. ,__._,_e:_/ 2:: 2: mm V ,‘ b I. Q unp— ~ ' PLACE IN RETURN BOX to remove this checkout from your record. To AVOID FINES return on or before date due. MAY BE RECALLED with earlier due date if requested. DATE DUE DATE DUE DATE DUE 6/07 p:/ClRCIDateDue.indd-p.1 CIT EEK PARTICIPATTCX A‘v (“77“ ' ‘ 1 AI L.Lu 1-‘ Ay.v\‘r-r\"'fl .V‘r HVW" . _ r.“ I '5;\&oJ.L"J LL KIA—(4x30 fly,- M7 ‘4 Richari J. Shaklik vro \ ”<4. _ 4_ 97 ‘ .0 .L n “'1‘” ‘ ; ,T a :3 ‘fi 1 N r~ ‘ 1r A-l \J L11 ..- 54L 4..) J\l.. -,"“__I u .4 1 hr ., J, ._,. L g”, - - -l- a p '1 (‘3‘! .n.‘ . 4. .9 J-‘, r h . ' - . 4. V‘ “ .. ‘ ‘1 fr A ‘ a :.~a 1 .1“ an '7 it: ' Vial ...x_.L.._J .1..L .4,J11U \. .L Lnl...’ 1””, .%lrr.z;;ry;ruu (“A ..U . n .*T‘~~~"‘..—~-.'A ”wager in arsed £113.;n; 505001 Of UTESH Ilanninfi 3‘3 LE53305T9 APChitocturo 7VTin. 197? a .- TABLE OF CONTENTS INTRODUCTION . . . . . . . . . . . . PARTICIPATION AND THE NATURE OF COMMUNITY Increase of Societal Scale . . . . . . . . Urban-Suburban Differences . . . . . . . . Inequitable Resource Allocation . . . . . CONCEPT OF CITIZEN PARTICIPATION . . . , , Divergent Views of Citizen Participation . Nature of Citizen Participation . . . . Citizen Participation and Urban Renewal . Renewal in New Haven . . . . . . . . . . . Renewal in Boston . . . . . . . . . Ramifications of Citizen Participation in Urban Renewal . . . . . . . . . . . . . . PLANNING, PARTICIPATION AND COMMUNITY POWER . . . . . . . . . . . . . . . . Nature of Community Power Structure . . . Participation and the Decision— Making Process . . . . . . . . . . . . . . . . . The Urban Planner as a Community Organizer CONCLUSION O O O O O O O O O O O O O O O BIBLIOGRAPHY O O O O O O I O O O O O O O .11 .13 .16 .18 .24 .25 .26 .29 .30 .35 .39 .43 .44 INTRODUCTION Citizen participation in the planning process is import- ant, not because it will automatically result in the amelior- ation of problems with which planners are typically confronted, but rather because it will have the tendency to free the community from an increasing sense of alienation and helpless- ness which has develOped through the years largely as a result of the growing technological scale and complexity of society. The develOpment of citizen participation strategies will result in the examination of institutional realtionships and the built-in inequities in the distribution of resources which often characterize these relationships. Awareness by both the planner and the community of serious shortcomings in the democratic processes which this country ascribes to will hOpe— fully result in a reassertion of power by the community over the increasingly powerful technologically oriented institu- tions which have largely determined the framework of contemp- orary society through the distribution of resources based upon criteria that do not necessarily represent the broad concerns of the total human community. Opportunities for meaningful participation in the decision-making process will ideally arouse citizens from attitudes of indifference and despair. The urban planner must realize that the well—being of all people in a community should be the underlying goal of all planning. The justification for changes in the urban environment "...is not the repairing of obsolescent buildings or modification of traffic patterns, but the creation of a more liveable environment for human beings."1 Citizen partic- ipation offers the planner the potential to develop plans and programs which reflect the needs, desires and priorities of the community as well as increase the acceptability of plans to the power structure. Generally, the planning process should encourage democratic urban government and this can be accomplished by including rather than excluding citizens from participating in the process. Opportunities to institutionalize citizen participation into the planning process and society in general exist partly as a result of increasingly strong federal requirements for citizen involvement in planning. As citizens become accustomed or reaccustomed to participating in develOping community plans, hopefully autocratic power systems and relationships will decline and community life will truly become more free and democratic. This paper will examine the role of citizen participation pin the planning process to determine whether democratically planned change is viable within the existing socio-economic- political framework of the United States. The relationship between citizen participation and local community will be investigated to discover the ramifications of our increasingly complex, technological society upon the ability of the local community to actively participate in important policy decisions 1William C. Loring, Community Organization for Citizen Participation in Urban Renewal (Cambridge: Cambridge Press, p p. o VLF which will affect its future. Governmental efforts at institutionalizing participation into the planning process will be examined in terms of the highway program and urban renewal in order to see the evolution and effectiveness of citizen participation. Finally, the relationships among citizen participation, community power systems and planning will be considered with an emphasis upon the role of the planner as an advocate of democratically planned change as well as the limitations imposed upon the development of such a role in terms of the inequitable distribution of resources as reflected in undemocratic community power systems. Participation and the nature of community In order to fully understand the nature of citizen participation in the planning process, it is first necessary to examine the concept of local community. There are as many different definitions of the term "community" as there are different disciplines concerned with the study of community. Generally, there is a consensus that the concept of community has been a dynamic one that has evolved through time. In the United States there has been a tendency to equate the term community with an idealized image of a New England town with a small, stable, highly cohesive population participating, in a democratic manner, in the decisions effecting the communal body.2 In the past, when the country was primarily agricul- tural, most of the urbanized pOpulation lived in relatively 2Scott Greer, The Emerging City_(New York: The Free Press, 1962), p. 98. , ,‘ .. F0' 1. -:' ‘fit‘VlsL 1.. -' . , . . ._ "\ . i . . ~ \ . , ~ - . . .. _4_ small settlements where the majority of the their daily social and economic interaCtHMItook place. Consequently, strong primary ties to distinctly defined local communities developed. During this period before large scale urbanization, life was truly less complex and organizationally developed. Most of the institutions which had a major impact upon communal life were both physically situated and controlled within the spatially defined community, consequently, the physical and psychological distance or access between an individual and the forces which affected his life was relatively short. Also, visibility of controhers of major community systems was high. As a result of these relatively intimate relation- ships among individuals and institutions community participation was generally not an issue. Traditionally, the planning profession, which has been primarily physically oriented, has conceived of planning and participation in the planning process in terms of small physical geographical units which would correspond to the small town or neighborhood. Clarence Perry has had a tremendous influence upon the planning profession with his concepts of neighborhood and community planning.3 However, as the scale of urban areas has increased, the importance of the local physical area of an individuals residence has correspondingly decreased. Urbanization, which can be defined as a process developing an increasingly large and complex human settlement 3William I. Goodman and Eric Freund, Principles and Practice of Urban Planning (Washington: International City Managers Association, 1968) p. 568. {A -5- requiring agricultural surplus, favorable ecological environ- ment, technological advances and organizational structure, has resulted in an increase in societal scale which is characterized by increased national economic and social interdependence and coordination. The growth of large- scale management systems in the economic sphere are partic- ularly evident but similar developments have also occurred in government, education, health and other social services.4 These developments have had a