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UBC Theses and Dissertations

Pressure and context : the genesis and development of power-sharing policies with neighbourhoods in neighbourhood… Hollick-Kenyon, Susan 1995

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PRESSURE AND CONTEXT: THE GENESIS AND DEVELOPMENT OF POWER-SHARING POLICIES WITH NEIGHBOURHOODS IN NEIGHBOURHOOD PLANNING by SUSAN HOLLICK-KENYON B . A . , The U n i v e r s i t y of B r i t i s h Co lumbia , 1979 A THESIS SUBMITTED IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF MASTER OF ARTS i n THE FACULTY OF GRADUATE STUDIES Schoo l of Community and R e g i o n a l P l a n n i n g We accept t h i s t h e s i s as conforming to the r e q u i r e d s t a n d a r d THE UNIVERSITY OF BRITISH COLUMBIA December 19 95 ® Susan H o l l i c k - K e n y o n , 1995 In presenting this thesis in partial fulfilment of the requirements for an advanced degree at the University of British Columbia, I agree that the Library shall make it freely available for reference and study. I further agree that permission for extensive copying of this thesis for scholarly purposes may be granted by the head of my department or by his or her representatives. It is understood that copying or publication of this thesis for financial gain shall not be allowed without my written permission. DE-6 (2/88) ABSTRACT D e s p i t e i n t e r e s t i n mean ing fu l c i t i z e n p a r t i c i p a t i o n and i n c o o p e r a t i o n w i t h community o r g a n i z a t i o n s i n p l a n n i n g , l o c a l governments g e n e r a l l y work h a l t i n g l y , s p o r a d i c a l l y , and o f t e n i n e f f e c t u a l l y w i t h neighbourhoods and ne ighbourhood o r g a n i z a t i o n s . L i t t l e p r e v i o u s work has examined the f a c t o r s which a f f e c t the a d o p t i o n o f p o w e r - s h a r i n g d e c i s i o n - m a k i n g models or s t r u c t u r e s between ne ighbourhood or community o r g a n i z a t i o n s and l o c a l governments . A s e l e c t e d l i t e r a t u r e rev iew suggests p a r t i c i p a t i o n i s important to f u n c t i o n i n g d e m o c r a t i c a l l y i n r e p r e s e n t a t i v e systems, and t h a t p o w e r - s h a r i n g forms of c i t i z e n p a r t i c i p a t i o n are most m e a n i n g f u l . I t s i t u a t e s ne ighbourhoods and ne ighbourhood o r g a n i z a t i o n s as u n i t s c a p a b l e o f enhanc ing d e m o c r a t i c f u n c t i o n i n g , i f p r o p e r l y r e s o u r c e d and s u p p o r t e d . T h i s t h e s i s c o l l e c t e d da ta from a rev iew of documents and from f o u r t e e n i n t e r v i e w s w i t h key i n f o r m a n t s i n v o l v e d w i t h the i n t r o d u c t i o n of a p o w e r - s h a r i n g p o l i c y on ne ighbourhood p l a n n i n g i n S e a t t l e , Washington . The f i n d i n g s i n d i c a t e t h a t i n S e a t t l e ' s case , f o u r f a c t o r s combined to l e a d to the p o l i c y ' s a d o p t i o n : (1) the presence o f f u n c t i o n a l ne ighbourhood o r g a n i z a t i o n s , (2) a conduc ive l o c a l p o l i t i c a l c o n t e x t , (3) a p p l i c a t i o n o f p r e s s u r e , and (4) i n c l u s i o n o f e lements i n the p o l i c y a d d r e s s i n g p o l i t i c a l needs and the q u a l i t y p l a n n i n g i m p e r a t i v e s o f i n c l u s i v e n e s s and b a l a n c e . i i These f i n d i n g s suggest t h a t c i t i e s b e n e f i t when community (of many k inds) i s f o s t e r e d , a conduc ive contex t i s c r e a t e d , ne ighbourhood and community groups a p p l y p r e s s u r e e f f e c t i v e l y , and p l a n n i n g p o l i c y i s d e v i s e d which engenders b o t h i n c l u s i v e n e s s and r e a l i s m . A d i s c u s s i o n o f the s i g n i f i c a n c e and s i x s u g g e s t i o n s f o r f u r t h e r r e s e a r c h c l o s e the t h e s i s . TABLE OF CONTENTS ABSTRACT i i TABLE OF CONTENTS i v LIST OF FIGURES ' v i ACKNOWLEDGEMENT v i i 1. INTRODUCTION 1 1.1 Purpose 1 1.2 Assumptions 1 1.3 Thesis Outline 2 2. NEIGHBOURHOOD PLANNING IN THE CONTEXT OF DEMOCRACY, CITIZEN PARTICIPATION, AND POWER-SHARING 4 2.1 Democracy, P a r t i c i p a t i o n and Power-Sharing 4 2.1.1 Democracy and P a r t i c i p a t i o n 5 2.1.2 P a r t i c i p a t i o n and Power-Sharing 6 2.1.3 The L o c a l L e v e l 10 2.2 Neighbourhoods and Neighbourhood Organizations 11 2.2.1 Neighbourhoods 12 2.2.2 Neighbourhood O r g a n i z a t i o n s 13 2.3 Democratic Considerations 14 2.3.1 R e p r e s e n t a t i o n and B a l a n c e 15 2.3.2 A c c o u n t a b i l i t y and Re s p o n s i v e n e s s 18 2.4 Effectiveness Considerations 19 2.4.1 R e s o u r c i n g and Support 2 0 2.4.2 A C i t y w i d e System 21 3. THE NEIGHBOURHOOD PLANNING POLICY OF THE CITY OF SEATTLE 23 3.1 Features of the Poli c y 23 3.2 Foundation f o r the P o l i c y 25 3.2.1 The Framework P o l i c i e s 26 3.2.2 The Comprehensive P l a n 2 6 3.2.3 The Neighborhood P l a n n i n g Element 27 3.2.4 Some Implementation To-Date 28 3.3 Genesis of the Poli c y 30 3.3.1 H i s t o r y o f F e d e r a l Involvement i n Neighbourhoods 30 3.3.2 H i s t o r y o f Neighbourhood P l a n n i n g i n S e a t t l e 32 3.3.3 P i v o t a l C i t y of S e a t t l e I n i t i a t i v e s 36 3.3.4 The Growth Management A c t 38 i v 4. RESEARCH METHODOLOGY 42 4.1 Research Overview 42 4.2 Interview Research 43 4.2.1 Q u a l i t a t i v e M e t h o d o l o g i e s and I n t e r v i e w i n g 43 4.2.2 Sampling 44 4.2.3 The I n t e r v i e w Guide Approach 4 6 4.3 Limitations and Benefits 4 8 5. INTERVIEW FINDINGS AND ANALYSIS 4 9 5.1 Neighbourhoods and Their Organizations Are Present and Functional 52 5.1.1 I d e n t i f i a b l e and I d e n t i f i e d - W i t h Neighbourhoods 52 5.1.2 P r e s e n c e and A c t i o n s o f Neighbourhood O r g a n i z a t i o n s 54 5.1.3 A C i t y w i d e Phenomenon 57 5.2 Context i s Important 59 5.2.1 C l i m a t e a t C i t y H a l l 59 5.2.2 C o n t r i b u t o r s t o a Conducive C i t y H a l l C l i m a t e 61 5.2.3 P o l i t i c a l C u l t u r e and P o l i t i c s 68 5.3 Pressure i s Ess e n t i a l 72 5.3.1 Neighbourhoods Request 72 5.3.2 Growth Management L e g i s l a t i o n C o n f i r m s 75 5.4 A Power-Sharing Pol i c y Develops 7 6 5.4.1 P o l i t i c a l Needs a re Met 77 5.4.2 But Does i t Share Power? 80 5.4.3 I n c l u s i v e n e s s and t h e Essence o f P l a n n i n g 83 6. CONCLUSIONS 87 6.1 Further Research 87 6.2 Significance 8 9 6.3 Conclusions and Implications 90 APPENDICES 97 BIBLIOGRAPHY 115 v LIST OF FIGURES F i g u r e 1 A r n s t e i n ' s Ladder o f C i t i z e n P a r t i c i p a t i o n 7 ACKNOWLEDGEMENTS I would l i k e to acknowledge the support o f the f o l l o w i n g p e o p l e : A l a n A r t i b i s e , Penny G u r s t e i n , Brock H e n d r i c k s o n , Gary Lawrence, Coro S t r a n d b e r g , and the , f o u r t e e n peop le who were i n t e r v i e w e d . v i i 1. INTRODUCTION Why would elected governments share with c i t i z e n s the power they have obtained with such d i f f i c u l t y ? Rene P a r e n t e a u , P r o f e s s o r o f P l a n n i n g i n t e r e s t e d i n p u b l i c p a r t i c i p a t i o n 1 1.1 Purpose T h i s t h e s i s examines t h e s h a r i n g o f power between l o c a l governments and community o r g a n i z a t i o n s , and t h e development o f p o l i c y t o su p p o r t i t . I t a n a l y z e s t h e case o f t h e C i t y o f S e a t t l e ' s Neighbourhood P l a n n i n g P o l i c y , a m u n i c i p a l government p o w e r - s h a r i n g p o l i c y , t o d i s c o v e r t h e reas o n s f o r t h i s P o l i c y ' s g e n e s i s , development and i n t r o d u c t i o n . The purpose o f t h i s t h e s i s i s t o u n d e r s t a n d t h e f a c t o r s w hich l e a d l o c a l governments t o adopt p o w e r - s h a r i n g p o l i c i e s w i t h t h e i r community o r g a n i z a t i o n s . 1.2 Assumptions T h i s t h e s i s o r i g i n a t e d from r e c o g n i t i o n o f e l e c t o r a l democracy as an a c c e p t a b l e (or a t l e a s t p r e v a l e n t ) p o l i t i c a l form, i n which c i t i z e n p a r t i c i p a t i o n i s i n t e g r a l i n t h e o r y , though l i m i t e d and o f t e n i n e f f e c t u a l i n p r a c t i c e . The i d e a t h a t i t i s c h a l l e n g i n g and demanding t o b a l a n c e r e p r e s e n t a t i v e democracy, as p r a c t i s e d , w i t h t h e i d e a l s o f democracy, i n t h e o r y , i s c e n t r a l . C i t i z e n p a r t i c i p a t i o n , when e f f e c t i v e , i s x1988, p. 63. 1 1. I n t r o d u c t i o n 2 taken as an ex tremely v a l u a b l e c o n t r i b u t o r to maintenance o f a p p r o p r i a t e t e n s i o n and dynamism i n t h i s b a l a n c e . . The s h a r i n g o f power w i t h community o r g a n i z a t i o n s i s t aken as f a c i l i t a t i v e o f c i t i z e n p a r t i c i p a t i o n . Neighbourhood o r g a n i z a t i o n s are taken as s t r u c t u r e s i n which c i t i z e n s p r o p e r l y can and do e x e r c i s e t h e i r r i g h t and duty o f p a r t i c i p a t i o n . Neighbourhood p l a n n i n g by ne ighbourhood o r g a n i z a t i o n s i s a c c e p t e d here as one type o f c o l l e c t i v e c i t i z e n p a r t i c i p a t i o n i n p o w e r - s h a r i n g d e m o c r a t i c systems, o p e r a t i n g i n t h i s case i n the arena o f p l a n n i n g and governance at the l o c a l government l e v e l . 1.3 Thesis Outline Chapter 2 p r e s e n t s a rev iew o f l i t e r a t u r e which e s t a b l i s h e s p a r t i c i p a t i o n as i n t e g r a l to d e m o c r a t i c f u n c t i o n i n g , and i n t r o d u c e s d i s t i n c t i o n s between k i n d s o f p a r t i c i p a t i o n a c t i v i t i e s , based on t h e i r c a p a c i t y f o r s h a r i n g power. I t i n t r o d u c e s ne ighbourhoods and ne ighbourhood o r g a n i z a t i o n s as community groups which , i n the a p p r o p r i a t e environment , are capab le o f enhancing r e p r e s e n t a t i o n , b a l a n c e , and r e s p o n s i v e n e s s i n d e m o c r a t i c f u n c t i o n i n g , w i t h i n a system which r e t a i n s a c c o u n t a b i l i t y . Chapter 3 , compri sed p r i m a r i l y o f r e s u l t s o f a document rev iew, o u t l i n e s the f o u n d a t i o n f o r and major f e a t u r e s o f S e a t t l e ' s Neighbourhood P l a n n i n g P o l i c y , and summarizes the P o l i c y ' s g e n e s i s i n r e c e n t and h i s t o r i c a c t i o n s o f governments 1. I n t r o d u c t i o n . 3 a n d c o m m u n i t y g r o u p s . C h a p t e r 4 i n t r o d u c e s a n d e v a l u a t e s t h e m e t h o d s o f d a t a g a t h e r i n g f o r t h e t h e s i s , a n d e x p l o r e s i s s u e s o f q u a l i t a t i v e r e s e a r c h a n d i n t e r v i e w i n g , u s e d i n t h e o r i g i n a l r e s e a r c h . C h a p t e r 5 r e p o r t s a n d a n a l y z e s t h e i n t e r v i e w r e s e a r c h f i n d i n g s . L i t e r a t u r e a n d d o c u m e n t r e v i e w f i n d i n g s a r e i n s e r t e d t o f a c i l i t a t e a n a l y s i s . C h a p t e r 6 p r e s e n t s c o n c l u s i o n s a n d i m p l i c a t i o n s f o r p l a n n i n g , a s w e l l a s q u e s t i o n s f o r f u r t h e r r e s e a r c h , a n d d i s c u s s e s t h e i r s i g n i f i c a n c e . 2. NEIGHBOURHOOD PLANNING IN THE CONTEXT OF DEMOCRACY, CITIZEN PARTICIPATION, AND POWER-SHARING I think the decision ought to be made at the lowest possible level, consistent with being made reasonably well. J im S t r e e t , Counci lmember, C i t y o f S e a t t l e 2 T h i s c h a p t e r p r e s e n t s f i n d i n g s from a l i t e r a t u r e rev i ew which s e r v e d to i n f o r m case s tudy r e s e a r c h and l a t e r t o h i g h l i g h t and complement case , s tudy r e s e a r c h f i n d i n g s . The rev iew focused on f o u r i s s u e areas or c o n s t e l l a t i o n s o f i s s u e s : (1) the p l a c e o f p a r t i c i p a t i o n i n a democracy and of power-s h a r i n g i n p a r t i c i p a t i o n ; (2) ne ighbourhoods and ne ighbourhood o r g a n i z a t i o n s ; (3) c o n s i d e r a t i o n s f o r f u n c t i o n i n g d e m o c r a t i c a l l y ; and (4) e f f e c t i v e n e s s c o n s i d e r a t i o n s f o r ne ighbourhood o r g a n i z a t i o n p a r t i c i p a t i o n i n p l a n n i n g and democracy. 2 .1 Democracy, P a r t i c i p a t i o n , and Power-Sharing T h i s s e c t i o n s i t u a t e s c i t i z e n access t o d e c i s i o n - m a k i n g , or p o w e r - s h a r i n g , at the h e a r t o f p a r t i c i p a t i o n i n democracy. I t s f o u n d a t i o n i s C a r o l e Pateman's t h e o r e t i c a l c o n c e p t i o n o f a " p a r t i c i p a t o r y democracy ," i n which p a r t i c i p a t i o n p l a y s an i n t e g r a l r o l e i n r e p r e s e n t a t i v e systems o f democracy. I t employs Sherry R. A r n s t e i n ' s t y p o l o g y or " ladder" of c i t i z e n p a r t i c i p a t i o n to s e p a r a t e p o w e r - s h a r i n g p a r t i c i p a t o r y a c t i v i t i e s i n t e r v i e w , J u l y , 1995. 4 2. N e i g h b o u r h o o d P l a n n i n g i n C o n t e x t 5 from token and n o n p a r t i c i p a t o r y c i t i z e n invo lvement mechanisms. Canadian case s tudy f i n d i n g s about p u b l i c p a r t i c i p a t i o n i n e n v i r o n m e n t a l d e c i s i o n - m a k i n g are c i t e d t o l i n k democracy, p a r t i c i p a t i o n , and p o w e r - s h a r i n g to' the l o c a l l e v e l . C a r o l e Pateman's e x p o s i t i o n o f the p l a c e o f p a r t i c i p a t i o n i n democracy opens the s e c t i o n . 