what social and ethnic segregation looks like in
257
SOCIAL INTEGRATiON AND EXCLUSiON
Sweden. Ir will also serve as a framework for discussing the processes that can
lead to social exclusion and rhe approaches that can promote integration.
On the one hand the neighbourhood of Blakulla does not represent any-
thing but itself. It is unique and, as with all neighbourhoods, it has a very in-
dividual character. On the other hand, many of the characteristics ofBlakulia
can easily be found in other areas ofa similar nature. Blakulla is not one of the
worst neighbourhoods, but there were many signs of its deterioration when a
regeneration project was introduced in 1991. .
The current neighbourhood of I3liikulla was constructed III 1970-1971.
The area was initially developed at the end of the last century. In 1940, It waS
decided to pull down the 50- or 60-year-old small wooden cottages which
were then in very bad condition. Eight fourteen-storey, ice blue prefabricated
buildings replaced the small privately uwned, hand-made cottages. Very few
of the households living in the former ramshackle houslllg area moved Into
the new municipally owned flats.
Four thousand people live in Blal<ulla. Its demographic development has
led to a very uneven distribution of age groups. I Less than 10 per cent of the
population is 65 years or older and 25 per cent are younger than 18 years old.
Single-parent households, mostly mothers, are very frequent, constituting 42
per cent of all households with children. Twenty-three percent of all house-
holds have one child or more.
No fewer than 50 countries and nationalities are represented in the neigh-
bourhood. Immigrant workers from Greece, Finland, Italy, Turkey ~nd
former Yugoslavia were among the ftrst groups movlllg Illto the area. Durlllg
more recent decades the area has experienced a huge influx of refugees from,
for example, Chile, Eritrea and [ran. Today every second person in the n.eigh-
bourhood has his or her roots in a different culture. Three out offour chtldren
in the daycare centre have an immigrant background and 80 per cent of the
pupils in the compulsory comprehensive school (grade 1-9) are entitled to
.. 2
parental language trallllllg.
1111 figures <IT" from omci<ll statistics (Statistics Sweden) or from the Municipa!ity of So Ina.
Children afe entitled to additional training 10 ma.der their parenl:Jllanguage If:
• onc orthe parents was born in;l foreign country
• the l;ll1gu;lge is used d:lily by the f;jmily
.. .1,,. bn"""'n" i • .... "I~I,~h.. A ".lith rI,P r'hilr1