significant impact upon local community involvement and participation. Increase of Societal Scale The most significant change in the local community as a result of widespread urbanization and the corresponding increase in societal scale has been the loss or reduction in autonomy and independence at the local level. As local institutions have been integrated into the larger social order there has been a reduction in economic and governmental self-sufficiency at the community level. Also, there has been increased exposure to conflicting norms from outside the local community which have been a direct threat to the unique norms and values evolved in local communities. As a result, the local normative order has been fragmented which means that individuals are no longer dependent upon the locality and as a consequence the local community has lost 4Edmond A. Alchin, "Change and the Nature of Contempor- ary Community" (E. Lansing: Institute for Community Develop- ment and Services, M.S.U., 1970), p. 9 (Mimeographed) -6- integrity.5 Thus, the local community of the 1920's and before, which contained within an easily identifiable set of boundaries the "institutions and public organization which filled social, economic, educational, religious and govern- mental needs for a population within and outside their bound- aries",6 has been radically altered. These changes in the nature of the local community have reduced the importance of the relationships between important institutions and geograph- ically defined local communities. Thus, any definition which considers local community as identifiable by a contiguous geographic area in which an individual's most important daily social and economic inter- actions occur would focus solely upon the horizontal relation- ships among community institutions and organizations or systems. While these relationships are certainly important to under- stand the nature of community and participation, equally important and sometimes more important are the vertical relationships which are now common between the local commun- ity and the outside society. For instance, many communities within their boundaries important employment facilities which are vital to the community's well-being, yet often times, company policy is determined at headquarters in distant cities. Consequently, rather than considering a community as the interactions and interrelationships within a given geographical space, it is necessary to consider the 5Greer, op. cit., p. 6Ibid., p. 3. -7- systems which influence community participation in a partic- ular area regardless of the geographic space that systems networks may cover. Many of the concepts which are still espoused by the general population, such as the principles of democratic political structures, are based on assumptions about the local community which no longer exist in reality. Since the func- tional interdependence of the local community has vanished, "the individual investment is relatively small (in the local community) in the interactional network that constitutes the locality group, and if his losses are too great he can cut them by getting out - the community can not hold him"? In other words, interdependence implies commitment to the ongoing social system which in turn produces intensive participation and the development of common values and norms; however, with the tremendous increase in societal scale the existence of au- tonomous, independent, stable communities has declined and ended. Therefore, the interest and commitment of the individ- ual to his local geographic setting has also declined. Urban—Suburban Differences Certainly, there are relationships between different types of life styles, economic status and residential location within a metropolitan area and the degree of individual commitment, interest and participation in a particular local community. In central city neighborhoods, which tend to be more highly 7Greer, 2p. cit., p. 99. -8— urbanized in terms of density than outlying areas, with fewer families and more apartment dwellers, the local area as a "social fact" is generally less important to the individ- ual than in the more familistic neighborhoods of the suburbs.8 In addition, many of the traditional linkages between the people in these central city neighborhoods and the controllers of community resources or systems have disappeared, resulting in reduced Opportunities for participation in community decision—making. During the period of rapid industrialization and social change in the United States in the last half of the 19th century and the early 20th century, the political machine fulfilled important social needs in urban areas. One of the most important functions of the machines was their role as social welfare organizations in which they provided needed services such as employment and financial security for im- migrants and other newcomers to the cities. Perhaps the most important aspect of machine or ward politics was "its close contacts with neighborhood folk, (which) provided a sometimes sound, sometimes corrupt, means for the participation, or at least communication, of the area resident and his neighbors in municipal affairs that concerned their area."9 There are many reasons why the machine declined, including the efforts of the "good government" movement, however, no really adequate institution has develOped to replace its important functions, 8Ibid. p. 96. 9Loring, op. cit., p. 3. particularly that of providing a link to community controllers or decision-makers. Consequently, today in many large cities a sense of alienation and disillusionment has developed among the populace towards the political process, and a sense of powerlessness resulting from the increased distance between citizens and leaders as well as the lack of meaningful rela- tionships.10 In suburban areas, where familistic life styles gener— ally predominate, interaction among households increases and the neighborhood becomes a much more "healthy" social system in terms of democratic processes.ll Generally, increased par- ticipation in the affairs of the neighborhood is the result of increased commitment in such areas as home ownership and family structure. In addition, although the suburban area is usually highly dependent upon the metropolitan area for a number of vital services, suburban municipalities are often incorporated and thus there is the potential for a much great— er degree of general citizen participation and political con- trol than within neighborhoods of the central city. Conse— quently, access to a number of very important powers concerning the character of the community such as zoning and the school system is much easier for the suburban resident. However, perhaps because of the homogenous socio—economic nature which suburban populations usually exhibit, the portion of residents involved in the active political community is often 10See Murray Levin, The Alienated Voter (New York: Holt, Rinehart and Wilson, 1960). llGreer, gp. cit., p. 124 7‘! NJ -10- very small because community controllers or leaders usually adequately represent the interests of the total community.12 Inequitable Resource Allocation As the societal scale of the United States has increased large numbers of diverse individuals and groups have been either concentrated in relatively small geOgraphic areas of the country (metrOpolitan areas) or have been brought together through increased capabilities of communications and trans— portation, thus facilitating a highly interdependent national society. With this rise of organizational scale in urban areas has been a corresponding rise in the visibility of inequalities in the allocation and distribution of resources. As the national government has assumed more and more responsibility for the regulation and distribution of resources, at the ex— pense of local communities, the conflict level in urban areas had also risen because control has been removed from small dispersed and often private constituencies to a large public constituency. While the government is supposed to represent the "public interest" or all the diverse interests of various groups and individuals within the country, this has certainly not happened and it is questionable whether indeed it is in- deed possible. Consequently, many groups within local commun- ity or neighborhood areas, particularly those groups in the lower socio-economic classes, feel that their interests have been consistently ignored by the national government in favor 12Warner