2 . 1 . 1 Democracy and P a r t i c i p a t i o n In her 1973 book, P a r t i c i p a t i o n and Democrat i c Theory , Pateman observes t h a t a number o f r e c e n t p o l i t i c a l t h e o r i s t s c o n c e i v e o f democracy i n such a way t h a t "the concept o f p a r t i c i p a t i o n has o n l y the most min imal r o l e " (1) . She deve lops a t h e o r y o f " p a r t i c i p a t o r y democracy" which i s founded on her b e l i e f i n the i n t i m a t e c o n n e c t i o n between p a r t i c i p a t i o n and democracy. She s t a t e s t h a t " for a d e m o c r a t i c p o l i t y to e x i s t i t i s n e c e s s a r y f o r a p a r t i c i p a t o r y s o c i e t y to e x i s t " (43). Her t h e o r y r e c o g n i z e s the r e p r e s e n t a t i v e system o f democracy as an a c c e p t e d p a r t o f the p r e s e n t A n g l o - A m e r i c a n p o l i t i c a l l a n d s c a p e . The t h e o r y ' s c o n t r i b u t i o n to t h i s t h e s i s i s the c o u p l i n g o f r e p r e s e n t a t i v e systems of democracy w i t h an i n t e g r a l p o s i t i o n f o r p a r t i c i p a t i o n . Pateman's c o n c l u d i n g s tatement: "We can s t i l l have a modern, v i a b l e t h e o r y o f democracy which r e t a i n s the n o t i o n o f p a r t i c i p a t i o n at i t s h e a r t " (111), c a p t u r e s the fundamental b e l i e f about the importance o f p a r t i c i p a t i o n t o democracy which u n d e r p i n s t h i s t h e s i s . 2. Neighbourhood Planning i n Context 6 The a c t u a l i z a t i o n o f p a r t i c i p a t i o n i n t o a c t i v i t i e s conduc ive to d e m o c r a t i c f u n c t i o n i n g i s c h a l l e n g i n g i n p r a c t i c e , however. Sherry R. A r n s t e i n c r e a t e d a t y p o l o g y f o r the e v a l u a t i o n o f such a c t i v i t i e s , which connects c i t i z e n p a r t i c i p a t i o n t o p o w e r - s h a r i n g . F o r A r n s t e i n , as the t y p o l o g y demonstrates , the essence of p a r t i c i p a t i o n i s the s h a r i n g o f power. 2 .1 .2 P a r t i c i p a t i o n and P o w e r - S h a r i n g In her 1969 a r t i c l e "A Ladder o f C i t i z e n P a r t i c i p a t i o n , " A r n s t e i n a c c u r a t e l y observes "that t h e r e are s i g n i f i c a n t g r a d a t i o n s o f c i t i z e n p a r t i c i p a t i o n " (217). She c r e a t e s an e i g h t - r u n g e d " ladder" or t y p o l o g y to c a t e g o r i z e t h i s range o f p a r t i c i p a t i o n a c t i v i t i e s , a c c o r d i n g to "the ex tent o f c i t i z e n s ' power i n d e t e r m i n i n g the end p r o d u c t " (218) . The concept and the r e s u l t a n t " ladder" framework a s s i s t i n d i s t i n g u i s h i n g power-s h a r i n g c i t i z e n involvement a c t i v i t i e s from those which , w h i l e perhaps s e r v i n g o t h e r v a l i d p u r p o s e s , do not c o n t r i b u t e to a " p a r t i c i p a t o r y democracy" as c o n c e i v e d by Pateman. In A r n s t e i n ' s h i e r a r c h y , t h e r e are t h r e e e v a l u a t i v e c l a s s i f i c a t i o n s which span e i g h t d e s c r i p t i v e l e v e l s . L e v e l s 1 and 2, termed M a n i p u l a t i o n and Therapy , do not f o r A r n s t e i n r e p r e s e n t p a r t i c i p a t i o n . The purpose o f these i s not t o o f f e r c i t i z e n s a c c e s s , but to "educate" or "cure" (217) . She c l a s s i f i e s these k i n d s o f r e l a t i o n s w i t h c i t i z e n s as 2. N e i g h b o u r h o o d P l a n n i n g i n C o n t e x t 7 " n o n p a r t i c i p a t i o n . " L e v e l s 3, 4 and 5, termed I n f o r m i n g , C o n s u l t a t i o n and P l a c a t i o n , a f f o r d c i t i z e n s t h e o p p o r t u n i t y t o hear and be he a r d . However, "they l a c k t h e power t o i n s u r e t h a t t h e i r views w i l l be heeded" (217, o r i g i n a l e m p h a s i s ) , as t h e y " r e t a i n f o r t h e p o w e r h o l d e r s t h e c o n t i n u e d r i g h t t o d e c i d e . " (217) These she c l a s s i f i e s as "degrees o f t o k e n i s m . " 8 CITIZEN CONTROL —I 7 DELEGATED POWER 6 PARTNERSHIP — 5 PLACATION — | 4 CONSULTATION 3 INFORMING THERAPY 2 MANIPULATION 1 ' Degrees of citizen power Degrees of tokenism F i g u r e 1. A r n s t e i n ' s Ladder o f C i t i z e n P a r t i c i p a t i o n (from P a r e n t e a u , 1988, p. 8) . L e v e l s 6, 7 and 8, termed P a r t n e r s h i p , D e l e g a t e d Power, and C i t i z e n C o n t r o l r e s p e c t i v e l y , r e p r e s e n t f o r A r n s t e i n v a l u e d models o f p o w e r - s h a r i n g , and she c l a s s i f i e s t h e s e as "degrees o f c i t i z e n power." In P a r t n e r s h i p s , "power i s i n f a c t r e d i s t r i b u t e d t h r o u g h n e g o t i a t i o n between c i t i z e n s and p o w e r h o l d e r s " (221). In D e l e g a t e d Power, " c i t i z e n s have a c l e a r m a j o r i t y o f s e a t s and genuine s p e c i f i e d power," (222) o r e l s e " s e p a r a t e and p a r a l l e l groups o f c i t i z e n s and p o w e r h o l d e r s , w i t h 2. Neighbourhood Planning i n Context 8 p r o v i s i o n f o r c i t i z e n v e t o i f d i f f e r e n c e s o f o p i n i o n cannot be r e s o l v e d t h r o u g h n e g o t i a t i o n . " (222) I n C i t i z e n C o n t r o l , c i t i z e n o r g a n i z a t i o n s have " f u l l m a n a g e r i a l power" (217). A l i s t o f some common p u b l i c c o n s u l t a t i o n a c t i v i t i e s , e v a l u a t e d a g a i n s t l a d d e r o f p a r t i c i p a t i o n c l a s s i f i c a t i o n s , i s p r o v i d e d by P a r e n t e a u . He a s s e s s e s t h e naming o f c i t i z e n r e p r e s e n t a t i v e s t o a d v i s o r y committees, and o r g a n i z a t i o n o f c u l t u r a l and s o c i a l a c t i v i t i e s , as L e v e l 1 and 2 a c t i v i t i e s , o r " n o n p a r t i c i p a t i o n " (1988:7). He c i t e s t h e most common and well-known o f p u b l i c p a r t i c i p a t i o n a c t i v i t i e s , t h e community meeting and t h e p u b l i c h e a r i n g , as l e v e l 3 and 4 "tok e n i s m " a c t i v i t i e s ( I b i d . : 7 ) . N e g o t i a t i o n o r b a r g a i n i n g o v er t h e e f f e c t s o f d e c i s i o n s a r e examples o f l e v e l 6 a c t i v i t y , t h e b e g i n n i n g o f a c t u a l c i t i z e n p a r t i c i p a t i o n o r "degrees o f c i t i z e n power" ( I b i d . : 8 ) . D e l e g a t i o n o f power t o l o c a l c i t i z e n s ' committees, c i t i z e n v e t o power, and r e s o u r c e a l l o c a t i o n t o groups a re seen by P a r e n t e a u as examples o f l e v e l 7 and 8 a c t i v i t i e s , r e p r e s e n t a t i v e o f f u l l - b l o w n c i t i z e n p a r t i c i p a t i o n , o r p o w e r - s h a r i n g ( I b i d . : 8 ) . A r n s t e i n ' s a r t i c l e a l s o i n t r o d u c e s t h r e e o t h e r i m p o r t a n t i s s u e s i n p o w e r - s h a r i n g . The f i r s t i s a r e c o g n i t i o n t h a t a b s o l u t e c i t i z e n c o n t r o l i s never p o s s i b l e . She s t a t e s : Though s e v e r a l c i t i z e n groups (and t h e i r mayors) use t h e r h e t o r i c o f c i t i z e n c o n t r o l , no [model] can meet t h e c r i t e r i a o f c i t i z e n c o n t r o l s i n c e f i n a l a p p r o v a l power and a c c o u n t a b i l i t y r e s t w i t h t h e c i t y c o u n c i l . (223) 2. Neighbourhood Planning i n Context 9 The second i s an acknowledgement o f the p i t f a l l s commonly a s s o c i a t e d w i t h community c o n t r o l . These i n c l u d e b a l k a n i z a t i o n , cos t and e f f i c i e n c y c h a l l e n g e s , the a r r i v a l o f o p p o r t u n i s t i c " h u s t l e r s , " and c l a s h e s w i t h m e r i t - and p r o f e s s i o n a l i s m - b a s e d v a l u e systems (224). Most n o t a b l e , though, i s h e r t h i r d o b s e r v a t i o n , t h a t community c o n t r o l "can t u r n out to be a new Mickey Mouse game f o r the have -no t s by a l l o w i n g them to g a i n c o n t r o l but not a l l o w i n g them s u f f i c i e n t d o l l a r r e s o u r c e s to succeed" (224). A r n s t e i n o b s e r v e s : [This model] can work most e f f e c t i v e l y when t h e r e i s an o r g a n i z e d power-base i n the community t o which the c i t i z e n l e a d e r s are a c c o u n t a b l e ; when the c i t i z e n group has the f i n a n c i a l r e s o u r c e s to pay i t s l e a d e r s r e a s o n a b l e h o n o r a r i a f o r t h e i r t ime-consuming e f f o r t s ; and when the group has the r e s o u r c e s to h i r e (and f i r e ) i t s own t e c h n i c i a n s , lawyers and community o r g a n i z e r s . Wi th these i n g r e d i e n t s , c i t i z e n s have some genuine b a r g a i n i n g i n f l u e n c e over the outcome . . . (221-222) . A r n s t e i n ' s landmark a r t i c l e makes s e v e r a l impor tant c o n t r i b u t i o n s . Most n o t a b l y , i t e s t a b l i s h e s the c o n n e c t i o n between p a r t i c i p a t i o n and p o w e r - s h a r i n g . As Parenteau c o r r e c t l y observed: "For A r n s t e i n , p a r t i c i p a t i o n means p o w e r - s h a r i n g . " (1988:8) Parenteau h i m s e l f p r e s e n t s a number o f i l l u m i n a t i n g c o n c l u s i o n s about p u b l i c invo lvement i n d e c i s i o n - m a k i n g , which are p r e s e n t e d n e x t . 2. N e i g h b o u r h o o d P l a n n i n g i n C o n t e x t 10 2 . 1 . 3 The L o c a l L e v e l P a r e n t e a u , i n h i s 1988 r e p o r t , P u b l i c P a r t i c i p a t i o n i n E n v i r o n m e n t a l D e c i s i o n - M a k i n g , d i s c u s s e s c i t i z e n invo lvement i n e n v i r o n m e n t a l d e c i s i o n - m a k i n g i n Canada and a r r i v e s at a number of i n t e r e s t i n g c o n c l u s i o n s . F i r s t , he a s s e r t s at a number o f t u r n s the c o n n e c t i o n between p a r t i c i p a t i o n and d e c i s i o n - m a k i n g i n democracy, c o n s i s t e n t w i t h the c o n t r i b u t i o n s o f Pateman and A r n s t e i n . He s t a t e s , f o r example: " P a r t i c i p a t i o n aims t o democra t i ze d e c i s i o n - m a k i n g and a d m i n i s t r a t i v e a p p a r a t u s e s . " (64) Second, he r e c o g n i z e s the c h a l l e n g e s i n h e r e n t i n the b a l a n c i n g ac t which p o w e r - s h a r i n g i n v o k e s , s t a t i n g : The most d i f f i c u l t aspect . . . may w e l l be d e l i m i t i n g and e x a c t l y d e f i n i n g the areas i n which they w i l l e x e r c i s e t h e i r r e l a t i v e autonomy i n d e c i s i o n - m a k i n g and a c t i o n . (65) T h i r d , l i k e A r n s t e i n , he r e c o g n i z e s the importance o f mechanisms f o r c i t i z e n e f f e c t i v e n e s s i n p a r t i c i p a t i o n . In t h i s r e g a r d he recommends t h a t : (1) groups and o r g a n i z a t i o n s r e c e i v e generous s u b s i d i e s ; (2) t e c h n i c a l e x p e r t s and o b j e c t i v e t e c h n i c a l i n f o be made a v a i l a b l e to them; (3) laws be passed to endow the p r o c e s s w i t h c r e d i b i l i t y ; and (4) p r o c e s s and i s s u e s be brought t o the l o c a l l e v e l (pp. 6 3 - 6 4 ) . F o u r t h , he r e c o g n i z e s t h a t c i t i z e n p a r t i c i p a t i o n e f f e c t i v e n e s s i s enhanced when s i t u a t e d at the s m a l l s c a l e and l o c a l l e v e l , and t h a t i t i s a f f e c t e d by contex t and r e l a t i o n s h i p to power. He s t a t e s : 2. N e i g h b o u r h o o d P l a n n i n g i n C o n t e x t 11 While p a r t i c i p a t i o n i s b e s t conducted i n a s p e c i f i c l o c a l c o n t e x t , i t s e f f e c t i v e n e s s may depend on i t s p r o x i m i t y to the s i t e o f power and of the f i n a l d e c i s i o n . (63) The next t h r e e s e c t i o n s examine ne ighbourhood o r g a n i z a t i o n s as l o c a l l e v e l c i t i z e n p a r t i c i p a t i o n o r g a n i z a t i o n s . Neighbourhood o r g a n i z a t i o n s are s i t u a t e d as i n t e g r a l p l a y e r s i n systems of r e p r e s e n t a t i v e democracy, and the requ irements f o r t h e i r e f f e c t i v e p a r t i c i p a t i o n are c o n s i d e r e d . 2 .2 Neighbourhoods and Neighbourhood A s s o c i a t i o n s T h i s s e c t i o n and the two f o l l o w i n g i n t r o d u c e d e f i n i t i o n s and concepts which c o n t r i b u t e t o u n d e r s t a n d i n g ne ighbourhoods and t h e i r r o l e and f u n c t i o n i n governance at the l o c a l l e v e l . T o p i c s covered i n c l u d e : ne ighbourhoods and ne ighbourhood a s s o c i a t i o n s ; d e m o c r a t i c c o n s i d e r a t i o n s , i n c l u d i n g r e p r e s e n t a t i o n and b a l a n c e , and a c c o u n t a b i l i t y and r e s p o n s i v e n e s s ; and e f f e c t i v e n e s s c o n s i d e r a t i o n s , i n c l u d i n g r e s o u r c i n g and s u p p o r t , and the n e c e s s i t y o f a system or s t r u c t u r e f o r ne ighbourhood g r o u p s . The t h r e e s e c t i o n s draw h e a v i l y from the works o f Howard W. Ha l lman , l o n g - t i m e ne ighbourhood s u p p o r t e r , and the 1993 work by J e f f r e y M. B e r r y , Kent E . P o r t n e y , and Ken Thomson, The R e b i r t h o f Urban Democracy. 2. N e i g h b o u r h o o d P l a n n i n g i n C o n t e x t 12 2 . 2 . 