258 SOCIAL EXCLUSION IN EUROPEAN CITIES
Regeneration in Bliikulla
In 1991 the Municipality of SoIna summarised a picture of the problems in
Blakulla as a,
• high rate of turnover
• high rate of social security allowance
• high rate of children's placement in custody
• high rate of sick leave and temporary disability pension
• high rate of single parents
• high rate of unemployment
• high rate of immigrants.
It was also established that drug abuse, youth criminality, family violence and
social exclusion were symptoms of the social problems of the neighbour-
hood. In addition it was noted that, to some extent, there were tensions be-
tween the population ofSwed ish origin and immigrants, as well as among the
different immigrant groups. These problems formed the base for the regen-
eration programme in Bliikulla.
The protocol of decision on the regeneration project in Blakulla stated
that the process must build on the mobilisation and participation of tenants
and coordinating the activities of the municipality in the neighbourhood.
The protocol also stated that experience from similar regeneration pro-
grammes had shown that there could be no long-term progress without the
participation of tenants and without coordinated activity.
The aim of the regeneration project is to create conditions which would
make it possible for people to:
• be proud of the neighbourhood
• be pleased with the housing environment and the activities of the
municipality, housing companies and commercial services in the
neighbourhood
• feel comfort, care, security and participation in housing
• have a dialogue with the staff on the aims and use of common
resources
• inOuence and take the responsibility for issues concerning the
environment in the neighbourhood
• participate in the process of regeneration.
SOCIAL INTEGRATION AND EXCLUSiON 259
The user perspective of the project was clearly framed as follows:
The goals arc certainly important, but in a proces; of regeneration the
journey to reach the goal is equally important. It IS when people meet
that they construct and become absorbed in their commitment to the
neighbourhood where they live or work. (BlakullafOrdraget 1991)
The project started in 1991 and the process so far can be divided into four
phases:
• inventory of problems and resources (1991~ 1992)
• ideas(1993)
• implementation (1994-1995)
• new approaches for collaboration (1996).
The discussion below concentrates on the fourth phase, which focuses on so-
cial networks, education, health and the labour market.
Although tenant participation has been a central element in all discussions
of the project, so far few tenants are actively involved in the process and the
immigrant population is involved even less. Studies done in the neighbour-
hood show that people largely feel powerless (Ed gren-Schori 1996b). Their
expectation of really being able to influence important ~pher~s of their Hfe is
very low. Many people are, thus, sceptical about p~rtlclpatlt1g m deCISIOn
making and they need time and new forms of exerclSlIlg power.
Blakulla was built during a period when an unemployment rate of two to
four per cent was characterised as full employment. The neighbourhood was
therefore constructed for people spending at least one-third of the day out of
Blakulla. In other words, Blakulla was not designed for people spending
twenty-four hours a day there, as many people do today. Its physical structure
has many deficiencies and the environment in general creates obstacles to
forming a good life in the neighbourhood. It is, thus, important to carry
through physical changes in the area in order to breal' the hIgh rate of turn-
over and to create the preconditions for improving the quahty ofhfe and lo-
cal welfare. The housing company has been particularly active in making
these changes.
Efforts have been made to make it possible for people to create new net-
works by reshaping part of the buildings, resulting in new and better ,located
laundries, a common entrance and a common space, and a reSidents centre
for organis"tions and tenants to use. With financial support from the gover~­
ment, there is now a focus on developing new methods to Increase the pOSSi-
bilities for unemployed immigrant tenants to get jobs and to increase
knowledge of the Swedish I"nguage for both children "nd adults. The resi-
dellts' cc~trc is intended ror tcn;lllt services and as an arena for particiDalioll.
260 SOCIAL EXCLUSrOr-.J IN EUROPEAN CITIES
Households, organisations, child care services, old age care and health care
coexist in the premises of the centre. Together with an international project
for women, located in the centre in the same p,"ce as an open preschool, the
whole concept is aimed at strengthening social networks. Offering arenas,
natural meeting places, where people can meet their own needs and wishes is
supposed to increase knowledge and respect for various cultures and life
styles.
In Sweden the expression 'incapacity rate' is used as a measure of people's
health condition. It is based on the number of days of sickness allowance per
year. In order to decrease the incapacity rate of the people in Blakulla, the so-
cial insurance office, the district health care centre and the employment serv-
ice have begun to coordinate their activities. In cooperation they will identify
the basic foundation of the incapacity. With this knowledge, they are sup-
posed to unconditionally, with no reference to pre-existing ideas and work-
ing methods, propose supportive strategies for promoting he,dth and
removing obstacles to employment. One strategy discussed in the project is
to apply for permission to combine all the individual's financial and other re-
sources from the three authorities in order to give the individual an optimal
service corresponding to his or her needs. Professional confidentiality has
been an obstacle to close cooperation between independent agencies in deal-
ing with individuals.
The high rate of unemployment among residents in Bli\kulla will certainly
also attract attention within the project. There is, for example, a need for
premises in the neighbourhood as some unemployed people want to con-
tinue the trades they used to practise previously in their native countries.
There is also a need to fully understand the education and training needs of
the unemployed. A survey to obtain such information is in progress.
The regeneration ofBlakulla is still in progress and it is too early to evalu-
ate its achievements. However, two aspects of the experience can be dis-
cussed. The first is the participation of residents and the second concerns the
way the problems in the neighbourhood were framed.
So far, very few residents in Bli\kulla have actively participated in the re-
generation programme and participation from the immigrant population has
been very minimal. The people responsible for the project argue that oppor-
tunities have been offered to infiuence the development of the neighbour-
hood, both the physical environment and the quality and quantity of
activities. Aconclusion that can be drawn is that the forums for decision mak-
ing do not attract people, probably due to a lack of power. Another conclu-
sion that can be drawn about the participation of immigrant residents is that
the forums for deciSion making arc ltoa Swedish!. In other word.'i, decision
SOCIAL INTEGRATION AND EXCLUSION 26[
rums is ethnocenrric, focusing on 'the Swedish way'. This institutional and
cultural obstacle for combating one aspect of social exclusion has to be re-
moved. The authorities need to act as facilitators, giving residents the oppor-
tunity to construct their own means of decision making.
The second aspect of the experience of the regeneration project is funda-
mental and concerns the question of how the picture of the problem was con-
structed. Many of the so-called problems in Bli\kulla are structural and can
also be found in other neighbourhoods. In spite of this knowledge, the pic-
ture of the problem was constructed mainly on the basis of observations of
the characteristics of individuals. Unemployment and cuts in welfare pro-
grammes can explain many of the signs of social exclusion in Bli\kulla. The
politicians in the local government chose to describe the conditions of the
neighbourhood by defining individuals and groups of individuals as lone
parents, people on welfare, drug addicts, immigrants, etc. Deficiencies in the
structures of the wider society, however, result in difficulties for individuals.
Structural deficiencies must be resolved on a macro level by the central gov-
ernment, whereas individual difficulties are handled by the local society.
A theoretical starting point for analysis
A starting point for analysing social exclusion in Sweden can be taken from
Castells (1992), who distinguishes three zones of organisation and social co-
hesion: a zone of integration, a zone of vulnerability and a zone of exclusion.
In the zone of integration people are comfortable and participate in societal
activities at different levels and in a variety ofways. The zone of vulnerability
is characterised by precariousness of employment and fragility of relational
supports. The third zone is that of exclusion or extreme marginality. Looking
into the categorisation, one can observe that the second zone, the zone of
vulnerability, is the strategic region for people where conditions can result in
social ties being broken.
Many of the residents of Bli\kulla are already in the zone of exclusion.
They lack access to many of the components of the quality of life which char-
acterises the zone of integration. The majority of residents are in the zone of
vulnerability. Looked at in this way, the overarching aim of the regeneration
project can be seen as one of making it possible for people to stay in the zone
of integration, or to enter it and remain there. Many of the measures imple-
mented so far are slowly making it possible for people to enter the zone of in-
tegration, but it is not yet clear whether these measures are sufficient for
everybody and whether the changes will be permanent.
Caste lis' three zones of organisation and social cohesion can also be used
___ .. ~_:~_ .1 __ J _: C _~_:~1 .~~Il ..... ;.~ C,,,... rl,,,n 'T'hic t'lnli,." h~,
162. SOCIAL EXCLUSION IN EUROPEAN CITIES
aimed to offer every individual a space in the zone of integration. In spite of
this aim, people have in reality been found in the zone of vulnerability. Only
recently has there been a defined population in the zone of exclusion, largely
3S a consequence of rising unemployment.
Furthermore, combating exclusion requires analysis and action at differ-
ent geographic levels. While the problems are, to a large extent, regional and
national in origin, solutions must be based on local conditions and local par-
ticipation, working through local welfare policies. Effective strategies rest on
coordinating the activities of a variety of actors: national government, local
housing companies, municipalities and, not least, people living in the neigh-
bourhoods.
Sweden is in the process of remodelling its social programmes. Difficulties
in financing and structural deficiencies in the programmes, the high rate of
unemployment and changing values among Swedes are the main reasons for
this remodelling. Traditionally, social policy in Sweden has been able to cre-
ate a rather integrated society, at least in a European perspective. This inte-
grating drive within social policy has been described as one of creating
'harmonic relations between people and groups of people and opposing so-
cial tensions, antagonisms, connicts and confrontations' (Olsson 1992).
However, the pattern of social integration is changing rapidly. In a short pe-
riod of time, housing districts that once had a mixed population have become
segregated. The changes have been most drastic in the least attractive areas.
Some neighbourhoods are facing a reality where ethnic minority groups are
dominant and where unemployment and poverty are distinctive features. Ex-
cI usion is becoming a reality for substantial segments of the population.
Combating social exclusion
There is a common recognition that a return to the welfare policies character-
ising the 1970s and 1980s is not possible. Economic constraints and charges
of inefficiency are two powerful reasons. But perhaps more important is the
general agreement that the policies which met the problems of yesterday are
not adequate for addressing the social problems of today. This conclusion be-
comes evident when the results from Blakulla are summed up. The need to
develop new methods and approaches is becoming obvious. In this debate,
four areas have been identified as being offundamental importance in order
to combat social exclusion and promote integration: social policy, housing
policy, labour market policy and immigration policy. It is also necessary to
note that combating social exclusion demands action on the macro as well as
on the micro level. The responsibility of the municipal authorities on the lo-
cal level often demands the support ofgovernmental decisions and actiVities.
SOCIAL INTEGRATION AND EXCLUSION
Social policy and public services
Swedish comprehensive social policy has a high legitimacy among Swedes.
Studies show that confidence in the all-inclusive programmes is generally
very high. There is less cnnfldence in social programmes ofa selective charac-
ter (Svallfol's 1995). For both kinds of programmes there IS a commonly a~­
cepted view that a reorganisation of the programmes and services offered IS
necessary, both in order to improve efTIciency and in order to meet the m?st
urgent needs of people in excluded neighbourhoods. ThiS reorgamsatlon IS a
necessary part in a strategy for combating social exclusion.
It is now recognised that the problems leading to social exclusion cannot
be solved by efforts and measures taken by single actors, i.e. the housing com-
panies, social authorities or the police, in an uncoordinated manne~. It tS also
recognised that the national policy in the field of welfare, mcludmg soctal
policy, is of decisive im porta nee for local authontles m ha~dhngsoCial prob-
lems. Local authorities without support from national SOCial poltcy WIll only
act as 'cleaners', focusing on the symptoms rather than on the roots ofprob-
lem.
The conditions that people consider the most urgent to improve in their
neighbourhood must often be handled in a coordinated manner in order to
achieve substantial change. This need has been recogtllsed for a long time.
However, collabotation has often been no more than ambitious declarations
lacking substance. A key problem is that attempts to initiate coIlaboration
have been based on existing structures, organisations and professional roles.
More often than not, this has proved to be unsuccessful. Different actors have
had different goals and organisational structures, which have created obsta-
cles for effective coIlaboration. Endless meetings and proud declarations have
led to rather modest improvements in the living conditions for people af-
fected. Real tenant participation has been the exception, rather than the rule.
Today, recognising the necessity of collaboration is linked with the per-
ception that the forums used before are not adequate: A n.ew pattern. for col-
laboration is developing, with two distinct features. fnst, It IS recognrsed that
collaboration cannot be based upon the existing structures and working
methods ofthe various actors. The base for collaboration must lie in the needs
and aspirations of the people living in a neighbourhood. This means that pri-
orities and working methods must be adjusted to an understanding of how
people view their everyday life and what they value in terms of the quality of
life. In consequence, the focus has changed from an organisationally based
perspective to a perspective in which individuals are the focus for action.
Based on knowledge about everyday life for people in a specific neighbour-
hood, the setting of goals is done in a coordinated way for all actors invotve,;
 264 SOCIAL EXCLUSION IN EUROPEAN CITIES
The second new feature in the management of services is that agencies
have often decentralised their structures. The idea is that stalT should work
close to the people. They should be visible in the neighbourhood, and work
should be organised in such a way that the management of the neighbour-
hood is carried out in communication with the residents of the area. The con-
cept of information is being replaced with a concept of communication.
Management and plans for improving the neighbourhood should be con-
tinuously communicated with the residents. As a result, collaboration among
various authorities and housing companies has taken new forms. Top-down
collaboration, characterised by decision making at the top of the organisa-
lions, has been replaced by collaboration on a field level, organised by staff
who have direct contact with the residents of the neighbourhood, i.e. teach-
ers, social workers, police and caretakers and managers from the housing
companies.
One very obvious consequence of this change is that a clear philosophy
and strict rules for the management and provision ofservices have been estab-
lished. Problems related to security and the daily maintenance of the neigh-
bourhood are often mentioned by people in these neighbourhoods as vital to
solve. In many of the areas people feel insecure: thefts and violence constitute
a major problem for many inhabitants. In parallel, litter, vandalism and ab-
normal wear and teal' are a major reason for feeling dissatisfied with the liv-
ing environment. In many areas, these problems have led to a reformulation
of what inhabitants perceive as right and wrong. The code for behaviour is
very different from that ofmainstream society. For children who grow up on a
rundown estate characterised by litter, graffiti, vandalism and crime, the bor-
der between right and wrong becomes blurred, This is one major explanation
why antisocial and criminal behaviour in these neighbourhoods has often in-
creased despite ambitious measures by various actors to reduce it. Case stud-
ies have shown that the areas fall into a vicious spiral of moral decline
(Alfredsson and Cars 1997), Recently new approaches to break this vicious
spiral have been successfully developed. These approaches have two common
features, The first is that rules for behaviour have been clearly formulated. It is
made obvious to everyone what is, and what is not, behaviour that can be ac-
cepted. The second feature is a strict follow-up on these rules. The basic idea
is that society can never get people to understand and accept rules if their
neighbourhood does not meet the qualities that the rules stipulate. For exam-
ple, people will never stop dropping litter if they live in a filthy and littered
neighbourhood, or there will never be an end to graffiti if graffiti can be
found in the area. The response from society must be twofold. The responsi-
hi., '1llfhnrillPl; must pive orioritv to keeping the environment clean and safe
SOCIAL INTEGRATION AND E},'ClUSIQN 265
hending people inthe neighbourhood who are breaking the rules. Throwing
paper on the ground is an offence and the offender must be made aware of
this and ofthe fact that this behaviour is not accepted in the neighbourhood,
The results of this new approach are positive. The clear signal- this is a
clean and safe neighbourhood - is understood and appreciated by the inhabi-
tants. The strict follow-up strengthens the impact. Crime and other thefts
have dropped significantly and in many areas litter and vandalism have been
reduced to marginal 01' non-existent problems.
Housing policy
During the last decade a substantial proportion of investment in the housing
sector has been allocated to renewal of declining neighbourhoods. Aconsid-
erable number of neighbourhoods have been subject to technical improve-
ments, or even turn-around, but there have also been many renewal projects
based on the participation of tenants and focusing on the social environment.
Looking at Swedish postwar housing policy in retrospect raises questions
about efficiency. This is especially true if issues relating to social integration
are addressed, Despite ambitious efforts to improve conditions in distressed
neighbourhoods, the results have not been very impressive. As Andersson
and Molina (1996, p. I 55) put it: 'Socialisation for exclusion is a tragic reality
to many children of the rising generation, and spatial segregation is a part of
this process.' In ethnically segregated neighbourhoods, daycare centres and
schools are often of much lower quality than in other neighbourhoods. They
are dominated by minority language groups. Many of the teachers are not
graduates, and this lack of competence is more frequent in exposed neigh-
bourhoods. The poor quality of teaching contributes to a lack of opportunity
to learn the Swedish language which, in turn, also contributes to social exclu-
sion.
To a large extent, resources to upgrade neighbourhoods have been di-
rected towards physical improvements in the neighbourhoods. Layouts of
dwellings have been altered and the standards of flats have been improved,
Other physical improvements have dealt with the scale and monotony of de-
sign by redesigning the exteriors of buildings. The cost of changing the
physical aspects of housing estates, however, has been high. It is not unusual
for up to 90 pel' cent of the total renewal investment to be allocated to physi-
cal measure.1 (Carlen and Cars 1990). Yet, these measures have not met the
most urgent needs of the residents in the affected areas and have also often
had an unwanted impact on adjacent areas (Carlen and Cars 1991; Jensfelt
1991 ).
 ::.uUAL EXCLUSION IN EUROPEAN CITIES
Swedish and international studies confirm the importance of social mobi-
lisation and participation by people living in the area, Without such partici-
pation, physical upgrading and other improvements in a stressed
neighbourhood most often do not lead to substantial upgrading and sustain-
able results (Viden and Lundahl 1992) However, the traditional forums for
organising tenant participation in planning and maintaining neighbour-
hoods are not always brought in line with the present social conditions in the
neighbourhoods, The many ethnic groups represented in a neighbourhood
have cultural backgrounds which are different from the mainstream culture in
Sweden, To many of the immigrants, the established organisations for par-
ticipation are hard to grasp and, thus, do not promote their participation in
neighbourhood activities, The Swedish model, built on democratic represen-
tation, is not familiar to all members of a neighbourhood, resulting in the eX-
clusion of ethnic minority tenants from forums for planning and decision
making, The problems of mobilisation and participation have come into fo-
cus recently in discussion of the need for developing new strategies and
neighbourhoods, with particular emphasis on large immigrant populations,
[n Sweden, as well as in many other European countries, today's housing
regeneration needs diverge significantly from those of the past, In many ar-
eas, drug abuse is seen as a basic problem, It is a caUse as well as a symptom of
deterioration, The spread of drug abuse in a neighbourhood may be a sign of
its weakened attractiveness, At the same time, drug abuse can cause and accel-
emte crime and social disturbances, As the neighbourhood becomes less safe
and secure, those who are socially and economically better off move away
from the area, They are largely replaced by people with fewer resources, The
number of poor people and people with social problems increases, The area is
caught in a vicious spiral of decline (Alterman and Cars 1991),
Promoting change in deteriorating areas is a social issue, Today, it is com-
monly recognised in Sweden tbat pbysical upgrading does not solve the
problems that these areas are facing and that regeneration must include social
improvements, It is also clear that language training and high quality schools
are measures that, in a long-term perspective, are necessary to improve the
quality of life for the people liVing in these neighbourhoods as well as for im-
proving the reputation of the areas,
The aim of Swedish public housing policy could be characterised by the
ambition to provide all bouseholds with healthy and spacious buildings at af-
fordable costs, Afurther goal is that neighbourhoods and housing should be
planned for a balanced combination of households, The background for this
anti-segregation goal is the negative experience associated with the industrial
large-scale production of housing in the 1960s and early 1970s, Thus, tbe
aims of equality and integration have characterised Swedish housing Dolirv
SOCIAL INTEGRATION AND EXCLUSION 267
for some time, However, in spite of the public goals in various policy spheres,
as well as ambitious mamgement and the driving force of tenants in many
neighbourhoods, the processes of segregation and exclusion have become
morc intense.
An approach tbat has gained substantial int:rest and su~cess relat:s to the
role of the tena nts, Previously, much of the services and mamtenance IJ1 hous-
ing areas were provided by the housing associations to the t:nants, The ten-
ants were regarded as objects, receivers of services, and conSidered as guests
in the flats, Today, there is a shift in attitude and approach, Increasmgly, ten-
ants are being considered as acting subjects, that is, as demandmg customers
with the rigbt to participate in planning and maintenance, ,
As a consequence of this shift in attitudes, tenants hav~ also, gat,ned an ob-
ligation to take more responsibility, Thus, in many housmg districts tenants
are encouraged to take an active part, in various,way~, m the malnte~ance and
upkeep of their area, This has at least two positive lmphcatlons, FIrst, It has
been possible to reduce rents as work that was previ~usly carried out by the
housing company is now done by tenants, Second, tillS change h3s proved to
be ani nteresting measure for fighting exclusion on the net ghbourhood level,
By actively participating in self-maintenance, many tenants have established
and developed social contacts without which they would be excluded from
much of the social life in the society surrounding them (Cars 1995), Never-
theless, this type of participation is stHl more frequent among the population
with a Swedish background than among the ethnic minority population: and
it is important to continue to seek ways to increase the partlclpatton ofdiffer-
ent immigrant groups,
1n the proposal for a new housing policy presented by a governme~tal
committee in 1996, much attention waS paid to the concept of segregatton
and how to combat housing segregation in order to avoid social exclusion
(SOU 1996,156), There was a strong emphasis~n coordination ,and local d~­
mocracy. All efforts to create better livmg condnlons must be, bUilt on coordi-
nating the resources of all the different authorltle~ m the,netghbourhood, m
the first place, and on the participation of the r~stdents, m the s~c~nd place,
The committee also expressed a strong wish to mcrease responstbllrty at the
municipality level and proposed long-term financial aid from the government
for programmes to develop exposed neighbourhoods, These programmes
would have very broad aims, Major components of the proposed pro-
grammes include' participation and influence for the reSidents and for em-
ployees of different organisations in the neighbourhood, cooperatIOn,
measures for increased employment, special measures for certain groups of
people (",:ornen . , Id I d I,d' pped peoole . lonp-Ierm ""_
lnllnlgr;lnts, c er Y an lan IGI