Bloomberg, Jr., "Community Organization", in Readings in Community Organization Practice, Ralph M. Kramer (Edi), (EngIewood Cliff, N.J.: Prentice-Hall, 1969), p. 114. -11- of other interests. Thus, conflicts within urban areas today can be seen as a struggle between groups to gain access or control over community systems which directly affect their lives. This situation would suggest that within our large interdependent social system that our traditional concepts of democracy and community participation at the local level do not exist or are not functioning prOperly or perhaps are not compatible with the social—economic realities of 1972. The Concept of Citizen Participation In recent years, as the scale of our society has grown, the representative democracies governing our urban areas have proved to be increasingly unacceptable as spokesmen for their communities, and the concept of citizen participation has become regarded by many as a normative principle inseparable from the idea of democracy itself.13 The demand for increased participation by members of local communities in local affairs has occurred at a time when opportunities for participation have decflned for reasons already cited such as the decline of traditional linkages to controllers of community systems and the increase in organizational scale and interdependence. At the same time several national organizations such as the National Municipal League and the American Council to Improve Our Cities have encouraged citizen participation. The federal government, of course, has also encouraged participation at the local level in recent years through various stipulations 13Edward C. Banfield and James O. Wilson, City Politics, (New York: Vintage Books, 1963), p. 258. ‘J -12- in legislation, however, it is debatable whether the actions by the federal government were instrumental in developing an interest in participation or rather were merely a reaction to the demands of local groups for increased participation in the community planning process. Big city mayors of the liberal-progressive variety, such as Lindsay, White and Alioto, have also in recent years promoted the issues of neighborhood representation, community control and governmental decentralizationl4 partly as a result of the shifted emphasis of federal prOgrams from a physical to social orientation but also because of the decline of traditional sources of municipal executive power. As a result of the decline of internal political organization in large cities caused partially by the decline of ward politics and the political machines, mayors have had to appeal to resource and power systems outside of the city to gain a commitment of resources necessary to initiate and sustain a dynamic urban program. Whereas after World War II issues dealing with phys- ical renewal were pOpular with the federal government, national foundations and other resource systems, currently citizen involvement and social renewal are in vogue. Consequently, urban leaders have pursued programs in these areas as a means of gaining both publicity, resources, and power.15 14James O. Wilson, "Planning and Politics," in Cities and Suburbs, Bryan T. Downes, ed., (Belmont, California: Wadsworth Publishing Co., 1971), p. 185. 15James O. Wilson, "The Mayors vs. the Cities," The Public Interest, Number 16, Summer 1969, p. 28-30. VJ -13- Divergent Views of Citizen Participation The phrase "citizen participation in the planning process" has a number of different connotations to different groups and individuals, usually depending upon their goals and status within the social hierarchy. What has been termed the "emotional" definition of citizen participation states that citizen participation is the ability or power of people within a community to decide or control their own destinies.l6 This definition could also be termed the purely democratic inter- pretation of citizen participation and in terms of the planning process means that local communities should have full control of all policy decisions affecting their neighborhoods. In effect, this would mean complete community control of the allocation and distribution of all resources within the community. Obviously, no individual or community has ever had complete power over their own destinies and it is apparent that local communities have been losing whatever controls they did possess as the societal scale has increased. Conse- quently, citizen participation must be viewed in a more realistic manner. The Economic Opportunity Act of 1964, which is commonly referred to as the War on Poverty, introduced the phrase "max- imum feasible participation". There have been varied definitions of this phrase as well as arguments as to what the framers of 16Fred Powledge, Model City (New York: Simon and Schuster, 1970), p. 144. ‘3’ -14- the legislation meant by the term.17 Definitions of maximum feasible participation have ranged from an emphasis on the poor helping to plan, to the poor having total control of planning or the poor acting as advisors in the planning process. Generally, the War on Poverty and the Model Cities Program have led to experimentation with different forms and degrees of participation as well as stimulation of discussion and concern with the place of citizen participation in the planning process. Another general attitutde or definition of citizen par- ticipation is the paternalistic orientation. This interpreta— tion takes the position that citizen participation is fine in general but that there are definite limits to its realistic application, primarily because citizens lack the technical competance to deal with complicated problems.18 Generally, this has been the position or attitude of urban planners who have traditionally conceived of themselves as experts who know what is best for urban areas and the local communities within them. However, this position is no longer viable today because increasingly the constitutency of planners do not agree that planning is an issue for experts to resolve. An increasingly pOpular position regarding citizen participation in the planning process is that of advocacy l7See Daniel Moynihan, Maximum Feasible Misunderstanding, (New York: The Free Press, 1969). l8Powledge, gp. cit., p. 145. mi -15— planning or plural planning which essentially maintains that since any plan is the embodiment of a particular groups inter- ests, any group which has interests at stake in the planning process should have those interests articulated in the form of a plan.19 Essentially, all individuals or groups with a particular concern would have the Opportunity to be represented by a plan which would compete with other plans and planning groups, including the local public planning agency, to win political support. In its ideal form this process would give all groups, including low-income groups, a meaningful voice in their planning their future and would also force local public planning agencies to be more responsive to all the "public interests." As a result, local public planning agencies would be encouraged to produce plans within a multi-value framework. Basically, plural planning is seen as a means of combating the negative effects that increasing societal scale have had on local opportunities for participation in policy formation and also of reducing the omnisicient status of the "expert". Advocates of plural planning assume that planners in local agencies are incapable of broadening their generally middle-class orientation and consequent alliance with those interests at the top of the social structure to include the interests of the lower classes unless all interests have an institutionalized access to policy makers. 19Lisa Peattie, "Reflections of an Advocate Planner" in Urban Government, Edward C. Banfield, ed., (New York: The Free Press, 1969) p. 557. V" 'IJ' -16- Nature Of Citizen Participation Participation in the planning process should be institu- tionalized in a country such as the United States which prides itself upon its democratic institutions, with participation beginning with the planning process itself. However, in reality citizen participation is not common in most important institutions in the country. Although there are examples of apathy or indifference Of citizens when they are given the Opportunity to participate in policy making, many times appar- ent apathy can be attributed to failure of communications.20 Arthur Hillman, upon examing large organizations in reference to internal democracy or participation of its members, noted that an organization passes through an evolutionary process, beginning with vital memberships ready and eager to assert their VieWpoints, soon developing "leadership" after which meetings no longer encourage expression by members since almost everything is referred to committees and as a conse- quence general member interest declines and attendance drops.21 Hillman characterizes participation as partly a habit and also a matter of skill as well as an avenue of self expression. He lists a number Of reasons or motives for participation: civic pride "social consciousness" power in getting along and manipulating people resentments and grievances outlet for energy desire for prestige ONUIIbUJNH 20Loring, op. cit., p. 2. 