1 Neighbourhoods "Neighborhood means d i f f e r e n t t h i n g s to d i f f e r e n t p e o p l e , " as Hal lman acknowledges i n h i s 1984 work Neighborhoods: T h e i r P l a c e i n Urban L i f e (12) . Hal lman sees n e i g h b o u r l i n e s s as a human t r a i t , ne ighbourhoods as n a t u r a l phenomena, and the presence o f ne ighbourhoods i n a l l l a r g e human s e t t l e m e n t s as i n h e r e n t (11) . F o l l o w i n g r e s e a r c h of d e f i n i t i o n s o f ne ighbourhood proposed by a number o f s c h o l a r s , 3 Hal lman p r e s e n t s a set o f d e f i n i t i o n s and component f a c t o r s o f d e f i n i t i o n s which c o n t r i b u t e to h i s u n d e r s t a n d i n g o f ne ighbourhood . T h i s set i n c l u d e s : a p h y s i c a l , g e o g r a p h i c or s p a t i a l p l a c e - n e s s (of ten w i t h i d e n t i f i a b l e b o u n d a r i e s ) ; some degree o f p s y c h o l o g i c a l u n i t y , and p o s s i b l y , some c o n c e n t r a t i o n of i d e n t i f i a b l e e t h n i c or c u l t u r a l c h a r a c t e r i s t i c s ; a t r a d i t i o n of i d e n t i t y or c o n t i n u i t y , such as r e s i d e n t i a l or o t h e r p e r s o n a l s e l f - i d e n t i f i c a t i o n w i t h an area ( e i t h e r c o g n i t i v e or s e n t i m e n t a l ) ; c o n c e n t r a t e d use o f an a r e a ' s f a c i l i t i e s ; f u l f i l m e n t o f f u n c t i o n a l purposes (of ten r e p r e s e n t e d by the presence o f i n s t i t u t i o n s ) i n s o c i a l , p o l i t i c a l , economic or i n t e r - p e r s o n a l arenas ; and to v a r y i n g degrees , a j o i n i n g t o g e t h e r , p a r t i c i p a t o r y , s h a r i n g or communal aspec t (13-17) . i n c l u d i n g Suzanne K e l l e r , John McClaughry , A l b e r t Hunter , Roger S. A h l b r a n d t , J r . , Karnes, B . Cunningham, M. Leanne Lachman and Anthony Downs. 2. N e i g h b o u r h o o d P l a n n i n g i n C o n t e x t 13 S u p p o r t i v e o f s o c i o l o g i s t Suzanne K e l l e r ' s d e f i n i t i o n and drawing upon i t , w h i l e n o t i n g t h e g r e a t v a r i a t i o n i n c h a r a c t e r i s t i c s o f neighbourhoods, Hallman' c o n c l u d e s : " I n sum, a neighborhood i s a l i m i t e d t e r r i t o r y within a large urban area where people inhabit dwellings and i n t e r a c t s o c i a l l y . " ( o r i g i n a l emphasis, 13) W h i l e an e x a c t d e f i n i t i o n o f "neighbourhood" i s not r e q u i r e d f o r t h e work of t h i s t h e s i s , Hallman's comprehensive c o n c e p t i o n as p r e s e n t e d here i s a c c e p t e d f o r t h e purpose. 2.2.2 Neighbourhood A s s o c i a t i o n s For B e r r y , P o r t n e y , and Thomson, neighbourhood groups "have been an i m p o r t a n t f a c t o r i n American p o l i t i c a l l i f e s i n c e t h e t u r n o f t h e c e n t u r y " (166) . C i t i n g i n f l u e n t i a l r o l e s f o r neighbourhood groups s i n c e t h e e r a o f t h e s e t t l e m e n t house movement, and t h r o u g h t o t h e "new p o p u l i s m " o f t h e 1970's ( a l o n g w i t h t h e importance t o urban l i f e a t t r i b u t e d t o neighbourhoods by " i n f l u e n t i a l o b s e r v e r s " such as Jane Jacobs, H e r b e r t Gans, Suzanne K e l l e r and G e r a l d S u t t l e s ) , t h e y , l i k e Hallman, note t h e community f u n c t i o n o f neighbourhoods, and t h e b r o a d e r s o c i a l and p s y c h o l o g i c a l c o n t e x t s i n which neighbourhoods o p e r a t e (166) . B e r r y , P o r t n e y and Thomson a l s o c o n s i d e r t h e p o l i t i c a l a s p e c t o f neighbourhood o r g a n i z a t i o n s . They note t h a t some w r i t e r s s i t u a t e neighbourhood o r g a n i z a t i o n s i n t h e c a t e g o r y o f " p a r a p o l i t i c a l systems," a l o n g w i t h c h u r c h e s , u n i v e r s i t i e s , and 2. N e i g h b o u r h o o d P l a n n i n g i n C o n t e x t 14 o t h e r n o n - p r o f i t o r g a n i z a t i o n s (167). W h i l e o t h e r s , such as M a r v i n K o t l e r , propose t h e neighbourhood as t h e n a t u r a l p o l i t i c a l e n t i t y , r a t h e r t h a n t h e c i t y . They c o n s i d e r as w e l l t h e f o r c e a d v o c a t i n g f u l l - s c a l e neighbourhood governance, which i s s u p p o r t e d by w r i t e r s such as D a v i d M o r r i s and K a r l Hess (who promote d e c e n t r a l i z a t i o n o f a c t i v i t i e s t o a "more human s c a l e " t o i n c r e a s e q u a l i t y o f l i f e ) , and o t h e r works which p r e s e n t t h e importance o f neighbourhood c o u n c i l s , d e c e n t r a l i z a t i o n , and community c o n t r o l (167) . 4 B e r r y , P o r t n e y and Thomson c o n c l u d e t h e i r o v e r v i e w o f t h e r o l e and p l a c e o f neighbourhoods i n u r b a n democracy by s t a t i n g t h a t "neighborhoods and t h e i r o r g a n i z a t i o n s [have] s p e c i a l s t a t u s , p a r t i c u l a r l y i n p l a n n i n g , development, and community o r g a n i z i n g " (168). They a c c e p t t h e p o s i t i o n t h a t " ' r e s i d e n t s o f a neighborhood do not c o n s t i t u t e a p r i v a t e group a t a l l , b ut a m i n i a t u r e ' p u b l i c ' ; — m o r e l i k e c i t i z e n s t h a n l i k e members of a p r i v a t e a s s o c i a t i o n ' " (Censon 1983, 16-17; i n B e r r y , P o r t n e y and Thomson, 168). 2.3 Democratic Considerations Democratic p a r t i c i p a t i o n can be e x t r a o r d i n a r i l y demanding of c i t i z e n s , and many c i t i z e n s do no more t o e x e r c i s e t h e i r d e m o c r a t i c r i g h t s and r e s p o n s i b i l i t i e s t h a n t o v o t e . Yet B e r r y , " I n c l u d i n g Howard Hallman, A l a n A. A l t s h u l e r and B u r t W. G r i f f i n . 2. N e i g h b o u r h o o d P l a n n i n g i n C o n t e x t 15 P o r t n e y and Thomson r e c o g n i z e neighbourhood a s s o c i a t i o n s as u n i t s which can c o n t r i b u t e t o t h e e f f e c t i v e o p e r a t i o n o f d e m o c r a t i c systems. They see t h e s e groups as v e h i c l e s c a p a b l e of e n hancing p a r t i c i p a t i o n , w h i l e a l s o p r o v i d i n g some measure of r e p r e s e n t a t i o n , b a l a n c e and r e s p o n s i v e n e s s . B e r r y , P o r t n e y and Thomson's l i m i t e d p e r c e p t i o n o f t h e need f o r a c c o u n t a b i l i t y i s c r i t i c i z e d h ere, but t h e i r o v e r a l l t h r u s t i n s u p p o r t o f neighbourhood o r g a n i z a t i o n s , l i k e t h a t o f Hallman, i s a c c e p t e d as v a l u a b l e . F o r t h e purposes o f t h i s t h e s i s , r e p r e s e n t a t i o n i n v o l v e s b o t h th e match between t h e l e a d e r s h i p o f an o r g a n i z a t i o n and i t s c o n s t i t u e n c y , and t h e p r e s e n t a t i o n o f i s s u e s from a c r o s s t h e b r e a d t h of a c i t y . B a l a n c e r e f e r s t o t h e achievement o f f a i r n e s s and e q u i t y i n t h e t r a d e - o f f ' s between competing groups and s e t s o f i s s u e s i n d e c i s i o n - m a k i n g . R e s p o n s i v e n e s s r e f e r s t o t h e a b i l i t y t o heed and t a k e a c t i o n on i s s u e s p r e s e n t e d . A c c o u n t a b i l i t y r e f e r s t o u l t i m a t e a n s w e r a b i l i t y and r e s p o n s i b i l i t y f o r d e c i s i o n s . 2.3.1 R e p r e s e n t a t i o n and B a l a n c e B e r r y , P o r t n e y and Thomson w i s e l y observe t h a t neighbourhood o r g a n i z a t i o n s p r o v i d e " r e s p o n s i v e n e s s t o t h o s e who choose t o p a r t i c i p a t e ..." (189). Neighbourhood o r g a n i z a t i o n s can be accused of a t t r a c t i n g p a r t i c i p a t i o n and l e a d e r s h i p w h i c h i s , on t h e whole, u n r e p r e s e n t a t i v e o f t h e i r r e s p e c t i v e 2. N e i g h b o u r h o o d P l a n n i n g i n C o n t e x t 16 c o n s t i t u e n c i e s . Hallman acknowledges t h a t p e o p l e a c t i v e , i n l o c a l i s s u e s t e n d t o be l e s s poor, b e t t e r educated, and more p r o f e s s i o n a l t h a n n o n - p a r t i c i p a n t s from t h e same neighbourhood ( c i t i n g , t o draw t h i s c o n c l u s i o n , works by o t h e r r e s e a r c h e r s 5 ) . He a l s o f i n d s , however, t h a t . " ' p a r t i c i p a n t s i n s n e i g h b o r h o o d a s s o c i a t i o n s g e n e r a l l y e x p r e s s p e r c e p t i o n s o f n e i g h b o r h o o d c o n d i t i o n s which are s i m i l a r t o t h o s e of n o n p a r t i c i p a n t s ' [and t h a t ] p a r t i c i p a n t s and n o n p a r t i c i p a n t s r a t e c i t y programs s i m i l a r l y " (White and Ender, 1981:51-52; i n Hallman:251). I t would appear t h a t though u n r e p r e s e n t a t i v e i n terms of p a r t i c i p a n t s ' s o c i o - e c o n o m i c s t a t u s , neighbourhood o r g a n i z a t i o n s n o n e t h e l e s s promote concerns and i n t e r e s t s c o n s i s t e n t w i t h t h o s e of t h e i r c o n s t i t u e n c i e s . B e r r y , P o r t n e y and Thomson a r r i v e a t s i m i l a r c o n c l u s i o n s (189) . R e p r e s e n t a t i o n i n r e g a r d t o neighbourhood o r g a n i z a t i o n s s h o u l d be c o n s i d e r e d on a n o t h e r s t r a t u m as w e l l . L o c a l governments need t o b a l a n c e neighbourhood i s s u e s on t h e i r d e c i s i o n - m a k i n g agendas a l o n g s i d e c i t y - w i d e o r r e g i o n a l i s s u e s . I f t h e y l a c k mechanisms t o ensure c i t y o r r e g i o n - w i d e i s s u e s a r e a l s o a p p r o p r i a t e l y and e f f e c t i v e l y brought t o and d e a l t w i t h a t t h e d e c i s i o n - m a k i n g t a b l e , t h e y can be p a r t i c u l a r l y hampered when a t t e m p t i n g t o a d dress i s s u e s which are not p e r c e i v e d t o have neighbourhood or l o c a l a r e a c o n t e n t , o r which a r e i n 5Bowen and M a s o t t i , 1968; P o l l i n g e r and P o l l i n g e r , 1972; R i c h a r d C. R i c h , 1983. 2. N e i g h b o u r h o o d P l a n n i n g i n C o n t e x t 17 c o n f l i c t w i t h p e r c e i v e d ne ighbourhood p r e f e r e n c e s . The problems t h i s can pose f o r e f f e c t i v e l o c a l governance are p o t e n t i a l l y enormous. B e r r y , Por tney and Thomson b e l i e v e ne ighbourhood a s s o c i a t i o n s a c q u i t themselves v e r y c a p a b l y on many i s s u e s a f f e c t i n g t h e i r own l o c a l a r e a , such as l a n d use and l o c a l developments , f o r example. They accept a l s o t h a t ne ighbourhood groups are l e s s e f f e c t i v e on "broader i s s u e s such as p r o t e c t i o n o f water q u a l i t y . . . and on huge development p r o j e c t s w i t h major economic impact f o r the whole c i t y . " (177) N o n e t h e l e s s , they p o s i t t h a t systems o f ne ighbourhood a s s o c i a t i o n s can a s s i s t i n the p r o c e s s o f f i n d i n g b a l a n c e between these l a r g e and s m a l l s c a l e , or ne ighbourhood and c i t y w i d e , i s s u e d i c h o t o m i e s (158). A more r e a l i s t i c e v a l u a t i o n o f the r o l e o f ne ighbourhood o r g a n i z a t i o n s i n r e g a r d to n e i g h b o u r h o o d - c i t y / r e g i o n b a l a n c e i s p r o v i d e d by H a l l m a n . He s t a t e s : ' "Al though ne ighborhood o r g a n i z a t i o n s d o n ' t have the answer t o some o f the b r o a d e r s o c i e t a l i s s u e s , . . . they are showing t h a t they can c o n t r i b u t e t o community bet terment w i t h i n t h e i r sphere o f o p e r a t i o n . . . . In the p r o c e s s they s t r e n g t h e n the s o c i a l f a b r i c and enhance the sense o f community." (252). Issues which may not have a l o c a l i t y or ne ighbourhood-based c o n s t i t u e n c y , or which opera te at a s c a l e l a r g e than the ne ighbourhood (such as a i r q u a l i t y management and t r a n s p o r t a t i o n p l a n n i n g , f o r example) may not r e c e i v e adequate a t t e n t i o n i n 2. N e i g h b o u r h o o d P l a n n i n g i n C o n t e x t 18 c i t i e s or r e g i o n s w i t h p o w e r f u l a n d / o r e f f e c t i v e ne ighbourhood groups or systems, i f b a l a n c i n g mechanisms are not i n p l a c e . Such governments may o c c a s i o n a l l y f i n d themselves p a r a l y s e d , even on (or e s p e c i a l l y on) i s s u e s o f g r e a t importance , i f they are unable to b a l a n c e l o c a l i s s u e s w i t h c i t y w i d e and r e g i o n a l i s s u e s . Mechanisms to b a l a n c e a c c o u n t a b i l i t y f o r c i t y w i d e and r e g i o n a l needs w i t h ne ighbourhood and l o c a l needs are e s s e n t i a l i n ne ighbourhood p l a n n i n g p o w e r - s h a r i n g models . 