SOCIAL EXCLUSiON IN EUROPEAN CITIES
268
a broad gender perspective, ev"luation and follow-up activities are also pro-
posed.
At present, there is government financial support for eight specially se-
lected municipalities which contain housing areas with high proportions of
immigrants. This support, together with the committee's proposals, presents
a picture of governmental engagement. The municipalities are being encour-
aged to be creative in finding new methods to combat the problems and the
government is willing to continue as a financial partner.
Labour market policy
The rules governing unemployment benefit are, somehow, paradoXical: the
person in question is not allowed to work! This rule also applies to people on
temporary disability pension, disability pension, etc. and creates serious ob-
stacles for unemployed people in getting a job. The rule has attracted severe
criticism and demands for change, and there are now many projects based on
the assumption that unemployment support can be combined with a job. This
is a shirt in attitude which implies that working can also be regarded as train-
ing or education and as an introduction to the labour market. An increasing
number of people need this support in order to ever achieve self-sufficiency
in the labour market.
Sweden, the Future and the Mulflplicity is the title of the final report to the
Swedish government from the committee on immigration policy (Svenge,
Framfiden och Mdngftlden, SOU 1996: 55). The committee concludes that a lot
ofskilled individuals who are immigrants to Sweden are in long-term unem-
ployment and have not even been given the opportunity to enter the labour
market. This is especially true for the refugees who have come to Sweden
during the last decade. The main obstacles are poor information and dis-
crimination by employers, and sometimes lack of command of the Swedish
language. The long period of welfare dependency while waiting for asylum
and permanent residence permits also creates disincentives for self-support
(Broome ef al. 1996).
A comprehensive approach is certainly the most effective way to promote
development of the labour market and employment, but selective changes are
also necessary within this area. Changes in some of the labour market rules,
salary subsidies, subsidies t,? services in private households and loans or other
support to immigrants who want to establish an enterprise are some of the
suggestions from the governmental committee on immigration policy.
To combat the high rate of unemployment in general it is important to un-
derstand the underlying reasons for the increasing figures. In March 1996,
r ... _.J __ L_...f n_ ~ .... ~~ ..... ~ ......... l ........... " ... ,. .....
t .. 3 .... rQ ........... "'.,t .,,, inrrp::l.<:p nrn 7 nPr
269
SOCIAL INTEGRATION AND EXCLUSION
cent in one year. Altogether in March 1996, 13.1 percent of the work force
was without" job, which included people mvolv~d In varlou~ labour market
activities, such as labour-oriented education, tramees, etc. HIgh unemploy-
ment means increasing competition for the rew jobs on offer. In these circum-
stances, individual ability, good qualifications and experience are decisive
weapons in the competition. However, some people need to b~ supported to
qualify, to 'sharpen their weapons'. Immigrants frequently fall mto thIS l~tter
group, having lost their capacity to compet~ as part of the process ofmlgra-
tion. Thus, it is also important to focus on tmmlgrants when combatmg the
forms of social exclusion which arise from unemployment.
for immigrants, the importance of work cannot be overestimated when it
comes to making social contacts, using the Swedish language, leat/Hng about
social norms and cracking the codes of everyday life. Arai and Schroder
(1996) have indicated two reasons why immig~ants are systematically ex-
cluded from the labour market: first, differences 111 productiVity between re-
cent immigrants and the rest of the work force and, second, a loss of skills
connected with migration. They conclude that special measures are necessary
for the immigrant workforce, based on the aims of equality within the immi-
gration policy itself and on reducing inefficiencies in the allocation of the la-
bour force. The optimal situation is open access to the labour market to
immigrants without creating inefficiencies in the allocation oflab~ur. A~ ex-
ample illustrating this would be to ensure access to employn;ent lI1tervlews
for immigrants. In addition, specific educational measures for ImmIgrants, es-
pecially for those who are newly arrived, are also neces.sary. The~e ap-
proaches may need to combine language training ~nd vocational trall1mg to
compensate for the loss of skills caused by mIgration.
The high rate of unemployment for women is, to a large extent, the result
of a dramatic cut in public sector social and health services. The cuts have also
resulted in strong criticism of these sectors as no longer producing satisfac-
tory services. Thus, the public sector must be given th~ opportunity to grow
again, but in a more efficiently organised fashion. ThiS tS espeCially Important
jf social exclusion is not to become a gender issue.
Combating social exclusion is the most important factor in decreasing the
high rate of unemployment. In order to be successful in this urgent task the
Open unemployment includes Ihe unemployed who lack other occupation and are, lhe~crore,
able to accept a job offer at allY lime. Consequently those who arc unemployed but sub,ect to
labour market policy aclion, such as training programmes, afC nol included.
270 SOCIAL EXCLUSION IN EUROPEAN CITIES
public authorities and the private sector must cooperate. Coordination of ac-
tivities on regional and local levels is very important. Strict rules of profes-
sional confidentiality have, so far, been an important obstacle to coordination
among social services, social insurance offices, the employment service, and
health care services. However, there are some experimental projects where
these barriers have been overcome (BI:ikulia is one of the examples) and some
have now been evaluated. These projects focus on coordination in order to
optimise the services to the unemployed individual and are based on the be-
lief that general measures and rules do not match everyone's needs. More
generally, organisations stick to their own rules and regulations, treating eve-
ryone in a similar situation in the same way, as if the clients were a homoge-
nouS group of individuals. The insight that clients may be a heterogeneous
group of individuals, with various needs and wishes, has created a new atti-
tude to cooperation and a demand for new strategies.
Within these experimental projects, the various local agencies gather the
resources available for the individual into the same pot. An individualised in-
vestigation, carried out by a representative from one of the agencies, focuses
on the background to unemployment: social problems, insufficient educa-
tion, health problems, missing child care, insufficient knowledge of the
Swedish language, etc. When the picture of the problem is created together
with the client, the resources can be used more efficiently by concentrating
on the obstacles to employment. [n practice, this means that someone who
has been on sick leave for a period of time may be able to continue receiving
social insurance benefits while testing out a particular job. Close contact and
medical support is intended to speed up the rehabilitation. Another example
is when an unemployed client needs to have an introduction to the labour
market. He or she may not have worked long enough to receive benefit from
unemployment insurance and is, thus, entitled to social welfare benefits. To
facilitate getting work experience, it can be possible to keep on receiving so-
cial welfare benefits while practising in a work place.
Cooper"tion among local agencies makes the client's experience easier in
many ways. Earlier the client may have had contacts with many administra-
tive officials, none of whom had a complete picture of the individual and his
or her f.1mily. The client also could experience incompatible claims on him or
her from the different agencies. With only one administrative official respon-
sible for the client, these obstacles Can be avoided.
To the local agencies, cooperation means resources can be used more effi-
ciently and directed to more long-lasting achievements. It does, however,
also require a difTerent way of organising services as well as changing profes-
sional roles. The latter has, in some cases, turned out to be the difficult part of
the projects. Cooperation also implies a more economical LIse of resources.
SOCIAllNTEGRATfON AND EXCLUSION 271
not least because of increased efficiency. In some cases, cooperation has en-
hanced the resources available by diminishing the misuse of benefits.
Many projects aimed at making it possible for people to join the labour
market are founded on the principle of preventing individuals from becom-
ing passively dependent on benefits. Education, training and other activities
are important ways of fighting dependence and resignation.
As mentioned before, there has been a dramatic decrease in the public sec-
tor workforce. Although the government has decided to support part of the
public sector to stop further decreases in this sector, very few believe that
there will be increased job opportunities in the public sector. To meet the de-
mands from a growing part ofthe unemployed, not least the immigrants, sup-
port of a different character is directed to those who want to run their own
businesses. Regional projects have been established to give financial support
as well as advice and education.
Projects aimed at combating unemployment and preparing unemployed
people for the labour market are largely concentrated on young people and
immigrants. In Rinkeby, a suburb of Stockholm, for example, a project called
'Wake Up' trains young people in fT, making films, theatre, learning to drive,
etc. All activities are enried out in normal working hours to help young peo-
ple get accustomed to an ordinary working life. In Rinkeby, there is also a
'house of enterprise' for immigrants who have decided to run their own busi-
nesses. They have access to certain equipment free of charge, as well as the
shared services of a receptionist. The idea is to make it possible for immi-
grants to create solid enterprises with the poteotial to grow and employ more
people.
For a small group of clients, cooperation, no matter how efficiently it is
carried out, does not result in integration into the labour market or even reha-
bilitation to become a prospective employee. This fact, together with the
large proportion of the workforce which is unemployed, has sparked off a de-
bate in Sweden based upon the charged question: can inactivity be regarded
as a legitimate alternative to regular employment? In our view this is mainly a
question about financing unemployed people. Our aim is not to answer this
question and judge whether Sweden can afford to support these people or
not. Rather, we consider employment as a social part of the everyday life and
regard unem ployment as a severe risk for social exclusion. Work is not only a
way ofselfsupport. It is also participating in production, an activity which re-
quires interaction with other people. The longer people are excluded from
the process, the more negatively it affects all dimensions of their lives. These
effects are still worse for those people who have not even had the opportunity
to enter the l"hour market. mainly young people and immigrants. The possi-
L:l"._. _1 .. ~~_1_1'_.' . •
 272 SOCIAL EXCLUSION IN EUROPEIIN CITIES
Immigration policy
Immigrants as a group are in generall110re stigmatised in the exposed neigh-
bourhoods than people with a Swedish background. They are more often un-
employed and their dependency on welfare gives them fewer opportunities
to choose. The starting point for immigrants in general is lower than that of
the Swedish majority. The rate ofunel11ployl11ent is two to three times higher
for Immigrants and their share is increasing. The unemployment rate for im-
migrants from outside the Nordic countries was 30 per cent in 1995 (SCB
1995). NlIlety per cent ofimmigrants with an African background are unem-
ployed (Broome et al. 1996). Immigrants often have no choice over which
residential area they live in (Elm 1993; Biterman 1993).
Being stigmatised and segregated, from an objective point of view, does
not necessarily mean being socially excluded in all contexts. However, it fre-
quently does mean exclusion from the democratic processes which surround
participation in planning and managing neighbourhoods. Exclusion in this
respect is sometimes caused by insufficient knowledge of the Swedish lan-
guage. But m~r~ often it is a structural exclusion founded on the ways in
which the traditIOnal arenas of tenants' power constitute the democratic pro-
cess. The most common forms of tenants' participation are based on ideas
about representative democracy and presuppose a homogenous population
with relatively homogeneous needs and values. In the exposed neighbour-
hoods, the population is very heterogeneous and culturally pluralistic and
many of the tena~ts have no experience in the traditions of representative
democratiC orgamsatlOns. They often lack the experience before coming to
Sweden and they have not gained the experience after arriving in Sweden as
they do not hav~ access to the organisations in which they could get this ex-
penence. Many ~mmigrants also lack experience and confidence in filling in
for~s and questionnaires from the housing company (or researchers). Thus,
an Important ,rart of the p~pulation is missing in studies aiming to find out
about tenants n~eds and Wishes. Creating the conditions for participation by
all tenants IS an Important and necessary task in combating exclusion.
An overarching aim of the immigration policy ofall members of the Euro-
pean Union is to minimise migration into the Union and thus to take action
on migration pr~ssure and controlling migration flows (COM/94/23), Par-
~lIel to these aetl~ns eac~ member state should have the aim of strengthening
J1lt~gratlon pohcle~ for the benefit of legal immigrants. This is the starting
POint for natIOnal Immigration policies,
In 1996, the Swedish Parliament formulated new aims for immigration
pohcy (SOU 1996:55), These new aims imply a universal welfare policy
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SOCrAI. lNTEGRIITI01'-l AND EXClUSIOI'l 27 J
the desire to cre,He condition$ within which integration can take place. The
idea is to publicly recognise that Swedish society consists of people from dif-
ferent cultures. This diverse population must coexist and if anyone needs as-
sistance, he or she will receive it on the basis of need whatever their cultural
background.
Implementation of this policy is based on two specific measures: pro-
grammes of introduction and individual plans of action. People newly ar-
rived in Sweden will have a period of five years in which to develop the
preconditions for self support and participation. The period of five years co-
incides with the time of qualification for Swedish citizenship, The pro-
grammes of introduction have two important aims: first, to develop
knowledge of the Swedish language and, second, to offer possibilities to
meet with Swedish society in various arenas. The programme must, from the
start, be aimed at generating self support. Agovernmental authority oversees
the programmes which, together with the individual plans of action, are car-
ried out by the municipal authorities,
Immigrants, together with lone parents, elderly people, handicapped peo-
ple, drug addicts, etc., are often designated as exposed social' groups. This
way of categorising immigrants treats their non-Swedish cultural back-
ground as ifit were a generally recognised social need and has a negative im-
pact on attitudes towards immigrants. If the new immigration policy can
reduce these negative impacts, it may also lead to more positive outcomes for
immigrants. Once it is commonly accepted that immigrants may also be lone
parents, elderly, handicapped, etc., then it may be possible to develop,
throughout social policy and social work, more culturally conscious attitudes
which address these other problems.
To summarise, immigration policy has an important impact on processes
of social exclusion. In the long run, its most important impact, however, may
be on attitudes towards immigrants and in providing a basis for the develop-
ment of a multicultural consciousness in Sweden.
Conclusions
In Sweden there has been a tendency to adopt a top-down perspective on ex-
posed neighbourhoods, Experts have formed the picture of the problem and
designed models, strategies and measures based on this picture, Problems
have been framed in relation to ideas of normality and norms set by outsiders.
Measures have been implemented to solve these problems and return condi-
tions in the neighbourhood back to a pre-existing idea of 'order',
n n
r thp "nrlPtu in Our thesis is that it is of the utmost importance to abandon 'thinking of
 274 SOCIAL EXCLUSION IN EUROPEAN Cf'I'IES
linuous dialogue with Ihe residents ofa neighbourhood. Flexible and mulli-
pie approaches ~re demanded, together with listening sensitively and
respectfully to residents of the neighbourhood (Oresjii 1996). The task is to
encourage processe~ that can contribute to improvcment of the neighbour-
hood and to social lfltegration, turning around the processes that lead to ex-
clusion. With an increased share of the population with varied cultural
~ackgrounds, fleXibility and new visions of housing are crucial in order to af-
ter all residents good quality of life.
In combating social exclusion, a number of actors on different levels and
in various sectors of society play key roles. Asuccessful strategy to achieve in-
tegration presupposes action based on knowledge about the residents' assess-
ments of everyday life. Furthermore, local authorities, organisations and
other parties must act in a coordinated manner. Goals and strategies for im-
provement must be accepted by residents as well as other involved actors. It is
crucially important that these goals clearly state rules for behaviour and the
qualities that should be provided in the area.
. Based ~n this fou.ndati~n,. strategies and measures for achieving integra-
tion must I~clude action ':Ithtn a number ofsectors. Ofspecial importance is
the reorgal1lsatlon of public and other services in the neighbourhood. Studies
show that there is a discrepancy between the preferences of the residents and
what is actually offered in terms of services. Organisational friction and ad-
minis,trative resistance tO,change, as well as inadequate knowledge about resi-
dents needs and a~plratlons, explain these discrepancies, Furthermore, it is
Important that services are provided close to those affected. The experiences
from recent successful projects show that decentralisation of staff and re-
sp~~sibility for various activities can contribute to increased emciency. Pri-
omles are better matched to the most urgent needs of residents and service
delivery improve~ if ther~ are channels for continuous feedback by the con-
sumers of a specific service. Also, the Swedish experience shows that this
close relation between providers and consumers of services can result in the
creation of additional value and higher quality. Empowerment of residents
may also lead to new and active roles for residents, From having been passive
consumers of publicly offered services, residents in some cases have turned
into active producers of services. In managing houses, green areas and serv-
Ices, the active participation of residents has contributed to new services and
improved the quality oflexisting services and management.
. Employmem is also an area of vital importance in a strategy for integra-
tion. Structural change in the early 1990.1 meant that Sweden left a state of
full employment and unemployment is now very nearly at the average level
for the European Union. Thi~ calls for new approaches to combat unemploy-
ment In thIS area. also. there IS ~ nf'pt1 rnr rnnr.1irv:Jtinl1 'Jrnnnrr " .... i .......
SOCiAL INTEGRATION AND EXCLusrON 275
the employment offices, the social welfare departments of municipalities and
cd ucation aUlhorities. The struclure of unemployment is much more complex
today compared with the situation ten years ago, so that successful strategies
also require coordinaled action with education and training, social pro-
grammes and 01 her activities which can facilitate the individual's ability to
enter the labour market.
References
Alfredsson, B. and Cars, G. (1997) Ornl,ardmng, Oml'dlldling, Om"arld. Slack holm:
SABa.
Alterman, R. and Cars, G. (1991) Neighbourhood Regeneration - An International
Evaluation. London: Mansell.
Andersson, R. and Molina (1996) I S"m,ge, Framliden oeb Mangfa/den (1996) SOU
1996:55. Stockholm: Frilzes.
A"i, M. and Schroder, L. (1996) In SOU 1996:55. Srockholm: Fritzes.
Eiterman, D. (1993) S!J hiir bor lIi. Om iTtJldndrart'J lill Deb barndt'. Slockholm: BFR.
Broome, P., B,cklund, A·C, Lund, C. and Ohlsson, R. (1996) Varforsinrr 'brou"n' pi1
biinkm? Ellrr Vd'rfir har invdndrama Sd J1 l drt artfl. jobb? Kristianstad: SNS Forlag.
Carlcn, G. and Cars, G. (1990) Fom}"" aI' slorskdliga bostadsomrrrdm. Stockholm: BFR,
Carlen, G. and Cm, G. (1991) 'Renewal of large scale post-war housing estares in
Sweden.' In R. Alterman and G. Cars (cds) Neighbourhood Reg{//(ration -An
inltmational Evaluation. London: ManselL
Cars, G. (1995) 'Metropolitan planning: ,beraseo/S""dcn.' Stockholm: The Royal
Institute of Technology. Unpublished working paper.
Caste lis (1992) In del Castillo, Y. (ed) (1994) 'A comparative approach to social
exclusion: Lessons from France and Belgium.' Intrmdliomt! Ldbour Rrvinll f 33, 5-6,
613-633.
COM/94/23: Brussels: European Union.
Edgren-Schori, M. (1996a) 'Rapport am etf stadsfOrnyclsearbctr i bostadsomradet
Blaknlla' (unpublished).
Edgren-Schori, M. (1996b) 'Omradesslyrelse - en organisation fOr okat
boendeinllylande for alia' (unpublished).
Ehn, S. (ed) (1993) Sa har bon/. Om inVdndram ltv oebboend,. Stoel<holm: BFR.
Esping-Andersen, G. (1990) The Tb", Worlds of Wilftrt CapirahIm. Oxford, Polity.
Jensfelt, C. (1991) Farbaltr/ng a" bOSladsomradtn. Stockholm: BFR/R 64.
Olsson H.S.E. (1992) Segreg"ion - ett svenskl dilemma) Bilag' 9 till LU92.
Stockholm: Finansdepartcmcntet.
(Jrcsjo, E. (1996) Afl l'dndd tilwcklingm, Kommcnltrdd groomgJn.~ d)J dkwrl/ firs/wing om
segregation i bumdel. Stockholm: SABO~ulvcckling.
~ _ seB (Central Bureau (If "toll i~tln\ (100 <;\ r:.,,~,J_ ;- ....:_.
?.76 SOCIAL EXCLUSION IN EUROPEAN CITIES