21Arthur Hillman, Community Organization and Planning (New York: MacMillan, 1950), p. 193. L) -17- 7. keeping pace with family or peers 8. need or contacts Some of the reasons why people do not participate according to Hillman include: . lack of time, energy, money . fear of losing job . sense of futility or alienation . reluctance to "st%ck neck out" . lack of knowledge 2 Ul-bUJNl-J As governmental responsibility, especially at the federal level, for the control, coordination and functioning Of various aspects of society has increased, many instances can be found of various individuals or interest groups whose goals and desires have conflicted with the programs and pro- posals of the government. Although increased conflict is natural when one increases the size of the constituency involved in various issues to include the whole nation, pro- cesses have not been evolved to include various heterogeneous interests into policy making. As a result, increasingly vocal Opposition has been voiced from the local level concerning many projects planned from the top, ranging from highways to urban renewal. Protest has been particularly pronounced con- cerning decisions made by highway planners in reference to locating urban freeways. Although many highway critics are now advocating the total exclusion of freeways from large cities, highway planners have generally continued to be insensitive to the values and interests of many groups. Considerable debate has occurred concerning what the role and impact of the citizen should be upon route locations in urban 221bid., p. 199. -18- areas. Many professionals contend that it is impossible to please everyone, especially with an issue as controversial as urban freeways and that citizens are not able to understand the SOphisticated techniques and processes which are used tO determine locations. While generally it is true that citizen protest is aimed at the specific destruction Of their homes, businesses and community by proposed highway plans rather than generalities and philosophies concerning urban transportation, the position of many top officials who view protestors as "well-meaning people but in the nature of things, untrained in these problems, concerned with parochial interests, unable to see the big picture",23 is not totally justified because it is doubtful whether highway planners themselves see the "big picture" of inter-relating community systems. Citizen Participation and Urban Renewal The paternalistic attitude Of highway planners toward those groups and individuals most directly affected by their plans has also been quite pervasive in the Urban Renewal Program. Citizen participation in renewal has often been viewed as a product rather than a process as evidenced by the "rubber stamp" function of many citizen advisory committees.24 An examination of the renewal process, especially in its earlier stages, reveals quite clearly that major segments Of the community were being ignored in the planning process and 23Jane Jacobs, The Death and Life of Great American Cities, (New York: Vifitage Books, 1961), p. 338. 24Shirley Chisholm, "Planning With and Not For People", Planning 1970, American Society Of Planning Officials, p. 2. u“ -19- that renewal plans were visible evidence that the government was representing only certain powerful interest groups. The concept Of citizen participation in connection with urban renewal has undergone a steady change since the incept of the program in 1949. In 1954, the Housing and Renewal Act of 1949 was amended to require a Workable Program in order for a community to be eligible for renewal funds. The program included as one Of its components a stipulation for citizen participation. However, the nature of early renewal programs, which tended to emphasize clearance, was not really compatible with citizen participation, at least not at the neighborhood level. Consequently, citizen participation took the form of broad, city-wide citizen advisory groups which were usually not necessarily representative and usually composed Of major community leaders. These advisory groups generally did not take an active part in the decision-making related to the renewal process but rather were usually used to legitimize decisions already determined by the municipal administration. Of course, there were limits to the extent of which the advisory committees would act as rubber stamps for the city administration. For instance, in New Haven the citizens advisory council would not accept any proposal and as a result people influential in urban renewal were constantly trying to shape their proposals to be compatible with the attitudes and interests of the power sources of the community. 25 25Thomas A. Flinn, Local Government and Politics, (Glenview, Illinois: Scott, Foresman and Co., 1970), p. 130. -20- However, many times citizen participation in the renew- al process was completely ignored. Various studies have shown that residents in prOposed renewal areas Often times do not understand the program or its ramifications.26 This situation is natural in the early stages of any new program, particularly when many Of those affected are lower income groups who usually have less access to information and other resources. But in many instances, there was a conscious effort by municipal officials to withold information about renewal projects and ignore requirements of citizen participation. There are several reasons why municipal Officials were able to disregard, to a large degree, federal requirements for participation. Many mayors who were committed to renewal programs found it expedient to plan renewal projects from the top without input from the grass roots. The coalition which usually developed among pro-renewal forces, consisting of planners, mayors, businessmen, and real estate interests, was Often a very pragmatic relationship. With the decline of machine politics, generally weak party organizations and other parts Of city government usually unreliable, municipal executives often used urban renewal to gain support Of city- wide resources and thus obtain the power necessary to govern. This situation required that the local government produce tangible results from the renewal programs which could usually 26Scott Greer, Urban Renewal and American Cities, (New York: Bobbs-Merrill Co., Inc., 1965), p. 38—40. -21- be accomplished by limiting potential conflicts and delays 27 Thus, by attempting to limit in implementing the program. the constitutency involved in renewal decisions by planning secretly, for instance, demolition plans could be kept from the public until ready for implementation, thus eliminating the formation of an organized Opposition by those citizens affected by the plans. Community participation at the local level was usually seen by local municipal officials as pro- viding local residents the opportunity to organize in opposi- tion of Officially sanctioned plans. Since renewal plans Often were prepared from the perspective of influential community leaders or systems, and often involved clearance, it was reasonable to expect those local residents affected by the plans to protest. Although municipal Officials could attempt to plan with neighborhood residents, this unfortunately is a lengthy, expensive process, the outcome of which is often unacceptable to local government and those community systems which influence it. Another reason why municipal Officials were able to plan without substantially involving local citizens was that in the early history Of the Urban Renewal Program, particularly the Federal Urban Renewal Administration was equally anxious to see the renewal program a success for reasons of organiza- tional self-maintenance.28 Therefore, both the Urban 27Langley Carleton Keyes, The Rehabilitation Planning Game, Cambridge: MIT Press, 1969), p. 5. 