2 .3 .2 A c c o u n t a b i l i t y and Respons iveness "One o f the a t t r i b u t e s o f d e m o c r a t i c s o c i e t i e s i s t h a t governments are expec ted to be r e s p o n s i v e t o the w i l l o f the p e o p l e . " B e r r y , Por tney and Thomson, from whom t h i s quote i s taken (101), observe t h a t l o c a l governments must a c h i e v e a " d e l i c a t e b a l a n c e , " as they term i t (195), i n d e c i d i n g how to m a i n t a i n a c c o u n t a b i l i t y f o r the p u b l i c purse and p r o c e s s on the one hand, and r e s p o n s i v e n e s s i n b o t h p o l i c y and s h a r i n g o f power to ne ighbourhood and o t h e r groups on the o t h e r . Some sources b e l i e v e t h a t f o r any c i t i z e n p a r t i c i p a t i o n s t r u c t u r e , such as ne ighbourhood o r g a n i z a t i o n s , t o be e f f e c t i v e , " e x c l u s i v e powers" must be t u r n e d over , p a r t i c u l a r l y c o n t r o l over z o n i n g , i n the case o f ne ighbourhoods (Berry , P o r t n e y and Thomson, 295) . B e r r y , Por tney and Thomson themselves s t a t e t h a t such a t r a n s f e r s h o u l d be mandated i n l e g i s l a t i o n , and t h a t "what ne ighborhood a s s o c i a t i o n s do must be i n t e g r a t e d i n t o the 2. N e i g h b o u r h o o d P l a n n i n g i n C o n t e x t 19 e x i s t i n g a d m i n i s t r a t i v e s t r u c t u r e o f the c i t y " (295). S i m i l a r l y , Hal lman recommends i n s t i t u t i o n o f l e g a l a u t h o r i t y f o r ne ighbourhood a s s o c i a t i o n s to operate (274). The p o s i t i o n adopted i n t h i s t h e s i s p r e f e r s we igh ing l e g a l and moral requ irements f o r a c c o u n t a b i l i t y somewhat more h e a v i l y , and achievement o f i n c r e a s e d r e s p o n s i v e n e s s though c o l l a b o r a t i v e e f f o r t and c a r e f u l s t r u c t u r i n g o f the areas i n which r e s p o n s i b i l i t y i s s h a r e d . S h a r i n g o f r e s p o n s i b i l i t y s h o u l d o c c u r , c o u p l e d w i t h p r o v i s i o n o f r e s o u r c e s and support commensurate w i t h the t a s k . However, i t s h o u l d be c a r r i e d out i n l i m i t e d spheres o f o p e r a t i o n , and o n l y once s t r u c t u r e s and p o l i c i e s are i n p l a c e w i t h i n the l a r g e r c i t y and r e g i o n a l c o n t e x t s which ensure power over l a r g e s c a l e i s s u e s c o n t i n u e s t o be h e l d at the s u p r a - n e i g h b o u r h o o d l e v e l . To ensure ne ighbourhood o r g a n i z a t i o n e f f e c t i v e n e s s w i t h i n such a c o n t e x t , a number o f requ irements must be i n p l a c e . These r e l a t e to the a d m i n i s t r a t i v e a b i l i t y o f ne ighbourhood groups (which i s impor tant but which w i l l not be addres sed i n t h i s t h e s i s ) , the adequacy o f r e s o u r c i n g and s u p p o r t , and the c r e a t i o n and support o f a system f o r such o r g a n i z a t i o n s . 2.4 Effectiveness Considerations There are a number o f requ irements f o r e f f e c t i v e f u n c t i o n i n g of ne ighbourhood o r g a n i z a t i o n s . Only two, however, w i l l be d i s c u s s e d h e r e : r e s o u r c i n g and s u p p o r t , and a c i t y w i d e 2. Neighbourhood Planning i n Context 20 system. 2.4.1 R e s o u r c i n g and Support "The g r e a t e s t d i f f i c u l t y neighborhoods i n l o c a l p o l i t i c s f a c e i n i n f l u e n c i n g c i t y h a l l i s simp'ly g e t t i n g o r g a n i z e d i n t h e f i r s t p l a c e " ( B e r r y , P o r t n e y and Thomson, 287). As A r n s t e i n and Pa r e n t e a u observed, w i t h o u t f i n a n c i a l and o t h e r s u p p o r t t o p r o v i d e f o r some measure o f o u t r e a c h , s t a f f i n g , c o o r d i n a t i o n , and i s s u e and p o l i c y a n a l y s i s and development, most groups w i l l be u n a b le t o be e f f e c t i v e . Hallman c o r r e c t l y i n d i c a t e s t h a t t h e r e i s a wide range of p a r t i e s which can be c o n s i d e r e d p o t e n t i a l s u p p o r t e r s o f neighbourhoods, i n c l u d i n g l o c a l governments and a g e n c i e s o f l o c a l government. These p l a y e r s can supp o r t neighbourhood o r g a n i z a t i o n s i n a number o f ways, but most e s s e n t i a l f o r t h e s e groups i s adequate p r o v i s i o n o f s t a f f t i m e , t r a i n i n g , t e c h n i c a l a s s i s t a n c e , and f o r p o o r e r o r g a n i z a t i o n s , f i n a n c i a l s u p p o r t (Hallman, 267). A l o n g w i t h n u r t u r a n c e o f i n d i v i d u a l o r g a n i z a t i o n s , a system or network o f neighbourhood o r g a n i z a t i o n s s h o u l d a l s o be su p p o r t e d . B e r r y , P o r t n e y and Thomson b e l i e v e t h a t one o f t h e most i m p o r t a n t a c t i o n s c i t y governments can t a k e t o a s s i s t neighbourhood o r g a n i z a t i o n s i s t h e c r e a t i o n and su p p o r t o f a neighbourhood a s s o c i a t i o n system (287). S i m i l a r l y , Hallman has w r i t t e n about f e d e r a t i o n s , o r a "c o n g r e s s " o f neighbourhood o r g a n i z a t i o n s (265), which can f u l f i l t h i s purpose. 2. N e i g h b o u r h o o d P l a n n i n g i n C o n t e x t 21 2 .4 .2 A C i t y w i d e System -B e r r y , Por tney and Thomson b e l i e v e t h a t f o r ne ighbourhood o r g a n i z a t i o n s to be e f f e c t i v e , systems must be s t r u c t u r e d which are "c i tywide i n na ture" (296) . They b e l i e v e t h a t not o n l y are these n e c e s s a r y f o r the h e a l t h o f the ne ighbourhood o r g a n i z a t i o n s , but t h a t such s t r u c t u r e s s t r e n g t h e n v a l u a b l e bonds between peop le and t h e i r governments, and change the n a t u r e o f these r e l a t i o n s h i p s i n p o s i t i v e ways: [T]he o p e r a t i o n o f the systems of ne ighborhood a s s o c i a t i o n s , r a t h e r than compet ing w i t h the e x i s t i n g systems of d e m o c r a t i c e l e c t o r a l p o l i t i c s , a c t u a l l y s t r e n g t h e n s the l i n k s between c i t i z e n s and e l e c t e d o f f i c i a l s . Moreover , i t appears to do so i n a way t h a t f o s t e r s a more e q u a l d i s t r i b u t i o n o f i n f l u e n c e . (134) Such systems a l s o ensure b r o a d - s p e c t r u m r e p r e s e n t a t i o n from the ne ighbourhood l e v e l a c r o s s the b r e a d t h o f a c i t y or r e g i o n , and p r o v i d e a c o n c e r t e d v o i c e on l o c a l i s s u e s t o c i t y and r e g i o n a l governments . I d e n t i f y i n g the r e s o u r c e s to devote t o ne ighbourhood systems can be ex tremely d i f f i c u l t , yet support o f such systems i s e s s e n t i a l f o r the democracy-enhanc ing p a r t i c i p a t i o n o f ne ighbourhood o r g a n i z a t i o n s . In sum, whether or not ne ighbourhoods c o n s t i t u t e q u a s i -p o l i t i c a l e n t i t i e s or "mini p u b l i c s , " t o support d e m o c r a t i c f u n c t i o n i n g , ne ighbourhood p l a n n i n g models need t o i n c o r p o r a t e r e p r e s e n t a t i o n and b a l a n c e , a c c o u n t a b i l i t y and r e s p o n s i v e n e s s , p r o p e r r e s o u r c i n g and s u p p o r t , and a c i t y w i d e ne ighbourhood o r g a n i z a t i o n or system. R e p r e s e n t a t i o n t o support d e m o c r a t i c f u n c t i o n i n g r e q u i r e s i n c l u s i v e n e s s w i t h i n ne ighbourhood 2. Neighbourhood Planning i n Context 22 o r g a n i z a t i o n a c t i v i t y , and a mechanism to ensure c i t y w i d e i s s u e s are b a l a n c e d w i t h l o c a l or ne ighbourhood i s s u e s . A c c o u n t a b i l i t y and r e s p o n s i v e n e s s can be a c h i e v e d t h r o u g h c o l l a b o r a t i o n and c a r e f u l a r t i c u l a t i o n o f the areas o f s h a r e d r e s p o n s i b i l i t y . Adequate and a p p r o p r i a t e r e s o u r c i n g and support a s s i s t ne ighbourhood o r g a n i z a t i o n e f f e c t i v e n e s s , as does a c i t y w i d e ne ighbourhood o r g a n i z a t i o n network. The next c h a p t e r o u t l i n e s these and o t h e r a spec t s o f the case o f p o w e r - s h a r i n g p o l i c y s t u d i e d h e r e , i n p r e s e n t i n g the C i t y o f S e a t t l e ' s Neighbourhood P l a n n i n g P o l i c y . 3. THE NEIGHBOURHOOD PLANNING POLICY OF THE CITY OF SEATTLE Neighborhood planning means giving a great deal of authority and resources back to the neighborhoods. Norman B . R i c e , Mayor o f S e a t t l e 6 The Neighbourhood P l a n n i n g P o l i c y , f o r the purposes o f t h i s t h e s i s , i s a p o l i c y 7 on p l a n n i n g , 8 compri sed o f a connected set o f e lements drawn from f o u n d a t i o n a l C i t y o f S e a t t l e p l a n n i n g documents, and c e r t a i n implementa t ion a c t i v i t i e s i n t e n d e d t o g i v e l i f e t o a spec t s o f these documents. T h i s c h a p t e r opens by i n t r o d u c i n g the C i t y o f S e a t t l e ' s Neighbourhood P l a n n i n g P o l i c y , and d e s c r i b i n g the f e a t u r e s which make i t an a p p r o p r i a t e case f o r s tudy of p o l i c y development on p o w e r - s h a r i n g . The second s e c t i o n o u t l i n e s the documents and a c t i v i t i e s which p r o v i d e the f o u n d a t i o n s f o r the P o l i c y , w h i l e the t h i r d p r o v i d e s i n f o r m a t i o n about the P o l i c y ' s g e n e s i s . 3.1 Features of the Poli c y The C i t y o f S e a t t l e ' s Neighbourhood P l a n n i n g P o l i c y can be d e s c r i b e d as a p o w e r - s h a r i n g model o f ne ighbourhood p l a n n i n g , which has two important and d i s t i n g u i s h i n g e lements : b o u n d a r i e s ^'Neighborhood P l a n n i n g Workshops" b r o c h u r e , f r o n t page . 7 A p o l i c y governs a c t i o n d i r e c t e d toward g i v e n ends, and y i e l d s a changed s i t u a t i o n , system, p r a c t i c e or b e h a v i o u r ( p a r a p h r a s i n g T i t m u s s ) . 8 P l a n n i n g s p e c i f i e s g o a l s and o b j e c t i v e s , and i d e n t i f i e s mechanisms and c h o i c e s f o r implementa t ion (Dorcey, 1986:4) . 23 3. The N e i g h b o u r h o o d P l a n n i n g P o l i c y 24 to c o n t a i n i t , and a framework t o support i t . The b o u n d a r i e s r e s e r v e to the C i t y those p l a n n i n g powers and r e s p o n s i b i l i t i e s which the C i t y b e l i e v e s i t cannot or s h o u l d not share (such as e s t a b l i s h i n g and d i s t r i b u t i n g growth t a r g e t s f o r the C i t y , f o r example) . The b o u n d a r i e s a l s o i d e n t i f y f o r ne ighbourhoods those areas i n which they assume r e s p o n s i b i l i t y (such as development form and s c a l e i n the ne ighbourhood and ne ighbourhood c h a r a c t e r , f o r example) . The framework s u p p o r t s ne ighbourhood o r g a n i z a t i o n s and ne ighbourhood p l a n n i n g , by i d e n t i f y i n g and making e x p l i c i t the p r o d u c t components (such as growth t a r g e t s ) and p r o c e s s components (such as i n c l u s i v e n e s s ) which must be i n c o r p o r a t e d i n t o ne ighbourhood p l a n s and p l a n n i n g p r o c e s s e s . The framework a l s o serves to i n d i c a t e the p o i n t s at which C i t y involvement may be i n v o k e d . Only those ne ighbourhood p l a n s which meet p r o c e s s and p r o d u c t requ irements are promised C i t y a p p r o v a l and i m p l e m e n t a t i o n . The b o u n d a r i e s and framework are t h e r e f o r e e s s e n t i a l t o t h i s P o l i c y ' s o p e r a t i o n and e f f e c t i v e n e s s , as they p r o v i d e s t r u c t u r e and support f o r the work of b o t h C i t y and neighbourhoods i n d e v e l o p i n g p l a n s which can r e c e i v e a p p r o v a l and u l t i m a t e l y be implemented. Upon a p p r o v a l , n e i g h b o u r h o o d -deve loped p l a n s have the same f o r c e as o t h e r p l a n n i n g p r o d u c t s c r e a t e d and approved by the C i t y . Neighbourhood p l a n s may a l s o c o n f i r m , a l t e r , r e f i n e or add to the C i t y ' s Comprehensive P l a n . 3. The N e i g h b o u r h o o d P l a n n i n g P o l i c y 25 T h i s p o w e r - s h a r i n g p o l i c y p r o v i d e s b a l a n c e between neighbourhood and c i t y w i d e needs by r e t a i n i n g w i t h t h e C i t y t h e r e s p o n s i b i l i t y f o r i s s u e s o f c i t y w i d e n a t u r e or i m p o r t . R e p r e s e n t a t i o n i s a d d r e s s e d by r e q u i r i n g neighbourhood o r g a n i z a t i o n s t o u n d e r t a k e an i n c l u s i v e p r o c e s s . The P o l i c y a d d r e s s e s a c c o u n t a b i l i t y by r e t a i n i n g r e s p o n s i b i l i t y f o r t h e p u b l i c p u r s e w i t h C i t y C o u n c i l . I t a d d r e s s e s r e s p o n s i v e n e s s by mandating C i t y - n e i g h b o u r h o o d c o l l a b o r a t i o n , which e n s u r e s a t t e n t i o n t o neighbourhood c o n c e r n s . The e f f e c t i v e n e s s o f t h e neighbourhood p l a n n i n g e f f o r t i s a d d r e s s e d t h r o u g h p r o v i s i o n o f f i n a n c i a l , t e c h n i c a l and human r e s o u r c e s t o neighbourhood o r g a n i z a t i o n s , and r e c o g n i t i o n o f t h e network o f neighbourhood o r g a n i z a t i o n s . 3.2 Foundation fo r the P o l i c y The o f f i c i a l b a s i s f o r t h e Neighbourhood P l a n n i n g P o l i c y i s c o n t a i n e d i n c o n n e c t e d elements o f a number o f C i t y o f S e a t t l e documents, as w e l l as i n some of t h e i n i t i a l work t o g i v e l i f e t o a s p e c t s o f t h e s e documents. Elements from t h e C i t y ' s 1992 Framework P o l i c i e s , t h e 1994 Comprehensive P l a n , and t h e Comprehensive P l a n ' s Neighborhood P l a n n i n g Element comprise t h e p r i m a r y s o u r c e s . 3. The N e i g h b o u r h o o d P l a n n i n g P o l i c y 26 3.2.1 The Framework P o l i c i e s The C i t y o f S e a t t l e Framework P o l i c i e s document, adopted i n 1992, i s d e s c r i b e d as t h e p r o d u c t o f e x t e n s i v e c i t i z e n i n p u t e x e r c i s e s c a r r i e d out by t h e C i t y d u r i n g t h e e a r l y 1990's. The document i s d e s i g n e d i n p a r t t o p r o v i d e "guidance t o t h e P l a n n i n g Department i n d r a f t i n g t h e c i t y ' s comprehensive p l a n " (Attachment 1 t o R e s o l u t i o n 28535, June, 1992:1) and t o a s s i s t l o n g - t e r m p l a n n i n g g e n e r a l l y . The Framework P o l i c i e s c o n t a i n s i x t e e n s e c t i o n s , i n c l u d i n g a Neighborhood I d e n t i t y s e c t i o n and a R e l a t i o n s h i p Between C i t i z e n s and Government s e c t i o n . These two s e c t i o n s d i r e c t t h e C i t y t o " r e l y on broad-based p l a n n i n g a t t h e neighborhood l e v e l t o d e f i n e t h e i d e n t i t y , v a l u e s , needs, p r i o r i t i e s and g o a l s o f each neig h b o r h o o d " ( I b i d . : 1 2 ) , and t o ensure " [ p ] l a n n i n g by neighborhoods f o r t h e i r own f u t u r e s s h a l l be a c c o m p l i s h e d w i t h i n t h e c o n t e x t o f t h e C i t y ' s comprehensive p l a n " ( I b i d . : 1 4 ) . 