sou (1996:55) Sl'm:ge,j1'a1l1tldm nch man.rfd/dm (1996) Stockholm: Pritzl's.

SOU (1996) BO.ltrld.spnlifik 2000:f1"m produktion ~ till bomdfpolirik Stockholm: Fritzl's.
Svallfors, S. (1995) V;ilf;irdss{;Itl'n i prl'ssl'n. Umea univl'rsitct.
Vide", S, ,,,d Lund,hl, G, (ed) (1992) BeVd"d - Fancy" - Forbaltrd, Slockholm: BFR,

PART 4

Conclusions
 CHAPTER FOURTEEN

Social Exclusion in European Cities

COWl Cars, Ali Madanipour and}udith AI/en

The idea of social exclusion has only recently arrived, though it is now
widely used. Consequently, the term is often used interchangeably with other
words, as a synonym for social segregation, marginalisation or poverty. Such
a broad and careless use of the concept risks diluting and transforming the
idea of social exclusion into a term which can characterise any unwanted so-
cial situation. Thus, the major aim of this book has been to clarify how pro-
cesses of social exclusion affect groups of people living in specific
neighbourhoods. Such spatial groupings of disadvantaged people may best
be described as 'pockets of poverty' or 'pockets of disadvantage', and the
book explores how processes ofsocial exclusion lead to the situation ofpeo-
ple living in such neighbourhoods, whether they are described as impover-
ished, disadvantaged or deprived and whether they are found in the decaying
inner city areas or isolated peripheral areas of European cities. The main ap-
proach throughout the book has been to concentrate on people living in their
immediate socia-spatial world. Statistical data about individuals or house-
holds may help to identify these neighbourhoods, but it does not provide a
sufficient basis for fully appreciating the social processes which have created
and maintain these neighbourhoods. Nor does statistical data provide an ade-
quate basis for understanding what these processes mean to people caught
within them. Thus, this book contributes to understanding the meaning of
social exclusion by concentrating on the everyday lives of people living in
specific places and how the processes ofsocial exclusion inhibit human flour-
ishing, in whatever form this may take.