28Greer, Urban Renewal and American Cities, op. cit. p. 97. -22- Renewal Administration and the local municipalities became interdependent and were under pressure to produce results. Consequently, the URA had a tendency to overlook the Workable Program requirements dealing with citizen participation, since they also perceived participation as a barrier to the imple- mentation of renewal programs. As a result, municipal Officials often developed the strategy of co-Opting major power sources in the community by enlisting them to join citizen advisory committees and then merely accepted other support Wherever it was offered. Although many mayors undoubtedly benefited from early renewal programs, the alliance that was necessary and the procedures that were employed to implement urban renewal clearance programs eventually led to a very untenable position for many municipal executives. As the ramifications of many of the urban renewal prOgrams became evident, such as the large scale destruction of low-income housing, the massive displacement Of many urban residents, the destruction of viable neighborhoods and perhaps most important the increasing hostility and bitterness of many urban residents, much of the initial support for renewal began to be reassessed.29 Conse— quently, as urban renewal became increasingly involved in controversy it became clear that both the emphasis of the program would have to change to include more community input into the 29Wilson, "Planning and Politics", 92° cit., p. 179. -23- planning process at the community level. As the use of urban renewal became more and more wide- spread, community resistance groups became more SOphisticated and talented. Although resistence has been gradual and cumula- tive, local community residents have generally learned from the experience of others. Some early renewal projects have been practically immortalized for their shortcomings, such as the West End project in Boston, for instance. As a result of increasing disenchantment, the emphasis of the urban renewal prOgram changed during the early 1960's from wholesale clearance to a primary emphasis upon conser- 30 In addition, vation and rehabilitation of whole neighborhoods. priorities at the federal level were shifted from downtown renewal to neighborhood renewal. The very nature of rehabil- itation makes local participation mandatory in the renewal process. Since successful rehabilitation requires investment by neighborhood residents and a trust in the future of the area, it is not possible for the municipality to implement a plan without neighborhood approval or support. However, the general view of municipal officials toward involving citizens in the planning process in a meaningful way has remained highly paternalistic, usually not approaching shared decision making. 30Keyes, gp. cit., p. 5. -24- Renewal in New Haven The relationship of citizen participation and urban renewal and their evolution can clearly be seen in the exper- ience Of New Haven, which under the leadership of Richard Lee develOped what was generally regarded as one of the most successful renewal programs in the country. Many studies have been done on New Haven and much has been written about the renewal program. However, after a riot or racial disturbance in New Haven in the summer of 1967, the city which was Often proclaimed a "model city" and which one critic proclaimed would be America's first slumless city, was again the subject of inquiry but of a different nature.31 Studies were now trying to determine what had gone wrong in New Haven, a city which had a renewalgrogram since the early 1950's and had received more federal funds per capita than any city in the country. Criticism of New Haven's program came from several sources, one Of which, The National Advisory Commission on Civil Disorders, stressed the fact that "...well intentioned programs designed to respond to the needs of ghetto residents were not worked out and implemented sufficiently in cooper- ation with intended beneficiaries." The Ford Foundation reported that "it was assumed that power-plus planning, with- out the ingredient of citizen participation, would lead to success - an assumption more valid five years ago than today...32 Jeanne R. Lowe, Cities in a Race with Time, (New York: Vintage Books, 1967), p.4409. 2 Powledge, 22- cit., p. 138. y" -25- Generally, Mayor Lee and his planners had developed the standard forms of citizen participation involving a coalition of business and community leaders representing those community systems which controlled the most important resources in the city. This group acted as supporters of the mayor rather than social action organizations representing the varied interests of the general population. Neither the city-wide community advisory council nor the more locally oriented resident ad— visory councils and neighborhood councils were delegated any formal powers and they gained none through their own efforts.33 Thus, while a facade of citizens organizations had been devel- Oped, in reality the renewal process was quite authoritarian in nature. Lee was able to use renewal to build a substantial power base in New Haven that enabled him to become the dominant leader and there is every indication that he was not willing to share his power through democratic decision-making processes. Renewal in Boston The urban renewal program in the city of Boston, on the other hand, stressed "planning with people" since its inception in the early 1960's under the administration of John Collins. Since Boston's program got off to a late start in the 1960's, discounting the West End project which was essentially a one shot affair by a previous administration, it had the Opportunity to learn from the mistake of others. Like Lee in New Haven, John Collins staked his political future 33Ibid., p. 139 -26- on urban renewal and used the program to build a power base within the city by uniting the business community and govern- ment interests.34 The Boston program emphasized conservation and rehabilitation of urban neighborhoods and planning was considered "the art of the politically feasible". Neighbor- hood plans were developed in conjunction with local interests and until a plan was agreed upon by the neighborhood it was not adopted. Neighborhood plans were adopted even if the planners felt that they were not necessarily the best plans for the future of that particular area or the city as a whole.35 This approach was possible because the mayor had acquired enough power to delegate some to local neighborhood organiz- ations or councils. By giving extra-legal local governments power over decision-making in matters of renewal, the mayor was actually reducing the size of the constituency involved in solving urban problems by giving a more homogeneous local— ized unit control. Of course, this can only be done by sacri- ficing both the power Of the municipal government and coord- ination of city-wide programs. Certainly, neighborhood con— trol was not complete in Boston but this was the direction Of the renewal program. Real community power or control would require community access and control of resources rather than access through the central government. Ramifications of Citizen Participation in Urban Renewal One of the important conClusions which can be drawn 34 p. 37. Greer, Urban Renewal and American Cities, op. cit., 35Keyes, 9p. cit., p. 28. -27- from the urban renewal program is that no policy or prOgram lacking pOpular agreement, support or participation can sur- vive indefinitely. Generally, the planner should not have to construct an artificial organization such as a citizens advis- ory council to represent community interests, if democratically planned change is his goal. Rather, the planner must be able to identify bona fide organization of citizens who genuinely represent a substantial part of the community or neighborhood.36 In addition, the attitude of planners is very important. The planner must sincerely believe that various community interests should participate, in a meaningful way, in developing planning policies which affect the local com- munity. Certainly, this position is not compatible with the arrogant view of many planners who feel that they know what is best for the community and who consider popular participation a time-consuming waste of money which can be circumvented by public relations gimmicks.37 Alan Altshuler has commented that the "most serious threat to planning success has been the fear of governmental power that pervades American society."38 Although this fear of government may have its roots in colonial America, and the relationship between Great Britain and the colonists, the increased governmental activity in American life since the 36Saul Alinsky, "Citizen Participation and Community Organization", in Strategies of Community Organization, Fred M. Cox, ed., (Itasca, 111.: FE Peacock Publisher, 1970), p. 216. 