3.2.2 The Comprehensive P l a n Adopted on J u l y 25, 1994 by S e a t t l e C i t y C o u n c i l , Toward a S u s t a i n a b l e S e a t t l e : A P l a n f o r Managing Growth 1994 - 2014, S e a t t l e ' s Comprehensive P l a n " i s a 20-year p o l i c y p l a n d e s i g n e d t o meet t h e r e q u i r e m e n t s of Washington S t a t e ' s Growth Management A c t . . . and a r t i c u l a t e t h e v i s i o n o f a p r e f e r r e d f u t u r e f o r S e a t t l e " ( I s s u e s G u i d e : 8 ) . I t d e s i g n a t e s "Urban C e n t e r s " w i t h i n an "Urban V i l l a g e S t r a t e g y . " I t e x p l i c i t l y r e c o g n i z e s 3. The N e i g h b o u r h o o d P l a n n i n g P o l i c y 27 neighbourhoods as the b a s i s o f the c i t y ' s c o m p o s i t i o n , and as a r e s o u r c e f o r p l a n n i n g ( C i t i z e n ' s G u i d e : 4 - 5 ) . I t i s a 118-page t e x t compri sed o f a V i s i o n R e s o l u t i o n , a P l a n A d o p t i o n O r d i n a n c e , a 151-page Appendices document, and e i g h t areas o f endeavour or "e lements ." 9 Each element i s addres sed i n i t s own s e c t i o n c o n t a i n i n g g o a l and p o l i c y s tatements and a d i s c u s s i o n segment i n some c a s e s . The P l a n i s d e s c r i b e d as an e v o l v i n g document, w i t h ne ighbourhood p l a n n i n g and amendments i n i t i a t e d by the C i t y seen as key sources f o r f u t u r e r e v i s i o n s . The P l a n has the f o r c e o f law (Issues G u i d e : 9 ) . 3 . 2 . 3 The Neighborhood P l a n n i n g Element One o f e i g h t e lements i n the Comprehensive P l a n , the Neighborhood P l a n n i n g Element i s a " c r i t i c a l t o o l f o r t u r n i n g the v i s i o n o f the Comprehensive P l a n i n t o a r e a l i t y " (Issues G u i d e : 1 0 5 ) . O p e r a t i n g w i t h i n the contex t o f c i t y w i d e p o l i c i e s , and i n a framework where " l e g a l a u t h o r i t y and r e s p o n s i b i l i t y f o r l a n d use and c a p i t a l investment r e s t w i t h the C i t y C o u n c i l " ( C i t i z e n ' s G u i d e : 1 5 ) , the implementa t ion o f the Neighborhood 9 These are l a n d use , t r a n s p o r t a t i o n , h o u s i n g , c a p i t a l f a c i l i t i e s ( p h y s i c a l i n f r a s t r u c t u r e f o r i n s t i t u t i o n a l uses , s epara te from water , waste and t r a n s p o r t a t i o n f a c i l i t i e s ) , u t i l i t i e s (water, waste d i s p o s a l , power and communica t ions ) , economic development, and ne ighbourhood p l a n n i n g . A "genera l i s s u e s ca tegory" (demographics , f a m i l i e s , shap ing growth, and p h a s i n g and m o n i t o r i n g o f the Plan) forms an e i g h t h i s s u e a r e a which , though not i n c l u d e d i n the Comprehensive P l a n document i t s e l f , i s g e n e r a l l y c o n s i d e r e d an e i g h t h element o f the P l a n n o n e t h e l e s s (Issues Guide:13-27) . 3. The Neighbourhood Planning Po l i cy 28 P l a n n i n g Element r e l i e s h e a v i l y on the e x i s t i n g e x t e n s i v e network o f ne ighbourhood o r g a n i z a t i o n s . I t a l s o arranges f o r the p r o v i s i o n o f r e s o u r c e s ( f i n a n c i a l , human and t e c h n i c a l ) t o ne ighbourhood . o r g a n i z a t i o n s , and to ensure a l l ne ighbourhoods are a b l e to p l a n , the C i t y has p u b l i c l y committed to "adequate f u n d i n g o f the ne ighborhood p l a n n i n g p r o c e s s ; . . . [and] C i t y budgets which respond t o c i t y w i d e and ne ighborhood p l a n p r o p o s a l s . " ( C i t i z e n ' s G u i d e : 15) . R e c o g n i z i n g t h a t a few neighbourhoods are not ye t ready to p l a n f o r themse lves , " t r a i n i n g and community o r g a n i z i n g " w i l l be p r o v i d e d where needed, and i n a few c a s e s , the C i t y w i l l i n i t i a t e p l a n n i n g f o r c e r t a i n ne ighbourhoods ( I b i d . : 1 1 1 ) . In r e t u r n f o r the development o f ne ighbourhood p l a n s w i t h i n a r t i c u l a t e d parameters , the C i t y o f f e r s a promise o f i m p l e m e n t a t i o n , p r o v i d e d c e r t a i n c o n d i t i o n s are met. I t "s ta tes up f r o n t t h a t ne ighborhood p l a n s which are c o l l a b o r a t i v e , f o l l o w C i t y g u i d e l i n e s and address c i t y w i d e needs w i l l be adopted and implemented" (Issues G u i d e : 1 0 9 ) . 3 .2 .4 Some Implementat ion To-Date To p l a n w i t h i n the s p i r i t o f the Framework P o l i c i e s , implement the o b j e c t i v e s o f the Comprehensive P l a n , and put the Neighborhood P l a n n i n g Element i n t o a c t i o n , the C i t y has t a k e n a number o f s t e p s . These i n c l u d e c o n t i n u i n g to p r o v i d e the 3. The N e i g h b o u r h o o d P l a n n i n g P o l i c y 29 s e r v i c e s o f the " l i t t l e c i t y h a l l s " and t o o f f e r the Neighborhood M a t c h i n g Fund and the o t h e r programs of the Department o f Neighborhoods (which are d e s c r i b e d i n the next s e c t i o n ) . I t has a l s o i n i t i a t e d i n c l u s i o n o f ne ighbourhood p l a n s i n depar tmenta l works program's, h i r e d a team of e l e v e n " p r o j e c t managers" to a s s i s t ne ighbourhoods , set a s i d e r e s o u r c e s from C i t y budgets , i n c l u d i n g f u n d i n g , s t a f f t ime and f a c i l i t a t i o n , and c r e a t e d a s p e c i a l o f f i c e t o oversee the work. The C i t y i s a l s o c o m p i l i n g a "template" f o r the use o f ne ighbourhood o r g a n i z a t i o n s i n ne ighbourhood p l a n n i n g . I t w i l l i n c l u d e : "community p r o f i l e s , " p r o v i d i n g a range o f i n f o r m a t i o n about ne ighbourhoods , i n c l u d i n g Comprehensive P l a n g o a l s and t a r g e t e d amounts and types o f growth; - a " t o o l b o x , " compr i sed o f i n f o r m a t i o n on r e g u l a t o r y mechanisms and c a p i t a l and program o p t i o n s a d d r e s s i n g C i t y g o a l s f o r l a n d use , h o u s i n g , t r a n s p o r t a t i o n and c a p i t a l f a c i l i t i e s ; ne ighbourhood p l a n n i n g " g u i d e l i n e s , " i d e n t i f y i n g s teps to a d o p t i o n o f a p l a n ; and - a "scope o f work c h e c k l i s t " or i n f o r m a t i o n on p r o c e d u r e s which the C i t y r e q u i r e s a p l a n to undergo to ensure e q u i t y and adequacy (Issues Guide:113 and "The Neighborhood P l a n n i n g P r o j e c t " s i n g l e - s h e e t h a n d o u t ) . In sum, the C i t y o f S e a t t l e ' s Neighbourhood P l a n n i n g P o l i c y can be d e s c r i b e d as a p o l i c y which shares power, t h r o u g h the s h a r i n g o f the key r e s o u r c e s o f money, i n f o r m a t i o n and access t o p e r s o n n e l , though i t does not d e l e g a t e d e c i s i o n - m a k i n g . I t focuses on the p r o d u c t i o n o f ne ighbourhood p l a n s , by ne ighbourhood o r g a n i z a t i o n s , which are b o t h c o n t a i n e d by p r e -3 . The N e i g h b o u r h o o d P l a n n i n g P o l i c y 30 e s t a b l i s h e d b o u n d a r i e s and f a c i l i t a t e d by a s u p p o r t i v e framework. I t deve lops c r i t e r i a _ f o r p r o c e s s and p r o d u c t i n c l u s i v e n e s s and f a i r n e s s , and p r o v i d e s support to ne ighbourhood o r g a n i z a t i o n s to work e f f e c t i v e l y to a c h i e v e t h e s e . I t s erves d e m o c r a t i c f u n c t i o n i n g purposes by a s s i s t i n g achievement o f r e p r e s e n t i v i t y , b a l a n c e and r e s p o n s i v e n e s s w h i l e m a i n t a i n i n g a c c o u n t a b i l i t y . I t s essence i s c o l l a b o r a t i o n between ne ighbourhood groups and the C i t y . The presence o f a number o f these f e a t u r e s o f the P o l i c y can be t r a c e d to a spec t s o f the P o l i c y ' s g e n e s i s , which i s c o n s i d e r e d n e x t . 3 .3 Genes i s o f the P o l i c y The Neighbourhood P l a n n i n g P o l i c y ' s genes i s spans b o t h recen t and h i s t o r i c e v e n t s . I t was capped by S t a t e - l e g i s l a t e d growth management requ irements i n the 1 9 9 0 ' s and two p i v o t a l 1 9 8 0 ' s C i t y i n i t i a t i v e s , but a l s o i n c l u d e s a l e n g t h y h i s t o r y o f ne ighbourhood p l a n n i n g i n the C i t y and f e d e r a l invo lvement i n American ne ighbourhoods , b o t h d a t i n g from the 1 9 4 0 ' s . 3 . 3 . 1 H i s t o r y o f F e d e r a l Involvement i n Neighbourhoods In the U n i t e d S t a t e s , f e d e r a l programs, some s i t u a t e d as f a r back as the l a t e 1 9 4 0 ' s , i n f l u e n c e d p o l i c y on ne ighbourhoods and on ne ighbourhood involvement . i n p l a n n i n g and l o c a l governance . Some of these programs were d i r e c t l y i n v o l v e d i n 3 . The N e i g h b o u r h o o d P l a n n i n g P o l i c y 31 S e a t t l e p l a n n i n g a c t i v i t y , w h i l e o t h e r s a f f e c t e d t h e l a r g e r environment o f p o v e r t y , r a c e r e l a t i o n s , and i n n e r c i t y d e c l i n e and r e g e n e r a t i o n w i t h i n which most l a r g e American c i t i e s o f t h e ti m e o p e r a t e d . The e a r l i e s t d i r e c t f e d e r a l i n f l u e n c e on neighbourhood p l a n n i n g i n t h e U n i t e d S t a t e s , from t h e l a t e 1940's, r e l a t e d t o urban renewal ( F a i n s t e i n , 1987:384)._ Subsequent programs were deve l o p e d , i n p a r t a t l e a s t , t o address s o c i e t a l i s s u e s which, i n t h e U n i t e d S t a t e s p a r t i c u l a r l y , found t h e i r e x p r e s s i o n i n p h y s i c a l p l a c e as much as s o c i a l phenomenon. The r e s u l t a n t s o c i a l a c t i v i s m components o f t h e s e programs h e a v i l y i n f l u e n c e d neighbourhood and community o r g a n i z a t i o n and development i n a number o f American c i t i e s . I n t h e e a r l y 1960's t h e O f f i c e f o r Economic O p p o r t u n i t y (OEO) i n i t i a t e d t h e Community A c t i o n Program (CAP). The OEO advo c a t e d " p o l i t i c a l autonomy f o r t h e neighbourhood, c o n f r o n t a t i o n i f n e c e s s a r y between neighbourhood groups and c i t y h a l l , [and] c l a i m e d ' a b s o l u t e ' s o v e r e i g n t y f o r i t s 'community'" (Wood, 1990:72). The War on P o v e r t y program, i n c o n c e r t w i t h CAP, l a b o u r e d under t h e s t a t u t o r y o b j e c t i v e o f "maximum f e a s i b l e p a r t i c i p a t i o n , i e t h e e s t a b l i s h m e n t o f s e p a r a t e neighbourhood power bases independent o f l o c a l c i t y h a l l s " ( I b i d . : 6 9 ) . However, by 1965 Housing and Urban Development had c r e a t e d t h e Model C i t i e s Program, which "developed t h e p r o c e s s o f mutual i n t e r d e p e n d e n c e between advocacy groups and e l e c t e d o f f i c i a l s " 3 . The N e i g h b o u r h o o d P l a n n i n g P o l i c y 32 ( I b i d . : 7 2 ) . By the e a r l y 1970's a number o f o t h e r f e d e r a l programs, i n c l u d i n g the Neighborhood Improvement Program (NIP), . had come and gone from the f e d e r a l scene (Tobin et a l . , Background R e p o r t : 9 ) . Soon, changes at the f e d e r a l p o l i t i c a l l e v e l would l e a d to the d e c l i n e o f f e d e r a l f u n d i n g invo lvement i n ne ighbourhoods: "By 1974, and the passage o f the Hous ing and Community Development A c t o f t h a t y e a r , v i r t u a l l y a l l f e d e r a l b a c k i n g f o r ne ighborhood . p l a n n i n g was gone" ( F a i n s t e i n , 1987 :386) . Neighbourhood p l a n n i n g i n S e a t t l e was i n f l u e n c e d by a number o f these f e d e r a l i n i t i a t i v e s . F e d e r a l programs t o address urban renewal and l a t e r , s o c i e t a l i s s u e s m a n i f e s t i n ne ighbourhoods , as w e l l as the s o c i a l a c t i v i s m o f the e r a , were a l l p a r t o f the t imes and the f e d e r a l f u n d i n g packages . S e a t t l e acce s sed a number o f these programs, and was i n t u r n i n f l u e n c e d by t h e i r c i t i z e n invo lvement i n d e c i s i o n - m a k i n g and community o r g a n i z a t i o n power a s p e c t s . As f e d e r a l d o l l a r s d r i e d up, the C i t y , as w e l l as i t s ne ighbourhoods , c o n t i n u e d w i t h o t h e r ne ighbourhood and ne ighbourhood p l a n n i n g i n i t i a t i v e s . 3 .3 .2 H i s t o r y o f Neighbourhood P l a n n i n g i n S e a t t l e The C i t y o f S e a t t l e has produced a number o f p l a n n i n g p r o d u c t s w i t h a ne ighbourhood o r i e n t a t i o n or ne ighbourhood 3. The N e i g h b o u r h o o d P l a n n i n g P o l i c y 33 component over the l a s t h a l f d e c a d e . 