Social exclusion: process and situation

Social exclusion cannol readily be explained by simple indicators since it is a
 280 SOCIAL EXCLUSION IN EUROPEAN CITIES
ethnic minority group living in ~ segreg~ted neighbourhood ~re not condi-
tions which, in isolation, provide evidence of processes of social exclusion.
Individuals c~n, despite these hardships, very well be p~rt of a mainstream so-
ciety. Having rich networks of relationships and taking pari in a wide variety
of social activities, individuals c~n have rich soci~1 and cultural lives. How-
ever, individuals or whole groups become more vulnerable to processes ofso-
cial exclusion when they face social or economic hardship io one or more
dimensions of their lives. This exposure increases their risk of being caught in
societal processes which lead them away from integration and towards isola-
tion and exclusion. There are three important spheres of daily life which can
trap people in processes ofsocial exclusion: economic, political and cultural.
In the economic sphere, lack of access to employment is a main contribut-
ing factor to social exclusion. The case studies presented in this book provide
unvarying evidence tl,"tlong-term exclusion from the labour market is often
followed by exclusion from other societal spheres. All the nationnl cases pres-
ent evidence that unemployment plays a crucial role in processes ofsocial ex-
clusion. In addition to the direct deterioration in an individual's financial
situation, long-term unemployment also has an indirect impact on other as-
pects of daily life and wellbeing: loss of self esteem, wider social networks
and relationships to social and cultural activities outside the immediate
neighbourhood.
In the political sphere, the issues turn around individuals' power to par-
ticipate in and influence decision making. One basic form of political partici-
pation is ensured through voting in elections. However, even this basic form
of political participation may be denied, contributing to social exclusion,
where large proportions of the population in neighbourhoods are foreigners
without voting rights. But more importantly, many people liVing in disad-
vantaged neighbourhoods are excluded from other networks that would al-
low them to exercise their power in influencing local conditions and daily
life. This aspect of political exclusion is not formalised nor open. Rather, it is
most commonly caused by informal codes and invisible barriers which re-
strict participation in the arenas in which political influence can be exercised.
In the cultural sphere, individuals and groups who 'differ' from the values,
norms and symbols of mainstream society are exposed to the risk of becom-
ing socially excluded. In many of the national case studies, nationality, eth-
nicity, language and leligion were identified as important dimensions of
groups suffering social exclusion. However, other more subtle aspects of cul-
tural identity, such as lifestyle, personal and social values and social identity,
were idemifled as potentially playing a signiflcant role in processes of social
exclusion.
SOCIAL EXCl.U.SION IN EUROPEAN CITIES 281
These economic, political and cultural dimensions, when taken as isolated
phenomena, seldom lead directly to processes of social exclusion. However,
when combined they become a strong force pushing people into the pro-
cesses ofsocial exclusion. An important conclusion from all the case studies is
that social exclusion processes were often initiated by a deterioration in the
economic conditions affecting large groups within specific neighbourhoods.
This deterioration in economic conditions was followed by a parallel deterio-
ration in political and cultural conditions. Loss of political influence and the
labelling of socia-cultural difference as deviant then enhance the economic
~nd political conditions which underlie processes of social exclusion. These
interdependencies have important implications for strategies to combat so-
cial exclusion.
The main objective of this book has been to examine carefully the dimen-
sions of social life which support processes of social exclusion and to identify
how those processes work. The main approach to this task was by focusing
on tbe daily lives of the people who are caught in these processes. The ulti-
mate ambition has been to provide a basis for discussing different responses
to social exclusion. This has been done in three ways: ftrst, by identifying
how processes of social exclusion push people out of the mainstream society
and into neighbourhoods which form pockets of poverty and deprivation;
second, by analysing how social exclusion works in these areas so that it is
dimcult for people to extract themselves from this situation; and third, by
identifying and analysing initiatives to combat the social exclusion of these
neighbourhoods in order to promote processes leading to the social integra-
tion of people and neighbourhoods.
Structural change in society: impact on social conditions
An important starting point for our concluding remarks is the realisation that
today's society is very different from yesterday's. During the 1980s, changes
in the economic structures of western Europe have significantly transformed
the social landscape. The key word which characterises this economic devel-
opment is 'globalisation'. The emergence of the tiger economies in southeast
Asia has provoked a rethinking of long-term economic strategies in Europe.
The central imperative has been to improve the competitiveness of the 'old'
world. In most European countries, liberalisation has been an important pil-
lar of new economic policy responses to the imperatives of globalisation. De-
spite national variations, most European countries have followed the path
pioneered by the Thatcher government in Britain in the early 1980s.
Despite rhetoric to tbe contrary, for many policy makers reality provided a
,...1"" .. ~l ... f-;.~,.-t;".~ I.. "t.",,,,,,... ,,,I, ... t d",,,," "',,.,, An th,. ron,. h'lnrt 'l~ rtpc;r~hlp ':ln~ on
 ,J1..A.. II\L t.xCLUSION [N EUROPEAN CiTIES
the other hand, os necessary. Maintaining and improving efficiency and com-
petitiveness have had a high social price throughout Europe.
Economic liberalisation has had an important impact on working condi-
tions. The downward adjustment of wages, improving efficiency through in-
creased labour productivity, declining trades union power, part-time working
and short-term contracts in an increasingly casualised labour markets are ex-
periences which all European countries more or less share. In addition, new
production technologies have radically improved emciency in many fields of
industry. These technologies have had two important effects on labour mar-
kets. First, the number of jobs has decreased, either through improved pro-
ductivityor because jobs have moved to other parts of the world. Second, the
composition ofiobs has changed. The last decade has witnessed rapidly de-
clining employment in traditional manufacturing sectors and a parallel in-
crease in new technology-based industries, in information technology,
services, research and education.
Structural economic change, coupled with political commitment to liber-
alisation and fiscal austerity, has had a significant impact on the European
public economy. The tax base has deteriorated as a consequence of both tax
cuts and increased unemployment. Former tax payers have been transformed
into the recipients of unemployment benefits and other public subsidies.
From 1988 onwards, all the European countries have experienced deep re-
cession at one time or another.
Such massive economic change has led policy makers throughout Europe
to be concerned about the social consequences of this change. In many coun-
tries, increasingly wide social and economic gaps have emerged between
various population groups. While some groups are benefiting from economic
change, other groups face increasing difficulties. For large groups, the last
decade has been a vicious cycle. Unemployment, deteriorating public welfare
systems and sharpened cultural and ethnic conflicts have catapulted many
people into very exposed social positions from which they have become
trapped in processes of social exclusion.
As a consequence, policy makers have begun to place combating social ex-
clusion very high on national agendas while recognising that both the pro-
cesses of and solutions to social exclusion are bound together with managing
the process of European economic integration. In the long run, social exclu-
sion is a process that ~hreatens the sustainability of European society. If an
emerging 'two-speed society' across Europe is not to cause social injustice
and frustration, then measures to increase social cohesion and reintegrate
groups who are being excluded are necessary. Thus, while the new single
frontier, liberalised markets and monetary union constitute growth factors
SOCIAL EXClusrON IN EUROPEAN CITIES 2B]
ror Europe as a whole, they must be accompanied by innovative policies
which prevent social exclusion and promote reintegration.
Rethinking social strategies
Structural change has altered the fundamelltal conditions for policies aimed
at improving social conditions. The first chapter ill this book discusses three
issues associated with these conditions: class, citizenship and welfare re-
gimes. III concluding, it is important to return to these problems.
In the context of structural change, the concept of class has become am-
biguous. While there is widespread agreement that Europe's class structure
has changed, there is substantial disagreement about how to describe and
analyse the structure which has emerged. Changes in the structure of the la-
bour market make it less than fruitful to define the 'working class' as a single
distinctive group. The processes of social exclusion which have been docu-
mented in this book make it obvious that a different approach to looking at
'class' is required. Asignificant element in this new approach is based on re-
considering individuals' relationships to the labour market, distinguishing
between core and peripheral workers. While core workers are permanently
employed, often in well-paid jobs, peripheral workers are in a more precari-
ous position. They are often partially unemployed or are working for wages
which do not provide the minimum material conditions for a decent social
life. Another important group are the people who are permanel1lly excluded
from the labour market altogether. The first issue in developing new ap-
proaches to understanding class is long-standing and basic: the matter of
identifying the extent to which disparate groups share common interests and
needs. The second issue, however, is new: analysing the role of the welfare
state in supporting and promoting the social and occupational participation
of individuals.
The second concept that needs to be addressed as a base for rethinldng so-
cial strategies is 'citizenship', or the civil, political and social rights that peo-
ple may claim as a consequence of living in " place. Citizenship becomes a
problem because increased mobility is an important issue in Europe today.
The Maastricht Treaty gave all European citizens the right to settle ill any of
the member countries. However, in addition to these migrants, there are a
large number of non-European citizens residing in member states. While
many immigrants in Europe are long settled in their country of residence,
their rights to settle are restricted leading to labour market and social prac-
tices which exdude them, their rights to participate in the political life where
they live varies greatly among member st;ltes, ;Ifld many are not eligible to
claim the so,i:1/ rirrl~, ... ~ .. n:LLl '
284 SOCIAL EXCLUSION IN EUROPEAN CITIES
fiscal austerity and cuts in welfare programmes have led to a worsening inliv-
ing standards for the poorest groups across Europe, However, households
who lack political (and sometimes civil) rights are both much more exposed
10 Ihese prOcesses and less able to resist them, The end result is that there are
three distinctive groups of people residing in Europe: nationals, migrants and
immigrallts, Each group is difTerentially pbced in relationship to social poli-
cies to combat social exclusion, but the consequence is that race and ethnicity
form an important dimension of social cleavage along which processes of so-
cial exclusion run throughout Europe,
The third concept which underlies rethinking social strategies is that of
'welfare regimes', These regimes vary widely within Europe, and Ihe specific
institutions which make up these regimes are changing rapidly alongside po-
litical and economic changes, Different welfare regimes have been built on
different social bases: employment, citizenship or reciprocity among social
groups, The changing structure of employment, cuts in public spending, re-
definitions of nationality, and doubts about the capacity of state organisa-
tions: all these changes throw into question the issue of how people living in
distressed neighbourhoods can be integrated into the wider society, Recon-
sidering the roles of the social partners, of voluntary organisations, of resi-
dents, of local and central governments form important parts of elements in
emerging policy responses designed to combat social exclusion,
Thus, structural changes affecting all aspects of society have dramatically
altered the social context in which processes of social exclusion are emerging
and in which governments face the necessity of designing new kinds of pol-
icy responses, It is true that many of the specific social problems associated
with social exclusion - poverty, sordid living environments, physically segre-
gated neighbourhoods, drug abuse, destructive and violent behaviour- have
been present for many decades, But it is also true that solutions which worked
yesterday no longer worlc today, In today's circumstances, unemployment
serves as a dead weight actively dragging people into the processes of social
exclusion, The barriers of race and ethniciry have been raised by changing
definitions of citizenship, And it has become more difficult for residents in
excluded neighbourhoods to use the normal mechanisms oflocal governance
to voice their frustration and desperation, to express their view of themselves
as destined for a life excluded from a mainstream society, its jobs, culture, edu-
cation and services, Inlthese circumstances, the problems have become im-
mensely more complex, signals from these neighbourhoods are easily
misunderstood, and effective policy measures require considerable imagina-
tion,
SOCIAl. EXCl.USION IN EUROPEAN CITIES 285
New perspectives in combating social exclusion
The case studies in Ihis book suppon arguments for two neW kinds of per-
spectives to shape policies to combat social exclusion, The first perspective
anchors policy responses in those needs which are most urgent from the point
of view of inhabitants. The second perspective links 'people'-based and
'place' -based policy approaches, Each of these perspectives requires rethink-
ing basic elements of local governance,
Anchoring policy responses in locally articulated needs is essential if pol-
icy instruments are to be efficient and effective, In all European states, there is
a division of responsibility among local, sometimes regional and central gov-
ernment, On the one hand, meaSures implemented by local government are
constrained to those matters which fall within its remit or competences, Of-
ten local governments simply do not have the powers to address those needs
which local residents see as most urgent from their point of view. On the
other hand, measures implemented by regional and national governments
lack detailed knowledge about the social conditions and daily life in local ar-
e"s and may well have objectives which are different from those oflocal gov-
ernments, The consequence is that a mix, even hodgepodge, of measures are
implemented in neighbourhoods, often poorly coordinated and sometimes
very expensive, Synergistic effects are difficult to capture, and the whole en-
semble becomes expensive, inefficient and ineffective, The case studies in this
book suggest that anchoring initi"tives in the needs and ambitions of local
residents requires two activities, The first is to collect information, develop-
ing methods which address people's problems, needs and aspirations and us-
ing this information as a basic input for planning and decision making ~bout
neighbourhood development, The second activiry is to ensure the partiCipa-
tion of residents in their neighbourhood's regeneration and improvement, It
is increasingly clear that efficient regeneration requires active resident par-
ticipation in planning, implementing and managing improvements, These
two activities are necessary preconditions for coordinating local, regional
and national initiatives and for achieving efficient, synergistic solutions,
The second perspective needed in order to shape successful neighbour-
hood regeneration policies linl" people-based and place-based strategie~,
The experiences reported in this book show that neither of these strategIes IS
successful on its own, People-based strategies do not address those aspects of
neighbourhoods which make them unsafe or unattractive, so that improving
the situation of individuals is hampered by the state of their social and physi-
cal environment, At the same time, physical improvements to housing and
living environments do not, in themselves, address the wider social problems
experienced by residents, Effective and substantial improvements to combat
280 SOCIAL EXCLUSION IN EUROPEAN CITIES
people-based and place-based strategies, in a carefully chosen mix of meas-
ures which meer the needs of individuals and groups as well as the needs of
the neighbourhood.
Responses to social exclusion
The main conclusion of this book is that strategies for combating social ex-
clusion must anticipate the complex interrelationships among various prob-
lems at individual, group and neighbourhood level. The present poorly
blended stew of actors and policies directed at 'upgrading' physical environ-
ments and individuals' lives in excluded neighbourhoods is simply ineffec-
tive. A more holistic and coordinated approach must begin by recognising
two fundamental points: first, that the interrelationships which shape peo-
ple's lives are very complex and, second, that many social problems are best
solved by very directly targeted actions. Resolving the tension between these
imperatives needs to start with a fine-grained analysis of everyday life in a
neighbourhood, which can serve as a basis for understanding how individu-
als, households and groups live in their space. On the basis of this kind of un-
derstanding, it is possible to design a mix of meaSures which both improve
the physical environment and develop the provision of those educational,
employment, health, cultural and leisure activities which underpin creating
the kinds ofsocial, economic, political and cultural relationships necessary to
combat social exclusion.
Social exclusion is not a phenomenon caused by a single specific event or
problem. Rather, it is the consequence of a number of different processes.
However, the case studies in this book point to the centrality of two processes
which shape social exclusion and influence the ways it can be combated.
The first issue relates to employment. A job guarantees an income, and a
low-paid job or intermittent work is better than unemployment. Equally im-
portant, however, jobs provide social networks which link people to wider
social activity while unemployment creates direct and indirect barriers to par-
ticipation in other social arenas and activities. Thus, employment initiatives
are a vital element in combating the social exclusion which leads to disadvan-
taged neighbourhoods. However, local initiatives on their own ~annot solve
the problem. Local initiptives to improve education and training, provide in-
centives for firms to locate in areas and facilitate the development ofopportu-
nities to work t~ke place within a framewor!( ofnation~1 and European-wide
measures to harmonise working conditions, promote global competitiveness
and establish the single market. The interrelations between local, national
d./.ld supranational ini.tiativcs arc poorly understood, but it is clear that their
SOCIAL EXCLUSiON IN EUROPEAN CITIES 187
with these wider processes to find local solutions are likely to be ineffective
and short lived.
The second central issue relates to empowerment and capacity building.
Commonly, programmes for neighbourhood improvement are designed by
outsiders with little knowledge of the specific needs and problems of its resi-
dents. Yet, without the active support of local residents, such programmes and
initiatives are unlikely to be successful since they are unlikely to address the
most urgent needs of residents. Typically, this problem is addressed through
mechanisms of 'empowerment' often designed and dominated by outside
'partners'. While such mechanisms give a place to residents in decision mak-
ing about the implementation and management of local activities, for resi-
dents to acquire a voice within these mechanisms requires addressing issues
of capacity building. A wide variety of barriers, social and practical, stand in
the way of successful participation by residents. Social barriers include: dis-
parities in social status, different cultural and social understandings about the
nature of decision making forums, poor educational backgrounds, language