37Ibid., p. 216 38Alan Altshuler, The City Planning Process (Ithaca, N.Y.: Cornell University Press, 1965), p. 360. -28- 1930's in such areas as planning has resulted in some glaring misuses of power, particularly in terms of special benefits to privileged groups. The more apparent misuses of government power or unequal allocation of resources may be exceptions to the rule but in any case, they have tended to reinforce, with concrete examples the general feelings of distrust toward governmental power. Planners, especially, have been accused of catering to special upper-classinterests at the expense of lower classes, particularly in early renewal projects. However, planners can not be held totally responsible since they are merely one component in the community power structure - and usually not a very influential one. However, planners must determine whether their primary responsibility is to the public interest, composed Of the totality of different and inter-relating community systems and/or to the well- organized constituency which is usually both the most coher- ent, visible and powerful in the community.39 Only when the planner determines that his role should be that of an advocate of democratically planned change will there be a possibility of integrating planning, citizen participation and the community power structure in a way that guarantees or institutionalizes meaningful community input into the planning process. In addition, the relationship Of the planning process and citizen participation to the community decision making process and community power structure is very important to determine the possibilities and ramifications of shared 39Altshuler, gp. cit., p. 360 -29- decision-making which is implied by meaningful citizen participation. Planning, Participation and Communiterower Meaningful citizen participation in the planning process would seem to depend heavily upon the political effectiveness of the urban planner as a participant in community decision making. Although the planners' importance may be accepted in urban politics, this does not necessarily mean that he is actually influencing policy making.40 Consequently, while a planner may be dedicated to develOping a demOcratic community planning process, he must be able to work within the established political framework of the geographicalcommunity, otherwise participation in the planning process will likely be an empty exercise. If the planner is not able or willing to work within the existing political framework, the only alternative if the planner desires to be effective, is to attempt to alter or change that framework. Citizen participation in the planning process is an issue today, not because Of the lack of rational planning or weakness Of central leadership, but because Of inequitable distribution Of power among the community systems supporting 41 ‘Generally, planners have had a rather certain values. limited influence upon community decision—making partly because of a negative attitude Of planners toward political 40Francine F. Rabinovitz, City Politics and Planning, (New York: Atherton Press, 1969). p. 6. 41David M. Austin, "Influence of Community Setting on Neighborhood Action," in Neighborhood Organization for Community Action, (New York: National Association of Social Workers, 1968), p. 78. 4'. -30- involvement but also because Of the structure of the politico— economic system in America. Therefore, in a heterogeneous society with varying values, goals, and Objectives, such as the United States, different segments Of society have differ— ing degrees of access to power and ability to apply power in situations of negotiation and conflict. Lower socio—economic community systems usually have the least power and consequently their values and goals are Often neglected and ignored. Al— though a planner may plan comprehensively within a multi—value framework, his access or relationshnpto community power will largely determine the success of implementing plans, partic- ularly those parts Of a plan which are not Of either direct or indirect benefit to the community power systems. Nature of Community Power Structure. There has been for the last twenty years considerable controversy over the concepts, methodology and findings related to community power structures or systems. The basic issue has been whether or not the urban community is characterized by a unified and enduring heirarchy Of power or by a more fluid, constantly changing system which can differ substantially from issue to issue. It is important for a planner to under- stand the nature Of community power since this will influence strategies for participation. Floyd Hunter, in his book Community Power Structure, was perhaps one Of the most influential advocates Of the first position which has been referred to as the elite model.42 42Floyd Hunter, Community Power Structure (Chapel Hill, N. C.: University Of N.C. Press, 1953). -31- Hunter based his conclusions on a study he conducted in Atlanta during the early 1950's. He developed the "Reputa- tional Method" of determining community power which is done basically by securing lists of potential power sources such as leading civic, professional and fraternal organizations and business leaders who are then rated by "judges" as to their influence in local decision-making. Hunter found that there was a high consensus regarding the top leaders of the commun- ity which in effect formed a nucleus of economic and political power. The people from this nucleus formed pyramids of power, the personnel of which changed depending upon what needed to be done at a particular time and who had the necessary resources. Admission to the circle of decision-makers depended primarily upon a man's position in the business community rather than social prestige or wealth. In a community with an "elite" power structure, the ability Of the ordinary citizen to significantly influence or control his environment or community especially in a large diverse urban area would be negligible. Generally, by its very nature, a ruling elite constitutes a very small proportion of the community which is not representative in social terms of the larger community. In addition, an elite is usually largely made up of middle and upper class peOple who possess the skills and qualities required for leadership and are subject to relatively little influence from the rest of the community because of a decisive control of resources.43 43Robert Presthus, "Community Power Structure" in Strategies Of Community Organization, op. cit., p. 110. -32- However, in a community with a largely homogeneous population the ruling elite may adequately reflect the values and goals of the general population. Critics Of the supposition that public policy making in urban areas is either directly or indirectly dominated by an elite, have questioned Hunter's methodology in particular and his concept of a single power center in general. His reputational technique has been criticized for predetermining the study results. Those who believe there are multiple centers of power contend that community power centers are issue oriented and consequently are constantly changing. Robert A. Dahl in his book Who Governs?, based on studies conducted in New Haven, outlined several methods Of assessing relative influence within a community such as studying changes in socio-economic characteristics of incumbents in city Offices to determine if any large historical changes have occurred in sources of leadership; examining sets Of "decisions" in different "issue areas" to determine patterns of influence; isolating a partic— ular socio-economic category and determining the nature and extent of participation of this group in local affairs; as well as other methods dealing with random samples, and studies of voting patterns. 44 Dahl points out that few people have direct influence on choices made within the community including most citizens. 