1 0 These i n c l u d e s e v e r a l ne ighbourhood or area p l a n s deve loped i n the 1 9 4 0 ' s and 1 9 5 0 ' s , the e s t a b l i s h m e n t i n the 1957 Comprehensive P l a n of ne ighbourhood and l a r g e r community d i s t r i c t b o u n d a r i e s , and the development o f the 1960 C e n t r a l A r e a P l a n on a n e i g h b o u r h o o d - b y -ne ighbourhood b a s i s . In the m i d - 1 9 6 0 ' s the C i t y p r e p a r e d a s e r i e s o f urban renewal p l a n s and i d e n t i f i e d a se t o f g e n e r a l needs f o r ne ighbourhood improvements . These f e d i n t o or were m o t i v a t e d by f e d e r a l programs o f the e r a , i n c l u d i n g the Model C i t i e s and Neighborhood Improvement Programs. Among the important l e g a c i e s o f t h i s e r a were the emphasis on c i t i z e n p a r t i c i p a t i o n as p a r t o f comprehensive p l a n n i n g , and an important b y - p r o d u c t o f the S e a t t l e Development Program (SDP), the O f f i c e o f Neighborhood P l a n n i n g (ONP). The SDP i n i t i a t e d a 1963 s tudy o f 112 SDP p l a n n i n g a r e a s , i n c l u d i n g 98 S e a t t l e ne ighbourhoods . In 1968 a county bond i s s u e p r o v i d e d $12 m i l l i o n to implement the SDP p h y s i c a l development recommendations, w i t h $ . 8 m i l l i o n se t a s i d e f o r a d m i n i s t r a t i o n and p l a n n i n g . To oversee t h i s work, the C i t y c r e a t e d the O f f i c e o f Neighborhood P l a n n i n g . The ONP, or i t s s u c c e s s o r s , went on to p a r t i c i p a t e i n a number o f developments of import t o S e a t t l e ne ighbourhoods and ne ighbourhood p l a n n i n g . 1 0 T h i s s u b - s e c t i o n , e x c e p t i n g the f i n a l two p a r a g r a p h s , i s adapted from T o b i n , Moy and D i g h t ' s 1987 document, Background R e p o r t , p p . 9 - 2 0 . 3. The N e i g h b o u r h o o d P l a n n i n g P o l i c y 34 From 1971 to 1976, NIP a c t i v i t y i n S e a t t l e was a d m i n i s t e r e d by the ONP. The p r o c e s s f o r implementa t ion was i n t e n d e d t o i n v o l v e c i t i z e n s i n l o c a l d e c i s i o n - m a k i n g , c r e a t e or s t r e n g t h e n community o r g a n i z a t i o n s , deve lop t r u s t and c r e d i b i l i t y between s t a f f and ne ighbourhood p e o p l e , s erve as an i n f o r m a t i o n c o n d u i t between the C i t y and the community, and i d e n t i f y and attempt to meet ne ighbourhood needs . M i n i - c o m p r e h e n s i v e p l a n s f o r each ne ighbourhood, once adopted by C i t y C o u n c i l , c l a r i f i e d elements of the C i t y Comprehensive P l a n and r e f i n e d the Comprehensive P l a n f o r t h e i r a r e a s . The p l a n n i n g p r o c e s s i n c l u d e d assignment of a ne ighbourhood p l a n n e r to each ne ighbourhood , and j o i n t i d e n t i f i c a t i o n and i n i t i a t i o n o f p u b l i c improvements by c i t i z e n s and ne ighbourhood p l a n n e r s . Through t h i s p r o c e s s c o n s t i t u e n c i e s f o r the p l a n s were c r e a t e d and ne ighbourhood community c o u n c i l s g a i n e d c o n s i d e r a b l e power. T h i s was i n p a r t because o f a h i g h l e v e l o f community p a r t i c i p a t i o n , which l e d to l o c a l support f o r p l a n s deve loped by ne ighbourhood o r g a n i z a t i o n s . C o n s e q u e n t l y , most ne ighbourhood p l a n s were adopted by C i t y C o u n c i l wi thout s i g n i f i c a n t change. A l t h o u g h o t h e r p o s i t i v e developments were to o c c u r , the p l a n n i n g p r o c e s s between c i t y and ne ighbourhood would not r e c o v e r t h i s b l e n d of s h a r i n g and in terdependence f o r decades t o come. In 1972 Community S e r v i c e C e n t e r s were e s t a b l i s h e d under the C i t i z e n s S e r v i c e B u r e a u . P r o v i d i n g a s s i s t a n c e to community o r g a n i z a t i o n s and c i t i z e n s at the l o c a l l e v e l , they c o n t i n u e 3. The N e i g h b o u r h o o d P l a n n i n g P o l i c y 35 t h i s s e r v i c e t o d a y . Now expanded i n number and i n range o f s e r v i c e s , t h e y are known c o l l o q u i a l l y as " l i t t l e c i t y h a l l s . " I n t h e mid-1970's t h e C i t y d e v e l o p e d t h e New Neighborhood Program, f i n a n c e d by Community Development B l o c k Grant f u n d s . T h i s program dropped t h e l a n d use and z o n i n g recommendation c a p a c i t y o f neighbourhoods from neighbourhood p l a n n i n g . The ONP a d m i n i s t e r e d t h e program, i n what was i n f o r m a l l y c o n s i d e r e d a C i t y - n e i g h b o u r h o o d p a r t n e r s h i p manner. None of t h e f i n a l n eighbourhood p r o d u c t s from t h i s p r o c e s s were adopted by C i t y C o u n c i l , however. In a d d i t i o n t o C i t y i n i t i a t i v e s , t h e i n i t i a t i v e s o f n e i g h b o u r h o o d - l e v e l o r g a n i z a t i o n s were a l s o i m p o r t a n t . T h i s a c t i v i t y , documented as f a r back as 1929, 1 1 has become i n s t i t u t i o n a l i z e d , and acknowledged i n S e a t t l e as a p o t e n t f o r c e . Today's one h u n d r e d - p l u s r e c o g n i z e d neighbourhood a s s o c i a t i o n s are " c o n s i d e r e d v e r y p o w e r f u l . " 1 2 In c o n t r a s t , B e r r y , P o r t n e y and Thomson w r i t i n g i n 1993 i n The R e b i r t h o f Urban Democracy o b s e r v e : "Neighborhood a s s o c i a t i o n s are common i n American c i t i e s , but r a r e l y a r e t h e y found i n each and e v e r y neighborhood, t a k e n s e r i o u s l y , and i n s t i t u t i o n a l i z e d i n t o a n A U n i v e r s i t y o f Washington s o c i o l o g y t h e s i s by I r e n e S o m e r v i l l e Durham, w r i t t e n i n 1929, e n t i t l e d "Community C l u b s i n S e a t t l e , " c i t e d i n Oropesa, 1984, p. 1170, i d e n t i f i e d 107 neighbourhood o r g a n i z a t i o n s i n m e t r o p o l i t a n S e a t t l e , much of which i s w i t h i n t o d a y ' s C i t y o f S e a t t l e boundary. 1 2Gary Lawrence, t h e n t h e D i r e c t o r o f P l a n n i n g f o r t h e C i t y o f S e a t t l e , s p e a k i n g a t a workshop i n New W e s t m i n s t e r , B r i t i s h Columbia, i n November, 1994. 3 . The N e i g h b o u r h o o d P l a n n i n g P o l i c y 36 c i t y ' s p o l i c y - m a k i n g p r o c e s s . " (286-7) In sum, neighbourhood p l a n n i n g i n t h e post-War y e a r s up t o t h e 1980's, i n i t i a t i v e s by b o t h t h e C i t y and S e a t t l e ' s neighbourhood o r g a n i z a t i o n s added i m p o r t a n t f e a t u r e s t o t h o s e i n t r o d u c e d by f e d e r a l i n i t i a t i v e s . These i n c l u d e t h e c r e a t i o n o f t h e O f f i c e o f Neighborhood P l a n n i n g (now known as t h e Department of Neighborhoods) , t h e i n t r o d u c t i o n ( i f o n l y f o r a w h i l e ) o f a c o l l a b o r a t i v e w o r k s t y l e between neighbourhoods and t h e C i t y , t h e i n t r o d u c t i o n o f Community S e r v i c e C e n t e r s , and t h e f a i l u r e i n t h e 1970's t o produce n e i g h b o u r h o o d - c r e a t e d p l a n s which t h e C i t y f e l t i t c o u l d adopt. Two o t h e r i n i t i a t i v e s , b o t h p o s i t i v e C i t y endeavours, complete t h e o v e r v i e w o f t h e g e n e s i s o f t h e Neighbourhood P l a n n i n g P o l i c y . 3.3.3 P i v o t a l C i t y o f S e a t t l e I n i t i a t i v e s Two C i t y o f S e a t t l e i n i t i a t i v e s d u r i n g t h e 1980's were o f p a r t i c u l a r i mportance t o t h e development and i n t r o d u c t i o n o f t h e Neighbourhood P l a n n i n g P o l i c y . The f i r s t was t h e c h a r g i n g o f t h e C i t y o f S e a t t l e P l a n n i n g Commission w i t h t h e t a s k o f s t u d y i n g neighbourhood p l a n n i n g , i n l a t e 1986. T h i s s t u d y r e s u l t e d i n a number of p r o d u c t s , i n c l u d i n g t h r e e r e p o r t s , 1 3 a number of p u b l i c meetings, and u l t i m a t e l y t h e c r e a t i o n o f t h e 1 3These are T o b i n , Moy and D i g h t ' s 1987 Background R e p o r t and A l t e r n a t i v e s R e p o r t , and t h e C i t y of S e a t t l e P l a n n i n g Commission's November, 1987 Neighborhood P l a n n i n g and A s s i s t a n c e Recommendations. 3. The N e i g h b o u r h o o d P l a n n i n g P o l i c y 37 Neighborhood M a t c h i n g Fund (NMF). The P l a n n i n g Commission a c t i v i t y brought peop le and i n f o r m a t i o n t o g e t h e r around the i s s u e o f ne ighbourhood p l a n n i n g i n a way which s t i m u l a t e d a number o f f u t u r e developments and c i t i z e n i n i t i a t i v e s . A number of these u l t i m a t e l y c o n t r i b u t e d d i r e c t l y or i n d i r e c t l y to the f o r m a t i o n o f the P o l i c y . The NMF, f i r s t funded from the C i t y budget o f 1 9 8 8 , was the o t h e r important C i t y i n i t i a t i v e o f the 1 9 8 0 ' s . Then as today i t "supports l o c a l , g r a s s r o o t s a c t i o n w i t h i n ne ighborhoods , [ p r o v i d i n g ] cash to match community c o n t r i b u t i o n s o f v o l u n t e e r l a b o r , p r o f e s s i o n a l s e r v i c e s , m a t e r i a l s , or cash i n support o f ne ighborhood-based s e l f - h e l p p r o j e c t s " ("Quick I n f o r m a t i o n " b r o c h u r e , n . d . : i n s i d e p a n e l ) . I t s o r i g i n a l mandate, a r i s i n g from the 1987 C i t y p o l i c y to expand n e i g h b o u r h o o d - g e n e r a t e d p l a n n i n g o p p o r t u n i t i e s (page 3 o f Attachment A t o C o u n c i l R e s o l u t i o n 2 7 7 0 9 , O c t o b e r , 1987) was g i v e n added v i t a l i t y by p r o v i s i o n o f a d d i t i o n a l r e s o u r c e s to communities t h r o u g h the NMF i n 1 9 8 9 . The ne ighbourhood o r g a n i z a t i o n o r i e n t a t i o n o f t h i s mandate and of the NMF i t s e l f was f u r t h e r s t r e n g t h e n e d i n 198 9 by a d d i t i o n o f the words "to support the p r e p a r a t i o n o f ne ighborhood p l a n s by neighborhood o r g a n i z a t i o n s " ( o r i g i n a l emphasis , Attachment A t o C o u n c i l R e s o l u t i o n 2 8 1 1 5 , December, 1 9 8 9 : 3 ) . C r e a t e d as one component o f a number w i t h i n the Neighborhood P l a n n i n g and A s s i s t a n c e Program, the NMF, a l o n g 3 . The N e i g h b o u r h o o d P l a n n i n g P o l i c y 38 w i t h the o t h e r components, u shered i n a renewed i n t e r e s t on the C i t y ' s p a r t i n ne ighbourhood invo lvement i n ne ighbourhood p l a n n i n g . The NMF, the s tudy by the P l a n n i n g Commission, and a c t i o n s o f b o t h the C i t y and ne ighbourhood o r g a n i z a t i o n s over the decades r e p r e s e n t important i n f l u e n c e s at the l o c a l government l e v e l on ne ighbourhood p l a n n i n g p o l i c y i n S e a t t l e . At the s e n i o r government l e v e l , i n a d d i t i o n to f e d e r a l i n i t i a t i v e s d e s c r i b e d above, one i n i t i a t i v e i n p a r t i c u l a r o f the Washington S t a t e government was p i v o t a l . T h i s was the i n t r o d u c t i o n i n 1990 o f the Growth Management A c t . 3 .3 .4 The Growth Management A c t With passage i n 1990 o f the Growth Management A c t (GMA) , and s t r e n g t h e n i n g amendments i n t r o d u c e d i n 1991, Washington S t a t e c r e a t e d a demanding new p l a n n i n g paradigm f o r l o c a l and r e g i o n a l governments w i t h i n i t s j u r i s d i c t i o n . Intended t o c o n t r o l and manage growth i n an a c c e p t a b l e and s e n s i t i v e manner, and i n c r e a s e c o o p e r a t i o n and c o o r d i n a t i o n i n p l a n n i n g , t h i s A c t r e q u i r e s c i t i e s and u r b a n i z e d areas to "prepare , adopt , and implement comprehensive p l a n s " ( B a n n i s t e r and H e i n t z , 1994:89) . To ach i eve these ends the A c t i n t r o d u c e d an urban growth boundary r e q u i r e m e n t , and c o n s i s t e n c y , comprehensiveness and c o n c u r r e n c y r e q u i r e m e n t s . The f o l l o w i n g e x c e r p t e x p l a i n s the urban growth boundary requirement w e l l : S e c t i o n 29 o f the ac t s t i p u l a t e s t h a t c o u n t i e s ( i n c o n s u l t a t i o n w i t h c i t i e s ) p l a n n i n g under the A c t " s h a l l 3. The Neighbourhood Planning Po l i cy 39 d e s i g n a t e an urban growth a r e a or areas w i t h i n which urban growth s h a l l be encouraged and o u t s i d e o f which growth can occur o n l y i f i t i s not urban i n na ture" (State o f Washington 1990a, 30) . . . . F u t u r e urban growth i s t o be r e s t r i c t e d to areas t h a t are a l r e a d y c h a r a c t e r i z e d by urban growth . . . ( B a n n i s t e r and H e i n t z , 1994:94) . The c o n c u r r e n c y r e q u i r e m e n t : s t i p u l a t e s t h a t p u b l i c f a c i l i t i e s and s e r v i c e s be adequate to support the i n c r e a s e d p o p u l a t i o n a t t r i b u t a b l e t o new development . I t f u r t h e r s p e c i f i e s t h a t t h i s must o c c u r wi thout j e o p a r d i z i n g s e r v i c e l e v e l s f o r e x i s t i n g ne ighbourhoods . T h i s measure ensures t h a t e x i s t i n g r e s i d e n t s do not assume an a d d i t i o n a l f i n a n c i a l burden r e s u l t i n g from growth. ( I b i d . : 9 4 ) Two a d d i t i o n a l c r i t i c a l a spec t s o f the A c t a r e : the requirement f o r comprehensiveness and the requirement f o r c o n s i s t e n c y . A c c o r d i n g to the S e a t t l e P l a n n i n g Department ' s C i t i z e n ' s G u i d e , comprehensiveness r e q u i r e s [ look ing] at the c i t y as an i n t e g r a t e d se t o f urban systems of l a n d use , h o u s i n g , t r a n s p o r t a t i o n , c a p i t a l f a c i l i t i e s and u t i l i t i e s . A l l areas o f the c i t y and a