differences. Practical problems also create barriers: child care, domestic re-
sponsibilities, unsafe streets, inadequate public transport, and a lack of local
meeting spaces can also inhibit participation. Lowering these barriers is a
necessary but not sufficient condition of empowerment. Outside 'partners',
including local government, must also be prepared for residents to take
power and to listen when they exercise their voice in planning, implementing
and managing local projects. Otherwise, neighbourhood regeneration pro-
grammes simply reproduce the wider processes ofsocial exclusion at the local
level.
National transferability
The case studies in this book show that, despite substantial differences
among countries, there are also important similarities in the experiences of
neighbourhoods across Europe. Many of the problems have common roots,
which suggests that it is possible to learn from each other. Yet, the differences
mean that simple copying ofsolutions is not possible. Rather, each of the case
studies serves to raise questions which are applicable throughout all the
neighbourhoods, even if the answers are different.
There "re, however, two important conclusions which can be drawn from
the book as a whole. The first is that global structural change is a transoa-
tiona I process. It affects all countries. In Europe, the formation of the Euro-
pean Union itself is hath part of this global change and a response to it.
Equally, the Action Pro.f!.ramme to I'nmhrll r:::ror,'/d r::~~I .. ~:-.· 1...... .
J.B8 SOCiAL EXCLUSION IN EUROPEAN CITIES
feets neighbourhoods and groups throughout Europe. At the same time, it is
unclear how this response, focusing on a micro-level, fits together with wider
initiatives by the European Community. Is this response strong enough to
(oumer the drive to competitiveness? What can be learned from this pro-
gramme and from initiatives in specific neighbourhoods for other European
Community policy initiatives, for example promoting freedom of mobility
for labour or harmonising work practices across the member states? The sec-
ond conclusion is that micro-responses to global change need to focus on
people in their socia-spatial worlds, that is, people in their living places. Ap-
proaches which focus on people and neglect place, or alternatively focus on
place and neglect people, arc bound to fail. In developing approaches which
focus on people in their living places, three points arc important. first, the ap-
proach needs to be based on a fine-grained analysis of everyday life. Second,
residems must be involved as active subjects in local initiatives, not treated as
the passive objects of policy implementation. And third, the ultimate aim is to
develop a supportive context within which people can accomplish their daily
life and flourish.
There is much that still needs to be learned. This book will have achieved
one of its aims ifit stimulates further research into the way space and society
interact in processes of social exclusion throughout Europe. Some of the im-
portant gaps which remain in our knowledge of these processes can be posed
as questions. How do different and changing family structures reflect pro-
cesses of social exclusion, and how do they affect household strategies for
coping with social pressures? How is the organisation of civil society chang-
ing as a consequence of structural transformation in Europe? Are the organi-
sations which comprise civil society able to fill the gaps left by the
withdrawal of government from the provision of social supports? What pres-
sures does the promotion of economic cohesion place on different forms of
welfare state? Can some forms of welfare regime withstand these pressures
more easily? Do these changes enhance or hinder social cohesion? These are
big questions, reflecting the scale and pace of change in Europe today. Yet the
answers will only make sense if they are based on a close and systematic in-
vestigation of the effects on individuals and groups in their socia-spatial
worlds, for it is within these micro-worlds that social cohesion, integration,
inclusion, solidarity or insertion take place and acquire meaning within a
changing global woriCl.
The Contributors
Judith Allen is a Principal Lecturer in Housing and Director of the Housing
Education Centre at School of Construction, Housing and Surveying, Uni-
versity of Westminster, London. Her research includes projects on training
systems and productivity in construction in England, Cermany and the Neth-
erlands; changing repair and renewal strategies in social housing; Asian
households and English hDusing forms; housing management fDr tenants
with mental health problems; patterns of private renting for tenants without
HDusing Benefit support. Her most recent publications include Making Them
IIIeet: Policy, Design, Management, SallSftction, Statens Byggeforskningsinstitut
for International Council for Building Research Studies and Documentation
(with I Ambrose and S Brink).
Brendan Bartley is a Chartered Town Planner and Chartered Transporta-
tion Planner. He has worked in the urban planning field for both the public
and private sectors in Ireland. Having served with the inspectorate of the
Irish planning appeals board he worked as a planning advisor to the Dublin
Transport Authority and the Dublin TransportatiDn Task force. In recent
years he was employed as a lecturer in planning and transportation studies by
the Dublin Institute ofTechnolDgy before moving to the National University
of Ireland, MaynoDth where he currently lectures in urban geography.
Coran Cars is an Associate Professor and pro-prefect at the Department of
Infrastructure and Planning, Royal Institute ofTechnology, StockhDlm, Swe-
den, a Member of the Executive Committee of AESOP (The Association of
European Schools of Planning), and the editor ofthe Swedish planning jour-
nal PLAN. His interests include housing, infrastructure urban regeneration
and urban development. His recent publications include Neighbourhood Regen-
eration: an imernational evaluation, Mansell, London (with Rachelle Alterman).
Stuart Cameron is a Senior Lecturer and research manager of CREUE, De-
partment of Town and Country Planning, University of Newcastle. He is a
specialist in housing, urban development and community development and
has managed research projects funded by the ESRC, the DoE, the Joseph
Rowntree foundatiDn and a range Df lDcal authorities, housing associations
and regeneration agencies. He has written on widely on housing and urban
regeneration, including 'Housing, gentrification and urban regeneration
pDlicies' Urban Siudies, Vo1.29, pp.3-I4.
290 SOCIAL EXCLUSION IN EUROPEAr'-l CITIES
Simin Davoudi is a Lecturer in the Bartlett School of Planning, University
College London. She has been researching in various aspects of planning sys-
tems and urban policy for many years. Her main interest is in policy processes
in relation to strategic plan-making, environmental sustainability and urban
regeneration. Her publications include: REbuilding thE City (co-editor; Spon
1992), Managlilg CriiEs (co-editor, Wiley 1995) and various journal articles
and book chapters on development plans and urban regeneration.
Maud Edgren-Schori has a professional and educational background in so-
cial work and administration. She is presently working at the University of
Stockholm (Department of Social Work) as lecturer in social policy and
neighbourhood development. She is also in the doctoral program writing her
thesis in developing bowledge about social exclusion on a neighbourhood
level. A special focus of the project is directed towards immigrants. Her re-
search project comprises analytical work and a case study.
Maria Joao Lopes Freitas is a sociologist and a research assistant in the So-
cial Ecology Research Unit (GES) of the National Laboratory of Civil Engi-
neering (LNEC) at Lisbon. Interested in housing and sociology, she is
developing research on residential satisfaction and housing quality and on
social networks and ways of life of families living in slums. As a researcher
and a consultant, she has also followed and studied several rehousing pro-
grammes. She is now developing intervention methodologies on housing
and citizenship.
Rose Gilroy is a Senior Lecturer in the Department of Town and Country
Planning and a member of CREUE, University of Newcastle. Her research
focuses on marginalised groups and on the ways in which planning can con-
tribute to anti-oppressive practice. Her last book was HOIISlilg Women (edited
with Roberta Woods) published by Routledge.
Charis Golemis is an economist in the research department of the Bank of
Greece, founder member of PRAXIS and presently scientific consultant to
the Greek Federation of Bank Union Employees unions. He h>5 also been the
national cOllSultant in the evaluation of women's involvement in European
Social Fund co-financed measure in 1990 and was for eleven years a consult-
ant to the United Nations Centre ofTransnational Corporations (UNCTC).
Patsy Healey is Profe.ssor of Town Planning and Director of the Centre for
Research in European Urban Environments (CREUE) at the University of
Newcastle upon Tyne, UK. She is a specialist in planning theory and plan-
ning practices, and is currently interested in collaborative governance, insti-
tutional capacity-building, and partnership mechanisms in the urban
context. She has recently published books on Managing ,hE City. Collabara,i!'e
THE CONTRIBUTORS 291
Susanne KUrpick is working for the Research Institute for Regional and Ur-
ban Development of the Federal State of Nonhrhine-Westphalia (I LS}. Re-
cent research experience in projects concerning the regeneration ofdistressed
urban are"s, especially in Northrhine-Westphalia, with a special interest di-
rected towards social policy as well as employment and labour market strate-
gies and projects, new forms of co-operation and organisation, and
participation of citizens. These projects need to be seen in the context of the
Northrhine-Westphalian state funding programme for the promotion of in-
tegrated approaches in urban areas with a particular need for renewal.
Alain Lipietz is Research Director as economist at the French Centre Na-
tional de la Recherche Scientifique. His main present topics are: international
political economy, regional economics, social policy and ecology. He is
spokesperson ofthe French Green Party and a member of the Council ofEco-
nomic Analysis for the French Prime Minister.
Ali Madanipour is Lecturer in Planning and a member of Centre for Re-
search on European Urban Environments (CREUE), Department of Town
and Country Planning, University of Newcastle. His main research interests
including socio-spatial transformation, social significance of urban space, ur-
ban design and urban development process, and the culture ofcities. His most
recent books include Mal/aging Criles: (he neli' urbal/ colllext(co-editor) and De-
Jigll of Urbal/ Space both published by John Wiley, Chichester.
Suzanne Speak is a member of CREUE and a research associate in the De-
partment of Town and Country Planning, University of Newc"stle. Prior to
that her background was in community development work in the North East
of England. Her particular research interests are social exclusion and the pro-
cesses involved in every day living in disadvantaged neighbourhoods and the
effects ofsocial exclusion on individual and household transitions and devel-
opments. Her recent work includes several studies of young single parent-
hood in the context of social exclusion.
Hedvig Vestergaard is a senior researcher at the Danish Building Research
Institute. Throughout her research career she has specialised in the study of
management and the use of housing and buildings. For the last ten years she
has developed the research at the Inslitute relating to the evaluation and re-
furbishment of deprived multi-storey or large-scale mass housing areas.
Annie Vrychea is a Professor of Architecture at the Department of Architec-
ture, the National Technical University of Athens. Her research interests are
in housing, participatory planning, poverty and social exclusion. She is a
member of the EU expert group on housing, neighbourhoods in nidI; ~tlrl
<'.-.,-i..,ll'.. rl,1<.';,... ... C'L_ •
292 socrAL EXCLUSION IN EUROPEAN CITIES
Sabine Week is working for the Research Institute for Regional and Urban Subject index
Development of the federal State of North rhine- Westphalia (fLS). Recent re-
search experience include projects on the 'Evalual'ion of local Socio- :lC({'S,~ 80
Economic Strategies in Disadvantaged Urban Areas' (1998-1999), and "So- Art/Oil P!'OL~r.tmmr to Cnmh,tI
SoC/ttl Exdmlnn lind In
cial Exclusion in European Neighbourhoods - Processes, Experiences and
!'mnln(f Snrial SIJlid,mty 8,
Responses' (1998--1999), both funded by the European Commission, slUd-
13,287-B
ies on organisational aspects of and forms of integrated approaches to the re- active cililcnship 35--6, 37
generation of urban areas, as well as research on new forms of co-operation in Aghios Dionysio_~ Project 165
urban regions. Aldr flmot1d/lser au Logrmrn(
(APT) 179,185-7
Anglo-Saxon welr.lre model
40,41,42,43,235-6
antip"o1rochi 158, 160
ArbrilJkmj I (dmm-Nordm 204
",1rea-based partnerships 152-3
a;;sct management 45
Athens Organisalion Project
165
Barre reform 179
barriers
insider/outsider 97
organisalionall01-2
perceptual environmental
98-100
psychological 100-- I
socio~sp<Hial 16-17
spatial practices 80-1
Bl~kulla
regeneration programme
258,-61
social and ethnic segregation
256-7
bureaucratisation, Nordic
welfare 126
Business Advisory Centre,
EUROPIL 169
bmtllcss sh:lfcholders,
polarisation 151-2
Cascais, PER programme
214-·34
cities, diversity or79~-80
citizenship J[·-9, 41, 46,
283-4
city centres 99--1 aD
City Ch;dlcngc initi;lllve
242.-], 246-.-8
dvil citizenship 34
dass 26-31, 35, 2Ei)
dosed circuit televisions 140
co-responSibility, tell ants
121-2
CODAN repoft 139--40, 142,
145
cohesion
economic and sod;]1 13
reinforcing exclusion 55~6,
69--70
spati;'!1 org:misalion 81
Wiles of, Sweden 261-1
colJ2bor:ltion
housing estales, Denmark
118
sOcl<l1 policy, Sweden 263-4
collective action, governance
64-5
communication, PER
programme 2t9-20, 232
communiwian approach,
citizenship ]5, 36
Community Development
ProiCCls (COP.s) 239-40
Community Development
Trum (COTs) 244, 249
community identity 98, 149,
150
community initiatives
Britain 64-~5. 68, 70
Denmark 118, 122-3
Germany 199, 203-5
conferences, neighbourhood
196,205
cOIminmcnt 44
Continental welfare model 40,
41,42,43,235,236
cooper:ltion, local agencies
270-1
coordination, regeneration
projects 269-70
corporatist welfare model !U
Continental wrlftrr modd
counselling, _~e1f esteem 101
criminnl behaviour, Swedcn
264
Cruddas Park 63f, 245-8
cllllUral interventions 168-9
culllJrc 77--8, /63, 281,,·2
dc-induslrialis:ltion 190,
197·8,240-1
de-spatialisafiol1 79
dccent housing, defining 187
decelltralisation
public services, Sweden 264
wel(.,re delivery <13
Delor.~, Jacgue.~ IJ, 235, 236
Denmark
hOlI.~ing eslales 115-24
welfare state 124-·7
deprivation, cycle of 238
devi,!nce 43--4
di;lgnosis, dynamic 222-3
dirrerelllial space 83
domination 57
Doxiadis Project J 64
Dudley Report 135
DUlsburg Marxloh 197-20 I
economic Iiberalisatioll 282
economic restructuring,
Germany [90-2
economics 77,280
employment
ch:tnging nature of 7
City Challenge initiative
246-8
combating social exclusion
286-7
entil1ement (0 social support
41
lack of access to 77, 280
Urban Development
Corpomtions 245·-6
m aIm unemployment
empowerment 64, 68,
248-50, lB7
EntlJ-llcklungrgmllschdfi
DI/IJburg-Marxloh (EGM)
198--200
equilibrium wage 184
ethnicilY 32-3,118----19
European citizenship 31-2,
2B3
European Union
consequences of 27-8,46--7
formation of 12-14
EUROPIL Project 167-70
eV:lluation, dynamic diagnosis
")"}"} ~
294 socrAL EXCLUSION IN EUROPEAN CITIES
everyd;lY life
barriers to life opportunities
97-102
depressed housing estates
[ 20-3
institutionalist perspective H01mm-Norden 201-7
59-6[,95,9M
interrupliom to life process home ownership, Greece
[03-[0
family units, Greece 157-8,
[62
feminist thinking, planning
95-·6
fimnci;ll pressures, housing
estates 124-
fiscal <lusteriry
social citizenship 34--7
unemployment 282
fiexibility, regeneration
programmes 196
Oexible wage relations 179-83
Fordisrn 178-9
France
citizenship 33
social housing 177-87
gerneinschart 14, 55, 58, 61,
84
geographical isolation
Hamm-Norden 20 I
M;miatiha.Aghia Sophia 162
Nonh Clondalkin 141-2
Gcrm;Jny
ciliunship 32-3
social polarisation 189-90
sa a/m
Northrhine -We.~t phal ia identity, community 98, [49,
ges.,cllschafl 14,84-
global space 82-3, 87
globallsation 7-8, 26-B, 46-7,
28[,287-8
govern<lnce
collective action fi4-5
conltibution to everyday life
60
exclusionary processes 62-4
irUlilu!ional capacity 65-9
reJationality 16
Glace
housing policy and home
ownership 158--9
intervention policies 163-5
1(( lfho Maniatika~Aghia
Sophia
holistic approach 195,286
[58-9
homelessness 79, 107
homes 105-10
hope, and hopeb·sne.,s 101
hour-glass society 179-83
housing
social, France I 77-B7
status, West Dublin 142---4
housing associations, Denmark
1[6
housing eSlates, Denmark
everyday life 120-3
physical improvements
[ [7-[8
Urban Commitlee
establishment 118-20
initiatives 123--4
housing markets
Denmark J 26
West Dublin 148-9
housing policies
containment 44
France 183-7
Greece 158-9
quality of lire 53--4
Sweden 255, 265-8
young people 105-8
human nourishing 60
[ 50
immigrants
citizenship 283
Denmark 119, 122
Germany 191,202
Greece J 60
Sweden 268, 269
immigralion policies
France and Germany 32-3
Sweden 255,272-3
incapaclly rate, Sweden 26(J
inclusion 77-8
average level 183-4-
distribulion 180-2, 189
gu;lt<lnteed minimum, France
[3
independence, young people
[05-8
industrial complexes, Greece
165
informal social network., 41,
[70
information, PER programme
2[9-20,232
Inner Urban Areas Act 1978
240
innovation 233-4
insertion 13
insider loulsider barriers 97
institutional capacity 65-9
imtitutionalis:llion, Nordic
welfare 126
institutionalist theory 54--71
instilUlions, mobilising 226-7
integration
exclusion as process of 44-
intervention programmes
223--4
strategies for 274
through employment 105
Zone or 261
interdisciplinary approach 166
intervention strategies
Greece 163-5, 167-70
Portugal 220-34
invisibility 132, 144---5
job centres 99
jobs 104--5
laboLlr market
economic liberalisation 282
policies, Sweden 154-5,
268-71
structural changes 28~9
J(( aIm employment
land dcvelopment 83~5
land funding programme
[92-207
IJnd zoning 146
Latin model, welfinc provision
40.42
lifr oppr'rl\l!1ilies, barriers to
97-102
/ifr process, interruptions 10
[[)3- [[)
listening 167
living places
neighbourhOOds :IS 61-2
problems in 60··1
quality of life 54
local deveJopmetH initiatives
[ 52-·3
loi Pctsqurt 33
looking in 237--8, 248-50
looking out 237, 245-·8
loose tics 121
loukalds Project 164
Maastricht Treaty, citizenship
3[-2
M,miatika-Aghia Sophia
construction periods 159-6 I
economic <lnd social
characterislics 161-2
EUROP[L Project [67-70
process of degr<ldation
[62-3
reh"bilitation 163-5
margin<llisation 12, 57, 132
Meadow Well 245-8
mental maps 62, 99
mental sp<lce 81
migrants 32, 283
Milton Keynes 135-6
mobjJjs<llion, social 214-16,
225·-9,266
montgolner society J 78-9
moral issues 18
mulliple deprivation 239
Myles Wright plan [36
national space 82-3, 87
neighbourhood units 134--5,
[49
neighbourhoods
concept of 14---15
housing st:HUS and
segreg;l1ion r 4 2--4
land and property
developmellt 83--5
;;~ livino hl~_ •. _ " -
SUBJECT [NDEX 295
physicality and social place United Kingdom 64-5
44-5 partner.~hips
socialisation 4]--4 City Challenge initiative
J(( abo Bloikulla; 242-3
Maniatika-Aghia Sophi<l; PER, Portugal 225, 226·-7
North Clondalkin; urban policy, UK 64-5, 68,
Notlhrhine· Westpha lia 248-50
neoliberal doclrine 150, paIsive citizenship 35-6, J7
[83-5 patrimonial Villues 170
netvmrldng J 9 5-6 people-focused policies 67,
Newcastlc-upon-Tyne 69,70,242-4,285-6
city centre 99~ 100 PER programme, Cascais
City Challenge initiative 212-14
244-··8, 249 change and citizenship
non-slate organisalions, social 2[6-20
support 42 innovative strategies 220-34
Nordic welfare model 40, 4 J, mobilising resouras 214-- I 6
42, 43, [26 perceptual environmental
North Clondalkin 1]7-8 barriers 62, 98-100
economic and social peripheralisation 2B, 41, 42
marginalisation JJ8-41personal housing assistance
invisibility of 144--5 (APL) 179, 185-7
transportation and physical place-based poHde., 67, 69,
isolalion /41-2 285
Nonhrhine-Westph al ia planning J(( toum p/lfJming
economic restructuring political citizenship ]4
[90-2 political tensions, welfare
land funding programme regimes 42-3
DUisburg Marxlob politicians, mobilising 225
197-·201 politics 77, 280
Hamm-Norden 201-7 population, mobilisation of
key features 192-7 227-9
Portugal
oppression 57 PER programme 212-34
organisational approach, poverty 21 1-12
Germ<lny 195-7, poverty
[98-200,203-5 Anglo-Saxon welfare model
organis:Hional barriers J 0 1-2 235-6
organisational pressures, changing structure of 8
housing estates 114 or
culture 238-9
organisational styles, Porlugal211-12
governance 68 slUdents 104-5
organization, zone.~ of, Sweden power relations 57
261-2 f'rdl>mtil'''niJ Hdmmrr Nordm
203
parlicipnion precariti: Sf( prriphtrd/isdtlon
Germ:lfJy 205-7, 208 privalc housing J 43-4
political 280 privale space 85-6
Porwgal 21 S, 225, 227-9 f)rivali~;;linrt ". ~n~,·~ lJL
2911 SOCIAL EXCLUSION IN EUROPEAN CITIES SUBJECT INDEX 297