44Robert A. Dahl, Who Governs? (New Haven: Yale Univer- sity Press, 1961), p. 330-331. -33- However, he feels that indirect influence through the election process is a very important determinant in decision-making. Real or imagined preferences of the citizens are kept in mind by leaders through sub-leaders who represent various con- stituencies, according to Dahl. Dahl found that there was a specialization Of influence with persons influential in one area but not in others. Dahl perceived five possible patterns of leadership. The first was the covert integration by economic notables or the elite model which he rejected for New Haven. The execu- tive centered "grand coalition Of coalitions", the coalition of Chieftains, independent sovereignities, spheres of influ- ence and rival sovereignties were the other four.45 He found that different patterns formed for different issues. Dahl noted a great gap between the acutal and potential influence of citizens because for various reasons they do not fully use their political resources. On the other hand, the politician generally has the ability to gain more influence than others largely because he has the motivation to learn and generally Spends more time acquiring the necessary skill. In a community characterized by a pluralistic decision— making process, there is the Opportunity for individual as well as organizational access into the political system and individuals can actively participate through numerous differ- ent organizations. In addition, a pluralistic community 451bia., p. 184. -34- there is generally an understanding concerning the "democratic creed". 46 Consequently, in a decision-making process such as the one described by Dahl, community participation in gen- eral or organized in response to a particular issue would seem to have the potential to effect the decision-making process, perhaps by merely indicating individual or group preferences to community leaders. However, the lack Of access to resources, apathy or inadequate knowledge Of the decision-making process would generally limit the direct influence Of many potentially effective individuals or groups. Currently, what has been termed the "diffused influence model" of community influence is currently in vogue. This model concludes that the city's systems Of influence of power are composed of numerous groupings or elites Of power and influence based upon economic, business, political or civic interests. Each unit is a small network Of power and influ- ence tied tOgether by common interest which is usually limited in terms Of the total range of interests of the local com- munity.47 While a particular community power system may seem to be the most consistent with reality, it is more logical to consider the elite and pluralistic models as opposite end points Of a continuum. "The continuum might range from a very tight power elite to a community so loosely integrated as 46Presthus, gp. cit., p. 109. 47Lawrence D. Mann, "Studies in Community Decision— Making" in Readings in Community Organ. Practice, op. cit., p. 69. -35- to be characterized by disarray and violence in its decision- making."48 This framework allows for numerous types and var- ieties of community decision-making systems but is not really very helpful in determining or predicting and categorizing community decision making. However, it is questionable whether research to date on community decision-making is adequate to determine a typical pattern for American communities, if indeed such a pattern exists. Participation and the Decision-Making Process Generally, in order to determine how much various community systems affect the decision-making process in a local community, it is necessary to study the variables that enter into a particular decision relating to a particular issue. The decision—making process is usually quite complex and multi-stage in character. Consequently, the action of an individual or group at a particular stage does not necessarily mean that he has influence. It is possible that those which legitimize a particular decision may have less influence on that decision than other less visible forces. For instance, one thing that is common to all power structures is that persons not elected to office play very considerable parts in the making of many important decisions.49 Decision-making is Often unsystematic, therefore, it is necessary to consider carefully the roles played by potential or presumed decision makers or community systems. 48Rabinovitz, pp. cit., p. 18. 49Banfield and Wilson, pp. cit., p. 244. -36- The importance Of a decision is related to the degree that it represents a challenge to the dominant community systems who determine the "rules of the game". There are several criteria for assessing the importance of a particular decision, such as the number Of peOple affected by the outcomes, how many different kinds and how many community resources are distributed by the outcomes, and how drastically present community resource distributions are altered.50 Influence in the process of decision-making is largely determined by a person's access to remources and the belief of relevant others that such access exists. Among the most important social resources are those which result from an institutionalized status or Office.51 Besides the authority which such a position delegates, other resources accrue to such a position such as information, growth Of a network of friendship and mutual cooperation with others. These resources can be directly used to sanction either positively or nega- tively and thus directly control the outcome Of a decision. Community decision-making is characterized by varying degrees Of community participation in major decisions and competition among the elites who play a direct, initiating role in them.52 Consequently, the planner should be aware 50Willis D. Hawley, The Search for Community Power, Englewood Cliffs, N.J.: Prentice-Hall, 1968), p. 212. 51Ronald Nuttall, "On the Structure of Influence", in Community Structure and Decision—Making, Terry Clark, ed., (San Francisco: Chandler Publishing Co., 1968), p. 353. 52 Presthus, pp. cit., p. 110. -37- Of the limitations imposed upon democratically planned change as well as the most appropriate role the planner should pursue in order to implement community plans and the possibilities for changing the social system within a given community in order to redistribute power or resources more equitably among various community systems. If a planner Opts for work- ing within the existing community social structure, it is essential that the planner recognizes the consequences of his actions for the total community. In some instances, such as in a cohesive community where the planner shares the values and goals Of the leadership group the role of technician might be most appropriate for plan implementation. However, this approach leaves the possibility that large groups in the community will not be represented in determining community plans. In a more fragmented community power system the planner would probably assume the role of broker or mobilizer to be most effective. It is interesting to note that the more fragmented a community decision-making system is, which indicates that resources are more widely distributed with perhaps no community system in firm control, the lower the potential for program output from the planner and the more skillful the planner must be in maintaining a complex set of alliances.53 Consequently, consensus planning is most difficult in a politically fragmented, heterogeneous community and perhaps the easiest in a homegeneous or cohesive community. 