l l e lements o f the P l a n are addressed from a c i t y w i d e p e r s p e c t i v e . (14) The c o n s i s t e n c y requirement has been d e s c r i b e d as f o l l o w s : The p l a n a v o i d s i n t e r n a l c o n t r a d i c t i o n s , and must not i n t e r f e r e w i t h the s u c c e s s f u l implementa t ion o f the p l a n s o f n e i g h b o r i n g j u r i s d i c t i o n s . S e a t t l e ' s P l a n must be g u i d e d by K i n g C o u n t y ' s growth management p o l i c i e s , and those o f V i s i o n 2020, the r e g i o n a l p l a n deve loped by the Puget Sound R e g i o n a l C o u n c i l . . ( I b i d . , 14) The GMA a l s o a r t i c u l a t e d a number o f g o a l s a d d r e s s i n g s o c i a l , e n v i r o n m e n t a l , economic, and f i s c a l a r e a s , and i n c l u d e d one f o r c i t i z e n p a r t i c i p a t i o n and c o o r d i n a t i o n . T h i s p r o v i s i o n i s i n t e n d e d to "[e]ncourage the involvement o f c i t i z e n s i n the p l a n n i n g p r o c e s s and ensure c o o r d i n a t i o n between communit ies and j u r i s d i c t i o n s to r e c o n c i l e c o n f l i c t s . . . " ( I b i d . : 9 1 ) . S e a t t l e ' s 3. The N e i g h b o u r h o o d P l a n n i n g P o l i c y 40 Framework P o l i c i e s , r e f l e c t i n g a s e t o f a r t i c u l a t e d community v a l u e s , a l s o p r o v i d e g u i d a n c e w i t h i n t h e c o n s i s t e n c y r u b r i c . Each o f t h e s e growth management r e q u i r e m e n t s , a l o n g w i t h t h e Framework P o l i c i e s , narrows i n one way or a n o t h e r t h e C i t y ' s l a t i t u d e i n i t s r e l a t i o n s h i p s w i t h neighbourhoods. The combined e f f e c t i s t o r e q u i r e c o n t i n u e d u r b a n i t y , r e s p e c t f o r e x i s t i n g neighbourhoods, a comprehensive o u t l o o k i n c i t y w i d e and neighbourhood p l a n n i n g , and c o n s i s t e n c y between neighbourhood and c i t y p l a n s . The r e s u l t i n S e a t t l e was an imposed n e c e s s i t y f o r some k i n d o f neighbourhood p l a n n i n g program. As t h e Comprehensive P l a n i t s e l f s t a t e s , i t was t h e s e p o l i c i e s w hich i n s p i r e d t h e i n c l u s i o n o f a neighbourhood p l a n n i n g element (v) . S e a t t l e adopted i t s Comprehensive P l a n p u r s u a n t t o t h i s l e g i s l a t i o n i n J u l y , 1994. The C i t y o f S e a t t l e Neighbourhood P l a n n i n g P o l i c y embodies a number of elements whose o r i g i n s can be t r a c e d t o t h e f a c t o r s d e s c r i b e d above i n t h e P o l i c y ' s g e n e s i s . These elements a r i s e from a unique c o n f l u e n c e o f r e q u i r e m e n t s and e v e n t s i n v o l v i n g i n t e r v e n t i o n s by neighbourhood o r g a n i z a t i o n s and a l l t h r e e l e v e l s o f government. These r e f l e c t t h e s o c i a l a c t i v i s m o f t h e 1960's, t h e neighbourhood p l a n n i n g o r i e n t a t i o n o f t h e 1970's, p i v o t a l C i t y i n i t i a t i v e s o f t h e 1980's, and c e r t a i n 1990's p r e s s u r e s which c o n t r i b u t e d t o i t s f o r m a t i o n . C i t i z e n i n v o l v e m e n t i n d e c i s i o n - m a k i n g , community o r g a n i z a t i o n power, s u p p o r t i v e C i t y a g e n c i e s , C i t y f u n d i n g f o r neighbourhood 3. The Neighbourhood Planning Po l i cy 41 o r g a n i z a t i o n s d o i n g ne ighbourhood p l a n n i n g , a h i s t o r y o f p l a n n i n g c o g n i z a n t f o r the most p a r t o f the ne ighbourhood l e v e l , and an emphasis on ne ighbourhood p l a n s by ne ighbourhood o r g a n i z a t i o n s a l l c o n t r i b u t e d to c r e a t i o n o f a p o l i c y which shares power between the C i t y and neighbourhoods i n ways c o n s i s t e n t w i t h d e m o c r a t i c f u n c t i o n i n g and ne ighbourhood o r g a n i z a t i o n e f f e c t i v e n e s s . A number o f these themes emerge i n the I n t e r v i e w F i n d i n g s , which are p r e s e n t e d i n Chapter 5. The methodology f o r the r e s e a r c h which p r o v i d e d these f i n d i n g s i s c o n s i d e r e d next , i n Chapter 4. 4. RESEARCH METHODOLOGY Q u a l i t a t i v e interviewing begins with the assumption that the perspective of others i s meaningful, knowable, and able to be made e x p l i c i t . M i c h a e l Quinn P a t t o n , e v a l u a t i v e r e s e a r c h -e x p e r t 1 4 T h i s c h a p t e r o u t l i n e s the t h r e e k i n d s o f d a t a g a t h e r i n g undertaken f o r t h i s t h e s i s , d i s c u s s e s q u a l i t a t i v e methodolog ies and i n t e r v i e w i n g as the t o o l chosen f o r the o r i g i n a l r e s e a r c h , and c l o s e s w i t h a b r i e f d i s c u s s i o n o f the l i m i t a t i o n s and b e n e f i t s o f the methodology. 4.1 Research Overview M a t e r i a l f o r t h i s t h e s i s was g a t h e r e d from t h r e e main s o u r c e s : (1) a l i t e r a t u r e rev iew, the r e s u l t s o f which are p r e s e n t e d i n Chapter 2; (2) a document rev iew, the f i n d i n g s from which comprise the major p o r t i o n o f Chapter 3 ; and (3) i n t e r v i e w s w i t h f o u r t e e n in formed p a r t i c i p a n t s i n v o l v e d i n the g e n e s i s , development and i n t r o d u c t i o n o f S e a t t l e ' s Neighbourhood P l a n n i n g P o l i c y , which are r e p o r t e d i n Chapter 5. The document rev iew and i n t e r v i e w s comprise the case s tudy r e s e a r c h . M a t e r i a l from the l i t e r a t u r e rev iew and b o t h s t r a n d s o f the case study r e s e a r c h are woven t o g e t h e r throughout Chapter 5, t o be a n a l y z e d i n p a r a l l e l w i t h p r e s e n t a t i o n o f i n t e r v i e w f i n d i n g s . 1 4 1990, p . 278. 42 4. R e s e a r c h M e t h o d o l o g y 43 4.2 Interview Research The purpose o f the case s tudy r e s e a r c h was to i d e n t i f y the f a c t o r s which l e d the C i t y o f S e a t t l e to deve lop and adopt i t s p o w e r - s h a r i n g ne ighbourhood p l a n n i n g model . The purpose o f the i n t e r v i e w s was to complement and extend document rev iew f i n d i n g s , by l e a r n i n g about the f a c t o r s f o r the P o l i c y ' s g e n e s i s , development and i n t r o d u c t i o n from peop le who were i n v o l v e d w i t h one or more o f these a s p e c t s . I n t e r v i e w s were c a r r i e d out u s i n g the Guided I n t e r v i e w A p p r o a c h , a q u a l i t a t i v e r e s e a r c h methodology. 4 .2 .1 Q u a l i t a t i v e Methodo log i e s and I n t e r v i e w i n g Canadian p u b l i c p o l i c y exper t Stephen B r o o k s , i n h i s book P u b l i c P o l i c y i n Canada: An I n t r o d u c t i o n , s t a t e s t h a t " [ q u a l i t a t i v e ] methods are f r e q u e n t l y employed i n the s tudy o f p o l i c y f o r m a t i o n , thr ou gh i n t e r v i e w i n g the p a r t i c i p a n t s i n the d e c i s i o n p r o c e s s " (1993:30) . I n t e r v i e w i n g , used as a q u a l i t a t i v e r e s e a r c h methodology, was s e l e c t e d f o r the o r i g i n a l r e s e a r c h of t h i s t h e s i s f o r two main r e a s o n s . The f i r s t i s t h a t t h i s methodology accommodates the p o s s i b i l i t y t h a t a d i v e r s i t y of views may a l l v a l i d l y e x p l a i n the same phenomenon. As i t seemed l i k e l y t h a t p o l i c y on p o w e r - s h a r i n g would deve lop because of m u l t i p l e (and even competing) f a c t o r s , an open-ended approach to i n q u i r y seemed a p p r o p r i a t e . As Shulamit R e i n h a r z o b s e r v e s , " i n t e r v i e w r e s e a r c h e x p l o r e s p e o p l e ' s views of r e a l i t y and 4. Research Methodology 44 a l l o w s the r e s e a r c h e r to generate t h e o r y . In t h i s way i t complements q u a n t i t a t i v e l y o r i e n t e d , c l o s e - e n d e d i n t e r v i e w r e s e a r c h t h a t t r i e s to t e s t hypotheses" (1992:18). The second reason was t h a t no academic or o t h e r m a t e r i a l was uncovered a d d r e s s i n g the t o p i c o f f o r m a t i o n of p o w e r - s h a r i n g p o l i c i e s i n ne ighbourhood p l a n n i n g . The development o f an u n d e r s t a n d i n g o f the m o t i v a t i n g f a c t o r s , i f not o f an a c t u a l t h e o r y , i n v o l v e d i n the f o r m a t i o n of such p o l i c y sugges ted a n o n - q u a n t i t a t i v e , d i s c o v e r y - o r i e n t e d methodology. 4 .2 .2 Sampl ing U n l i k e q u a n t i t a t i v e methodo log i e s , which r e l y on randomness and s i z e i n s a m p l i n g , q u a l i t a t i v e methodolog ies a l l o w i n f e r e n c e s and c o n c l u s i o n s to be drawn based on the r i c h n e s s o f d a t a g a t h e r e d , the keenness o f o b s e r v a t i o n and a n a l y s i s , and the c a r e e x e r c i s e d i n d e s i g n and e x e c u t i o n o f the s t u d y . Q u e s t i o n s about how to sample i n q u a l i t a t i v e r e s e a r c h were i n i t i a l l y the most p e r p l e x i n g i n d e s i g n o f t h i s aspect o f the r e s e a r c h . D i r e c t i o n was found i n the remarks o f M i c h a e l Quinn P a t t o n , who s t a t e s : Perhaps n o t h i n g b e t t e r c a p t u r e s the d i f f e r e n c e between q u a n t i t a t i v e and q u a l i t a t i v e methods than the d i f f e r e n t l o g i c s t h a t u n d e r g i r d sampl ing approaches . Q u a l i t a t i v e i n q u i r y t y p i c a l l y focuses i n depth on r e l a t i v e l y s m a l l samples , even s i n g l e cases (n=l) , s e l e c t e d purposefully. The l o g i c and power o f p u r p o s e f u l sampl ing l i e s i n s e l e c t i n g information-rich cases f o r s tudy i n d e p t h , ( o r i g i n a l emphasis , 1990:169) F o r t h i s s tudy , sampl ing was i n i t i a t e d v i a a snowba l l t e c h n i q u e , i n which names o f p o t e n t i a l i n t e r v i e w e e s were 4. Research Methodology 45 c o n t i n u o u s l y s o l i c i t e d from a wide range o f s o u r c e s , u n t i l September, 1995. S e l e c t i o n o f i n t e r v i e w e e s from the e v o l v i n g l i s t thus genera ted was then r e f i n e d , based on "maximum v a r i a t i o n " sampl ing t e c h n i q u e s ( a f t e r P a t t o n : 1 7 2 ) . T h i s sampl ing p r o c e s s was chosen because i t y i e l d s "two k i n d s o f f i n d i n g s : (1) h i g h q u a l i t y , d e t a i l e d d e s c r i p t i o n s . . . and (2) important shared p a t t e r n s t h a t cut a c r o s s cases and d e r i v e t h e i r s i g n i f i c a n c e from h a v i n g emerged out o f h e t e r o g e n e i t y " ( I b i d . : 1 7 2 ) . The v a r i a t i o n i n t h i s sample i s d e r i v e d from i n c l u s i o n o f i n t e r v i e w e e s from the t h r e e main c a t e g o r i e s o f involvement w i t h the P o l i c y : (1) a p p o i n t e d o f f i c i a l ( b u r e a u c r a t ) , (2) e l e c t e d o f f i c i a l ( p o l i t i c i a n ) , and (3) r e p r e s e n t a t i v e o f ne ighbourhood o r g a n i z a t i o n . A f o u r t h c a t e g o r y was compr i sed o f a r e p r e s e n t a t i v e from each of the f o l l o w i n g groups : media , academia, " c i t y b u i l d e r s " ( r e p r e s e n t a t i v e o f the chamber o f commerce or development community) , and p l a n n i n g c o n s u l t a n t s . In s e l e c t i o n o f i n d i v i d u a l s w i t h i n these c a t e g o r i e s , a fundamental requirement i n every case was the i n d i v i d u a l ' s involvement w i t h the g e n e s i s , development or i n t r o d u c t i o n o f the P o l i c y . A second requirement was c h a r a c t e r i z a t i o n o f each p o t e n t i a l i n t e r v i e w e e by o t h e r s as b o t h . r e f l e c t i v e and a r t i c u l a t e . Some c o n s i d e r a t i o n was a l s o g i v e n t o c h a r a c t e r i s t i c s such as age, gender , e t h n i c i t y , g e o g r a p h i c r e p r e s e n t i v i t y , and p r o f e s s i o n . In t h i s way a degree o f 4 . R e s e a r c h M e t h o d o l o g y 4 6 demographic d i v e r s i t y w i t h i n the t o t a l i n t e r v i e w e e p o p u l a t i o n was a l s o a c h i e v e d . F i n a l l y , some i n t e r v i e w e e s were s e l e c t e d to p r o v i d e d a t a f o r what P a t t o n termed " c o n f i r m i n g or d i s c o n f i r m i n g c a s e s . " T h e i r s e l e c t i o n i n v o l v e s t e s t i n g i d e a s , c o n f i r m i n g the importance o f meaning o f p o s s i b l e p a t t e r n s , and c h e c k i n g out the v i a b i l i t y o f emergent f i n d i n g s w i t h new d a t a an a d d i t i o n a l c a s e s . C o n f i r m i n g cases . . . e l a b o r a t e the f i n d i n g s , add ing r i c h n e s s , depth , and c r e d i b i l i t y . D i s c o n f i r m i n g cases . . . are a source o f r i v a l i n t e r p r e t a t i o n s as w e l l as a way of p l a c i n g b o u n d a r i e s around c o n f i r m e d f i n d i n g s . ( I b i d . : 1 7 8 ) Seventeen i n d i v i d u a l s were e v e n t u a l l y s e l e c t e d and approached to p a r t i c i p a t e , and f o u r t e e n i n t e r v i e w s were u l t i m a t e l y comple ted . However, many o t h e r t h o u g h t f u l and a r t i c u l a t e persons i n v o l v e d w i t h the i n t r o d u c t i o n o f t h i s P o l i c y were a l s o i d e n t i f i e d i n the course o f t h i s r e s e a r c h , who were not i n t e r v i e w e d . The l i s t o f peop le approached and i n t e r v i e w e d i s p r o v i d e d i n Appendix A . 