programrnftlg. dyn.1mic
di:lgnosis 222
]Jroicrt Mlfrxlob J 98-200
property development 83-5
property-led regeneration
241-2
psychological barriers 100-1
public opinioJl, mobilising
229-34
public space 85-·6
public sphere theories 85-6
quality
building programmes 21 B,
230-2
of life 53--4
reciprocity 43
regener:ttion programmes
Bllkull,258-61
housing estates, Denmark
119-20
M;mi.l!ika-Aghia Sophia
159-70
Norrhrhine-Westphalia
192-207
PER programme, Portugal
212-34
rehabilitation, alternative
strategy 166-70
Reith Commission 135
rel:lIional environmenls 61-·2
rel;itional webs 55-6
rclationality 15-17
renlal markets, unitary and
dualistic 45
rented housing 126
resettlement programme
212--34
residence, concept of 45
rcsiduaJisation 44, 110
retirement, early 109
Scolland, people-focused
policies 242
selr esteem, counselling 101
self settlement 158
service providers 101-2
shelter 108, 187
slum hOllsing, neoliberal palh
186
slummincation process I 15
social analysis 167
social citizenship 3<1-7
social control. space 81
sodal engineering 135--6, 146
social exclu~ion
an:llyses 146--8, 167,261-1
dimensions of75-8
inslitutionalist theory 54--71
nalional differences 8-9
process and situation
279-81
relatiomlity 15-17
sp<ltiaHty of 78-9, 86~7,
212
terminology I 1-12, 235-7
social fracture 43
social housing, France
crisis 177
hour-glass society 179-8 J
monlgolfier mciety 178-9
social policy 183-7
social maps 99
social nelworks
Bllkull, 259-60
cohesion and exclusion 55-6
EUROPIL proposals 170
welfare provision 41
social order, relationality
16-17
social polarisation
economic reslructuring
189-90
free marl<et forces 151-2
unemployment 105
social policies
everyday life perspectIve 60
France 1J
new perspeclives 285-6
rethinking 28].-4
Sweden 254-6, 263-5
union-wide 40
Jet aim housing policies;
immigration policies;
labour market policies;
urban policies
social relationships 15·~17
SOciO"sp:Hial exclusion
global and natioml space
82-3
processes of 83--5
public and private space
85-6
socio-spatial relalions 58-9
socio-sp;lIial segregation
162-3
sociological theories, structural
change 26
space
global and nation:tl 82-3,
87
public :md private 85--6
understanding 80-1
spatial analysis 167
spatial interventions 168
Sfddtlrl/projCCf Mdrxloh 100
slalieholder map, Cruddas Parh
initiative 63f
state housing 149
street workers 205
Slructural changes
economic, Germany 190-2
globI7-8, 26-8, 46-7,
281,287-8
impacl on social conditions
281-3
rclationality I 5-16
sociologicallhcories 26
structuring, role of 56-8
students, poverty 104-- 5
sllslainability 219
Sweden
analysis of social exclusion
261-2
housing policy 255, 265-8
immigration policy 272-3
labour market policy
168-71
socia! policy and public
services 263-5
social welfare model 254-5
Jtr 11/50 BI!lkuJla
symbolic relationships 77-8
lax reforms, housing, Dcnowrk
126-7
tenants 117~18, 121-2,259,
267
trrrninology 1 I.. J 2, 2 3 5~7
topogr:lphy, space 81
lawn planning 151
managing lransf(Jrmalion
148-50
segreg:ltion 83·- 5
West Dublin 1 33
tramport,'Hion 141--2
trickle down 67
Tynesidr case studies 244-8
underc!ass theory 30, 57,
131-2,239
unemployment
economic change 282
mid-life 108-·9
social polarisation 105
Sweden 254--5, 268-71,
274-5
youth 104-5
Jee dim employment
union-wide social policy 40
United Kingdom, urban
policies 6'1-5, 70, 95,
238--44
universalistic confept.
citizenship 36
Urban Commitree, Denmark
establishment 118-20
initi:Hivcs 123--4, 127
Urban Development
Corporation.~ (UDes) 241,
245-6
urban policies
Denmark 120
United Kingdom
late 1960s 238--9
local economic
development 239-41
partnership and
empowerment 64, 68,
248--50, 287
people-centred policies 70,
242--4
planning 95
property-led regeneration
24J~2
urban problems unemployment 104--5
ana lysis 146-8
Engbnd 60--1, 95
macroeconomic policies
15()-1
NOrlh Clondalkin 140
urban space 80-1, 85
urban uTlderclass 151-2
vulnerability, zone of 261
wage levels, hOllsing 105, 184
wage relations, nexible
179--83
wage,~, legal minimum, France
186
WJlie Up. employment project
271
we]f;,re regimes 39-46, 284
Denmark I 24-7
erosion of I 52
Greece, non-cxistence 157
ncutral role of 29-30
Sweden 154-6
West Dublin
housing status and
segregation 142-4
neighbourhood units 134---5
ncw towns 133-4
strategy asscssment I J 6~ 7
social enginecring 1J 5-6,
146
town planning 133, 146,
148--50
urban problems
analysis 146-8
macroeconomic policies
150-1
1rr I1ho Norlh Clondalkin
Women's Advisory Centre,
EUROPIL 169
Wright m Mile1 j-Vrtghr pldn
young people
community initiative,
Getmany 203--5
employment projects,
Sweden 271
 BOroO:lh, V. :Ind H:1I1, M. 75 Downey, D. I J3, 134
Author index Broome, P., B~ddlJfld, A.C., Dubet, F. and upcyronnie, D.
Lund, C. rind Ohlsson, R. 190
268,272 Dublin County Development
Abr<lh:lmson, P. 40, 47 Brotchic, J., B;'llty, M., Blakely, Plan 136
AJr/cdsson, Rand Cm, G E., Hall, P, and Newman, Dublin Transportation Task
264 p 131 Force 137
A1isch,M.192 Bryson, J. :1nd Crosby, B. 6.2 Ouny, K. 76, 77
Allen, B 117 BYlldvalgel J 19 Duggan, C and Ron:lyne, T
Alien, ). 2J 6 54
Alterman, R, and Cars, G. 266 Calhoun, C B5
Allman, L and Churchman, A C~r1cn, G. and C;lrs, G. 265 Economou, D. and Sapoun;lkls,
59 Carlson, Y. I J 6 A. 158
Amin, A. and H;wsllcr, J. 43, C~rr, 5., Francis, M., Rivlin, L. Edgren-Schori, M. 259
54, 66 and Stant, A. 86 Edwards, J. and B:ltley, It 239
Amin, A. and Thrift, n 66 Cars, G. 267 E/1I1, S. 272
Andcr.sen,). 118 Casldls 261 Emms, P. 44
And cescn, J- and Lar~cn, E. I J I CCRE 237 Engels, F. 145
Andersson, R. <Iod Molina 265 CDP 240 Erik.~on, H.E. 103
Arai, M. and Schroder, L. 269 CEC 8, 236, 237, 240, 242, Esping-Anderson, G 40, 23 5,
Arendt, H. 85 243 254
Aring, j., Butzin, 8., Danielzyk, Chamn, G. 242 European Commission 75
R. and Helbrcchl, l. J 90 Christiansen, u., Jensen, M.K., European Foundation for the
Atkinson, A.R. B Kristensen, H., Improvement of Living
Addnsofl, R. 235, 236 Lindhartsen, H., V;lrming, and Working Conditions
M. and Vestergaard, H. 104
B:lilcy, N., Barker, A. and 117, 121, 122 Eyal, G, Szelrnyi, I. and
McDonald, !C, 68 Clondalkin Partnership 13B, Towns/ey, E. 26
J3alJain, R. and Bcnguigui, F. 141
183 Cochrane, A. and Doogan, K F:linstein, S. J 48
B.Jnnon, M.J. 133, 134 39,42 Fainsfeln, 5., Gordon, 1. and
Sarrf, R. I 51 Colfjns, T. and Crowley, G. Hadae, M. 235
Bartley, B 84,132, 148 138, 140 Ford, J. and England, 1- 105
Batley, R. and Stoker, G. 43 COM 272 Forrest, R. and Williams, P. 27
Bcndlcl{, M. ;md Eg<lll, M.L. Commission of the European rorskergruppen rot det nyc
57,244 Communities 131 hverdagsHvet 120
Aenhabib, S. 85 Conlon, P. 134 Fraser, N. 85
Berm, S. and Gaus, G. 76, 85 Cram, L. 40 Frelt:ls, M.J. 45
Bennington, J. ;md raylar, M. Cullingworth, J.B. and Nadin, Friberg, T. 59
28 V. 135 Friedmann, J. 58
Bentley, L, Alcock, A., Friedrichs,1- 12, 30
Murrain, E, McGlynn, S. Davis, J. ;Ind Prendergast, T
and Smith, G. 84 133, I J4 Gal.~ter, G.c. ;md Killen, S.P.
Rirkin, M. 99 Davis, M. 15l 43
Biferman, D. 272 O;lvoudi, S. 242 Gamble, A. 64
Blackrmn, T. 67 D,1Voudi, S. :Ind Hcaley, P. 68, Gamble, A. and Kelly, G 26
BlalmJlarordragc( 259 102, 208, 244, 249 G:lOS, H.J, 30
Blanc, M, 29, 41 Dcakin, N., Davis, A, :Ind Garcia, S. 31, 32, 34, 35, 36
Boligrninislcriet 120, 126 Thomas, N. 37, 39 Geertz, C. 55
Bonc{ti, M, 117 I1rp;lrtrnent or Justice 140 Gerckens, LC. 146
Booth, c. and Gilroy, R, () 5 DoE 240, ltJ J
30U SOCIAL EXCLUSION IN EUROPEAN CITIES AUTHOR IUDEX JOI