3Rabinovitz, pp. cit., p. 79. -38- Planning has been defined as the art of the politically feasible. In most instances the best way for a planner to p/' secure support at the solution level is to secure full parti- cipation at the problem-defining and decision-making level. The planner must determine what community resources are necessary to implement a program with a given political frame- work. Usually the support Of residents affected by a partic- ular plan is an essential resource and a prerequisite for Obtain- ing official acceptance. However, it is questionable whether or not the conditions necessary for successful community engage- ment in planning are really tolerable to the administrative, political and professional establishment who must initiate democratic planning processes - which imply shared decision— making. The actual decision-makers in any local community, although varied in social background, comprise a very small, highly selected proportion Of the adult population. "These groups whom the city at present serves the best- the well-to- do, the professionals, the highly educated, the suburbanites - predominate (in decision-makers)," and most local resources allocated by community decision-makers without intervention by the state or federal governments are used to reinforce and further entrench the priviledged position of decision-makers.54 Consequently, it is doubtful if the decision-makers Of a particular community, especially one with serious inequities in the allocation and distribution of resources, would will— 54Bloomberg, pp. cit., p. 114. _39_ ingly give up or share their control of community resources. The Urban Planner as a Community Organizer Successful community change or reform by a planner re- quire strategies that are largely determined by the nature of the community power system. The most difficult community situation in which to initiate democratically planned change is when there is a government controlled by an economic elite.55 Peaceful reform via politics may not be possible because Often times, elected politicians are committed to the wishes Of the upper class controllers. Two possible avenues for change are gradual action of outside forces or revolutionary seizure and transformation.56 It is essential for a planner to identify who the community decision makers are and to determine how they can be influenced. By concentrating on vulnerable points of the decision-makers, pressure can be applied in the most strategic areas. The organization of the disenfranchised in the community with united action to- ward specific Objectives could have the effect Of unstruct- uring the decision-making elite. However, since a planner is usually one Of the resources controlled by the elite, even if indirectly, it is likely that any overt action by a planner which could be construed as harmful to the privileged posi- tion of community leaders would result in termination of the planner's employment. 55Dawn Day Wachtel, "Structures Of Community and Strategies for Organization", in Strategies Of Community Organization, pp. cit., p. 179. 56 Ibid. -40- On the other hand, in a community with a pluralistic power system, it is much easier for the planner to organize for change and reform because leadership can easily be located. One method for the planner to pursue is the enlightenment of potential power groups Of new ideas and possibilities and the development of a greater awareness Of their strategic position within the power system. In a pluralistic system, it is relatively easy to form powerful coalitions with little effort.57 However, alienation of certain power groups could prove disastrous for the planner depending upon his position within or in relation to the government structure. Generally, the planner's role in community planning should include both the initiation of plans at the local level with community support as well as the articulation and implementation of community oriented desires. Initially, the planner must develop an awareness on the part of the community of the opportunities for meaningful input into planning for the neighborhood. This should be accomplished by seeking out representative organizations within the commun- ity. HOpefully every person should have the Opportunity to be represented either as a member of a group or individually. Saul Alinsky has develOped the following "tests" to apply to determine the real character of organizations pro- fessing to represent the community: 1. .Is the program Of the organization broad enough so that it attracts and involves 57Ibid., p. 181. -41- most Of the groups in the community? 2. Is the program specific, immediate and feasible? 3. DO they understand the nature of power and their reasons for being? 4. What kinds of words are used by the leadership? 5. What is the attitude Of the prevailing dominant institutions Of the status quo to this community organization? 6. What is their record on controversy? 7. Search its statistics. 8. Who are its leaders? DO they have a following? 9. Is the membership actual, or make-believe? 10. Does the organization Operate on a realistic basis, recognizing the prime significance of self—interest as a motivating force? 58 In the process Of determining representative groups, the planner must familiarize himself with the nature Of the community in terms Of its perceptions Of the outside world and itself. Such variables as community habits, attitudes, interests of people, situations of interaction, and "rules of the game" which regulate behavior are all important be- cause they underlie the formal structure Of the community.59 It is essential to know who are the controllers of various community systems since these peOple will control the resources necessary to implement community plans. Consequently, know- ledge Of means Of access tO resources and the potential Of changing or altering the management of these systems will determine if the planner will be able to initiate democratically 58Alinsky, pp. cit., p. 218—219. >59Hillman, pp, cit., XVI. -42- planned change. Community plans that are democratically planned will not necessarily be successful. The COOperation of community systems with the needed resources is critical and usually requires that these groups will be in a position to gain from proposed plans. If the systems that will benefit from community plans do not have the necessary resources, then chances are that the plans will not succeed. Although in a democratic framework the systems affected by a proposed plan have a right to be involved, a planner must determine whether it is possible to gain a commitment from dominant elements of the community whose resources are needed. Obviously, depending upon the distribution Of power, some community plans may involve an unacceptable redistribution of resources regardless of how democratically a particular plan might have been determined. Consequently, a planner must develOp strategies which will chart paths of least resistance toward the objectives which are determined or agreed upon democratically by representative community bodies. It must be realized that citizen partici- pation in the planning process will not necessarily result in plans suitable to the power structure, particularly if the power system is undemocratic in nature. The planner must, therefore, have a thorough knowledge of the systems' inter- relationship and resource distribution Of a community to determine what changes are possible within a given framework as well as how to manipulate power relationships to implement community plans. -43- Conclusion Although the United States society is characterized by a democratic political structure and ideology, it is clear that democratic social processes are relatively rare. "Shared decision-making, control through consent, is probably most common in the kinship and friendship groups but it is hardly transmitted through them to larger entities." 60 Most institutions which have the greatest influence upon the lives of members of the community are highly bureaucratized and offer very little Opportunity for individual participation. Within this general framework the planner must attempt to coordinate and help develop plans for the future structure of human settlements. The planner must continually attempt to develop plans and processes which have as their underlying goal the equitable redistribution of community resources. Shared decision—making in planning and more importantly in government will insure that various interests are represented when resources allocation is determined. The planner must strive to represent change in communities where resources are unequally distributed and only support the status quo when it represents the democratically determined plans of the community. 6OGreer, The Emerging City, pp. cit., p. 102 -44- BIBLIOGRAPHY Alchin, Edmond A. "Change and the Nature Of Contemporary Community." East Lansing: Institute for Community Development and Services, Michigan State University, 1970. (Mimeographed) Altshuler, Alan A. The City Planning Process: A Political Analysis. Ithaca, N.Y.: Cornell University Press, 1965. Banfield, Edward C. (ed.) Urban Government: A Reader in Administration and Politics. New York: The Free Press, 1969. Banfield, Edward C. and James O. Wilson. City Politics. New York: Vintage Books, 1963. Banfield, Edward C. and Martin Meyerson. Politics, Planning and the Public Interest. New York: The Free Press, 1955. Cox, Fred M., John L. Erlich, Jack Roghman and John E. Tropman. 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