Cilroy. R. 58. 61, 67, 97, 98, Nordrhein- Weslr.1!cn) MarcusI.', P 26 Rosen,111, PM 8.1 Willia1ll.'i, C.C ;ll1d
99, 100, 101, 102 201,202 Massey, D. 132 Windeb:mrk, J. 57
Grrth~rn, S, ~nd Marvin, S, 99 rnne.~,J., Gruber, J., Thompson, 1\-I:lSI, R. 57 s;lb('r, C. 152 Wilson, J. 30
Greed, C. 135, 14G R, and Neuman, M, 66 Mayo, M. 54, 56, 64. 65, 66, Sahlin, r 36,'14 Wilson, W,]. 13 r
67, 68 Saunders, P. 146 Wirth, L 79
ll~berrna.~. J 35, 36, 60, 76, J<t'gcr, B. 116 Miljoverndeparlemcntct 122 sen (Central BUfe:llJ of Wood, J. 97
82, 85 Jensfelt, c. 265 Mingione, E, 12, 30, 33,41, Slali.~{ks) 27 2 Wood, J., Gilroy, R, Healey,
P.
H~djimich<llis, C. and Sadler, Jones, G. 106 54,60,75,95,131,151 Sc!mtau, M, 43 and Speak, S. 54, 57, 60,
D.12 Judge, D., Stoker. G and Minglone, E. and Morlicchio, Sdmecklolh, L. and Shibley, It 62, 65, 69, 96, 98, 10 I,
H<lgerstrand, T. 59 Wolman, H. 64 E.41 65,66 102, 104, III
11,11, P. 1J5, 235 Mollcnlwpf, J.H. and C~.~tells, S[olti.~h Office 2'12 Worpole, K. 84, 95
H~II, S. rtal. 43 Karp, D" Stone, G. and Yoe!s, M.237 Sel1rlclt, R, 79 Wright, M. I J4
llantrais, L. 27, 39, 40 W. 79 Morrow, V. and Richards, M. Sibley, D. 99, 100
Hadae, M, 26, 44, 116 K<lIZ, P 84 106 Silwr, l-I. 26, 29, 30, J I, J5, Young. I 57
Hartshorn, TL. 146 Kemeny, J. 44, 45 Mumford, L 84 36 Young, K. and Kr<1ll1cr, J. 44
Harvey, D. 1]2 Kempen, E. van 34, 37, 39 Mllstcrd, S. 151 Smilh, D.N. and Blanc, M. 32,
Hastings, A, 65, 68 Kempen, E.T. van 1 r 7 33
Hastings:, k, McArthur, A, and Kirk, G. 146 NACRO 104 Soci:llministeriCf I 18, 122
r..1cGregor, A. 42, 4] Kj<t'r Jensen, M. I 16. 121 Nexus 152 S~,holt, 5 116, 122

Hayden, D, 95 Kjeldsen, J. 118 Nord 59, 68, 96 Soja, E. 132

H"le\" P. 54,64,66,67,68, Kleinman, M. B, 27, 45 Nordahl, B. 122 Salna Municip:lJily 257, 25B
69,95, 102 Knox, P. 148 North Clondalkin Newsletter SOU 267, 268, 272
Healey, P, Cameron, S" Knox, P.L. 146, 14B 141 Speak,S" Cameron, c., Woods,
Oavoudi, S., Graham, S.- Kouveli, A. and Nonhrhille- Westphalia R. and Gilroy, R. 96, 108
and Madanipom, A. 54 Sakcllaropolllos, K. 159 Minister of Urban Speak,S" Cameron, S, and
Healey, p" Oavoudi, S., O'Tool, Kouwl.'nhovcn, V. 43 Development, Culture and Gilroy, R. 104
M., Tavasanoglu, S. and KUrpicll, S. 195 Spores 209 Speak, S., Gilroy, R., C~meroll,
Usher, D. 241 Nussbaum, M. 60 S, ilnd Woods, It. 60
Healey, P., Gilroy, R. and Lc Grand, J. and Bartlell, W. Spicker, P. 76
Norwood, T. 95, 96, 98, 43 Oatl,\', N. 64, 249 Slaubach, R. 191
100, 101 lee, P., Murie, A., Marsh, A, O'Brien, M. and Penna, S. 14 Svallfors, S. 263
Hcrlyn, U., L~icmann. U. and ::1nd Riscborough, M. 29, Olsson, H.S.E. 262
LCUKO, B 192 ]0,35,36 Oresj6, E. 274 Taoiscach's omcc 140
Hill, M. 43 Lefebvre, H. 59, 81, 83,132 O'Toole, F. 152 Taylor, I., Evans, K. and Fraser,
Hirschman, A. 32 levinson, OJ 103 P 60
Hollands, R. 104 Levilas, R. 97, 105 Page, D.45 Taylor, M. 67
Horelli, L. and Vepsil, K 96 Leyshon, A. 150 P,hl, R. 146 Thakc, S, 54, 65, 66, 67, 68
House of Commons 245 Leyshon, A. :md Thrift, N. 99 Painter, J. 1 52 Tibbalds:, F. 86
Howell, P. 86 Liebfried, S. 40 Pattison, G. 56 Toura inc, A. 78, 19 r
Hudson, R. 56 lied hahn, M. and lindberg, G, Pool<, J. 152 Towets, G. 64
Hupe, P. 43 117, 121 Pedersen, K. liB
Hultman, E.D. rf al. I 17 Lipielz, A. 181, 184 Palter, P. 37 Vestergaard, l-l. 116, 126, 127
Hunan, W. 28, 151 Loukakis rl al. 16] Power, A. 44, 116 Viclen, S. and Lundahl, G. 266
lynch, K. 84 Pringle, D.G.P. 15) Vliel, W. van 42
IBA (lnlcrnatiomle /Jrojrkr Mdrx/oh 198, 200, 20 I Voscher;lu, l-l. 190
Bauau.mcllung Ernschcr McCarron, G. 145 Pugliese, E. 32
Park) 191 McGuirk 146 Wacquam, L.J.n. ]]
ILS (fnstifUt fUr Landes - und Macl1onin, P. 26 Rabinow, P. 56 War.~h, J. 152
Sl ad lenlwicklungsforschu McLellan, D. and Sayers, S. 26 Room, G. 40,54,76,77,78, Walzer, M. 86