4 .2 .3 The I n t e r v i e w Guide Approach The i n t e r v i e w r e s e a r c h adopted the " i n t e r v i e w gu ide approach" ( a f t e r P a t t o n : 2 8 0 ) , i n which a se t o f i s s u e s i s i d e n t i f i e d f o r e x p l o r a t i o n w i t h every i n t e r v i e w e e . The i n t e r v i e w guide ensured these i s s u e s were addres sed i n a s i m i l a r way i n each i n t e r v i e w , w h i l e a l l o w i n g t a i l o r i n g o f the e n s u i n g d i s c u s s i o n to address s t r e n g t h s , i n t e r e s t s and i s s u e s s p e c i f i c to each i n t e r v i e w e e and d i s c u s s i o n . Q u e s t i o n s moved from 4. Research Methodology 47 g e n e r a l to s p e c i f i c and from open-ended to c l o s e - e n d e d . I ssues of r a p p o r t - b u i l d i n g , p r o g r e s s i o n through t i m e , degrees o f d i f f i c u l t y , and l e v e l o f d e t a i l were a l s o addres sed i n d e s i g n o f the i n t e r v i e w g u i d e . Ques t ions were posed i n every i n t e r v i e w a d d r e s s i n g : (1) a t t r i b u t e s unique to S e a t t l e r e l a t e d t o the P o l i c y ' s i n t r o d u c t i o n , (2) the r o l e o f ne ighbourhood o r g a n i z a t i o n s i n the P o l i c y ' s i n t r o d u c t i o n , and (3) acceptance o f p o w e r - s h a r i n g by the C i t y . In most i n t e r v i e w s , a f o u r t h q u e s t i o n a d d r e s s i n g e i t h e r b a l a n c e among n e i g h b o u r h o o d / c i t y / r e g i o n , or problems ne ighbourhood p l a n n i n g s h o u l d not be used to a d d r e s s , was i n c l u d e d . Every i n t e r v i e w c l o s e d w i t h d i s c u s s i o n o f a p r e - s e t s e v e n t e e n - i t e m c h e c k l i s t o f f a c t o r s which might have p l a y e d a r o l e i n i n t r o d u c t i o n o f the P o l i c y . In terv iewees were asked to i n d i c a t e which i t e m s / f a c t o r s i n t h e i r o p i n i o n p l a y e d a r o l e , t o add any which were m i s s i n g , and then to a s s i g n p r i o r i t y among the f a c t o r s s e l e c t e d . The c h e c k l i s t a l l o w e d unaddressed t o p i c s to a r i s e , and p r o v i d e d an o p p o r t u n i t y f o r r e f i n i n g or r e d e f i n i t i o n o f concepts and p h r a s i n g . In some cases i t a l s o s t i m u l a t e d g e n e r a t i o n o f a d d i t i o n a l f a c t o r s . A d d i t i o n a l d e t a i l about r e s e a r c h i n t e r v i e w implementa t ion i s p r o v i d e d i n Appendix B . A sample I n t e r v i e w Guide and c h e c k l i s t are p r o v i d e d i n Appendices E and F . 4. Research Methodology 48 4.3 L i m i t a t i o n s and B e n e f i t s The f i n d i n g s from q u a l i t a t i v e i n t e r v i e w i n g can be p r o b l e m a t i c i f c a r e i s not t a k e n i n s e l e c t i o n o f i n t e r v i e w e e s , e x e c u t i o n o f i n t e r v i e w s and subsequent a n a l y s i s , and i f , i n t h i s case, t h e i n t e r v i e w e e s t h e m s e l v e s do not c o n s t i t u t e a p a r t i c u l a r l y t h o u g h t f u l o r a n a l y t i c a l p o p u l a t i o n . C o r r o b o r a t i v e f i n d i n g s i n t h e document and l i t e r a t u r e s r e v i e w s s u p p o r t i n t e r v i e w r e s u l t s , and remove some o f t h e s e r e s e r v a t i o n s . The r e l a t i v e l y broad, d i v e r s e and e x c e e d i n g l y a r t i c u l a t e and r e f l e c t i v e n a t u r e o f t h e i n t e r v i e w p o p u l a t i o n as a whole, f o r a sample o f t h i s s i z e , a l s o s u g g e s t s r e l i a b i l i t y . As i s o f t e n t h e case w i t h r e s e a r c h bent on d i s c o v e r y r a t h e r t h a n v e r i f i c a t i o n , subsequent r e s e a r c h t o " t e s t " some o f t h e f i n d i n g s o r c o n c l u s i o n s c o u l d be w o r t h w h i l e . The methodology's r e p u t a t i o n f o r r e s p e c t f o r p e o p l e ' s c a p a c i t y t o know and f o r d i v e r s e and competing p e r s p e c t i v e s t o s t a n d s i d e by s i d e p r o v e d i t s g r e a t e s t c o n t r i b u t i o n . The next c h a p t e r p r e s e n t s t h e r e s u l t s from t h e i n t e r v i e w r e s e a r c h . 5. INTERVIEW FINDINGS.AND ANALYSIS "But the real answer why municipal governments come to support neighbourhood planning in any form i s quite simple: p o l i t i c a l pressure. D a v i d Sucher , S e a t t l e P l a n n e r 1 5 T h i s c h a p t e r r e p o r t s the f i n d i n g s o f i n t e r v i e w r e s e a r c h w i t h "key in formants" i n v o l v e d w i t h the Neighbourhood P l a n n i n g P o l i c y ' s g e n e s i s , development and i n t r o d u c t i o n . The purpose o f the i n t e r v i e w r e s e a r c h was to i d e n t i f y the f a c t o r s which l e d the C i t y o f S e a t t l e to adopt and implement the P o l i c y . The P o l i c y was chosen as the case f o r s tudy because i t shares power between government and community groups , i n the area o f ne ighbourhood p l a n n i n g . The peop le i n t e r v i e w e d i n c l u d e two who have run or are r u n n i n g f o r e l e c t e d o f f i c e , f o u r a p p o i n t e d o f f i c i a l s , f o u r r e p r e s e n t a t i v e s o f ne ighbourhood o r g a n i z a t i o n s , and f o u r o t h e r s i n v o l v e d i n v a r i o u s c a p a c i t i e s w i t h the P o l i c y ' s g e n e s i s , development and i n t r o d u c t i o n . These peop le a r e : E l e c t e d o f f i c e : J im S t r e e t , Councilmember and P r e s i d e n t o f the S e a t t l e C i t y C o u n c i l ; Pat S t r o s a h l , c a n d i d a t e f o r S e a t t l e C i t y C o u n c i l ; and V i c e -P r e s i d e n t , V i s i o n S e a t t l e (a community o r g a n i z a t i o n ) , and 1 5 E - m a i l d i s c u s s i o n , J u l y , 1995. 49 I n t e r v i e w F i n d i n g s and A n a l y s i s 50 member of the C i t y o f S e a t t l e Neighborhood P l a n n i n g A d v i s o r y Committee, and the S e a t t l e Neighborhood C o a l i t i o n ; A p p o i n t e d o f f i c e : J im D i e r s , D i r e c t o r o f the C i t y o f S e a t t l e Department o f Ne ighborhoods; E l l e n Kissman, S e n i o r P l a n n e r , O f f i c e f o r Management and P l a n n i n g , C i t y o f S e a t t l e ; Gary Lawrence, immediate p a s t D i r e c t o r o f P l a n n i n g , C i t y o f S e a t t l e , and c u r r e n t D i r e c t o r , C e n t e r f o r S u s t a i n a b l e Communit ies , C o l l e g e o f A r c h i t e c t u r e and Urban P l a n n i n g , U n i v e r s i t y o f Washington; Karma Ruder, D i r e c t o r o f the Neighborhood P l a n n i n g O f f i c e , C i t y o f S e a t t l e ; Neighbourhood o r g a n i z a t i o n : Kent Kammerer, P r e s i d e n t o f the S e a t t l e Neighborhood C o a l i t i o n ; V i v i a n McLean, P r e s i d e n t of. the S e a t t l e Community C o u n c i l F e d e r a t i o n , S e c r e t a r y o f the C i t y Neighborhood C o u n c i l , V i c e - C h a i r o f the S e a t t l e Neighborhood C o a l i t i o n , C o - c h a i r of the D e l r i d g e D i s t r i c t C o u n c i l , and- member o f the Open Space O v e r s i g h t Committee and The Creek P e o p l e ; Tom Wales , o r i g i n a l Queen A n n e - M a g n o l i a D i s t r i c t C o u n c i l C h a i r , and pas t C h a i r o f the Queen Anne Community C o u n c i l , member o f the C i t y o f S e a t t l e P l a n n i n g Commission, and C i t y of S e a t t l e Des ign Review B o a r d ; Eugene Wasserman, E x e c u t i v e - D i r e c t o r o f the Ne ighborhood B u s i n e s s C o u n c i l ; I n t e r v i e w F i n d i n g s and A n a l y s i s 51 V a r i o u s : Dennis Ryan, C h a i r o f the Department o f Urban Des ign and P l a n n i n g , C o l l e g e o f A r c h i t e c t u r e and Urban P l a n n i n g , U n i v e r s i t y o f Washington, C h a i r o f the C i t y o f S e a t t l e P l a n n i n g Commission, and one o f two Commission members on the C i t y ' s Neighborhood P l a n n i n g A d v i s o r y Committee; Tim S t . C l a i r , S t a f f W r i t e r f o r the "West S e a t t l e H e r a l d " (a community newspaper); C a r o l i n e T o b i n , p r e v i o u s l y an independent p l a n n i n g c o n s u l t a n t , and c u r r e n t l y s e r v i n g on the S e a t t l e Landmark P r e s e r v a t i o n Board as a h i s t o r i a n r e p r e s e n t a t i v e ; and T a y l o e Washburn, head of the G r e a t e r S e a t t l e Chamber o f Commerce Task F o r c e on the Implementat ion o f the Growth Management A c t and o f the S e a t t l e Comprehensive P l a n Review Committee. A l l o f these i n d i v i d u a l s , d e s p i t e n o t a t i o n here o f t h e i r v a r i o u s r o l e s and a f f i l i a t i o n s , were asked t o speak o n l y on b e h a l f o f themse lves . The f o l l o w i n g f o u r s e c t i o n s p r e s e n t the i n t e r v i e w f i n d i n g s a c c o r d i n g to themes, or f a c t o r s r e l a t e d to the P o l i c y ' s i n t r o d u c t i o n . These a r e : ne ighbourhoods and ne ighbourhood o r g a n i z a t i o n s , c o n t e x t , and p r e s s u r e . A f o u r t h theme, d e a l i n g w i t h needs which the P o l i c y meets, i s d i s c u s s e d l a s t . These f i n d i n g s are p r e s e n t e d f o r the most p a r t a c c o r d i n g t o f requency o f ment ion . L i t e r a t u r e and document rev iew f i n d i n g s are i n s e r t e d where a p p r o p r i a t e t o f a c i l i t a t e a n a l y s i s . The words o f the i n t e r v i e w e e s are used wherever p o s s i b l e . I n t e r v i e w F i n d i n g s and A n a l y s i s 52 5.1 Neighbourhoods and Their Organizations are Present and Functional What people neighbourhoods. cherish here is their J im D i e r s 16 S e a t t l e ' s ne ighbourhoods are d i s t i n c t i v e and S e a t t l e ' s t r a d i t i o n o f o r g a n i z a t i o n at the ne ighbourhood l e v e l dates from the e a r l y p a r t o f the c e n t u r y . The ne ighbourhood f a c t and the consequent presence o f c i t i z e n o r g a n i z a t i o n at the ne ighbourhood l e v e l were fundamental to the g e n e s i s and development o f the P o l i c y . 5 . 1 .1 I d e n t i f i a b l e and I d e n t i f i e d - W i t h Neighbourhoods Almost a l l i n t e r v i e w e e s i n t r o d u c e d the theme of S e a t t l e ' s fundamental na ture as "a c i t y o f ne ighbourhoods ." One (Tobin) a l s o s a i d t h a t ne ighbourhoods form "an impor tant p a r t o f the C i t y ' s i d e n t i t y , " w h i l e a number went f u r t h e r , s p e c i f y i n g t h a t S e a t t l e i t e s i d e n t i f y w i t h t h e i r ne ighbourhoods r a t h e r than w i t h 1 6 T h i s heading quote and a l l subsequent head ing quotes i n t h i s c h a p t e r are taken from t h e s i s i n t e r v i e w m a t e r i a l . If you're in Seattle and you ask somebody else from Seattle where they l i v e , they never say Seattle. They always give their neighbourhood designation. Gary Lawrence I n t e r v i e w F i n d i n g s and A n a l y s i s 53 the C i t y as a whole ( D i e r s , Kammerer, Kissman, Lawrence, S t . C l a i r ) . S e a t t l e ' s "very l o n g t r a d i t i o n o f ne ighbourhoods" (Ruder) f e a t u r e d i n a number o f comments ( D i e r s , Kissman, Ruder , S t r o s a h l ) . S e v e r a l i n t e r v i e w e e s e l a b o r a t e d on the o r i g i n s o f and e x p l a n a t i o n s f o r t h i s t r a d i t i o n and f o r S e a t t l e i t e s ' i d e n t i f i c a t i o n w i t h t h e i r ne ighbourhoods . Kissman and Ryan noted the s e r i e s o f annexat ions which c o n t i n u e d u n t i l the l a t e 1950's . These s w e l l e d S e a t t l e ' s l a n d mass and i n c o r p o r a t e d i n t o S e a t t l e a number o f s m a l l towns or v i l l a g e s which a l r e a d y had t h e i r own names and sense o f community. Other i n t e r v i e w e e s , i n c l u d i n g S t r e e t n o t a b l y , spoke about topography , geography, h i s t o r i c hubs o f economic a c t i v i t y , and s o c i a l f a c t o r s , m i r r o r i n g many of these comments o f D i e r s : I t h i n k our geography, the h i l l s and v a l l e y s and the water , makes f o r p r e t t y d e f i n e d ne ighbourhoods . In a d d i t i o n , t h e r e are p r e t t y s t r o n g ne ighbourhood commercia l d i s t r i c t s , and those h e l p to d e f i n e each ne ighbourhood . . . . [M]ost ne ighbourhoods have an e lementary s c h o o l and the e lementary s c h o o l o f t e n has the same name as the ne ighbourhood . So t h a t a l s o p r o v i d e s a r e a l i d e n t i t y . And then t h e r e are o t h e r s t h i n g s , t o o . I mean o f t e n t h e r e ' s sometimes the houses , the h o u s i n g s tock i s o f a p a r t i c u l a r t y p e , we've got a f l o a t i n g homes ne ighbourhood t h a t ' s p r e t t y d i s t i n c t i v e . I t ' s sometimes, a l t h o u g h f a i r l y i n f r e q u e n t l y , i t ' s d e f i n e d e t h n i c a l l y as w e l l . We have one ne ighbourhood t h a t was l a r g e l y Norwegian. We have another ne ighbourhood t h a t was s o r t o f a t r a d i t i o n a l A f r i c a n - A m e r i c a n ne ighbourhood, a l t h o u g h now i t ' s a v e r y d i v e r s e ne ighbourhood . In sum, i n t e r v i e w f i n d i n g s i n d i c a t e S e a t t l e ' s s e l f -c h a r a c t e r i z a t i o n as a c i t y o f ne ighbourhoods and the i d e n t i f i c a t i o n o f i t s c i t i z e n s w i t h these ne ighbourhoods were Interview Findings and Analys is 54 important f e a t u r e s i n the genes i s and development o f the Neighbourhood P l a n n i n g P o l i c y . The impor tant p l a c e S e a t t l e i t e s a c c o r d t h e i r ne ighbourhoods undoubted ly c o n t r i b u t e d to the development o f o r g a n i z a t i o n s at the ne ighbourhood l e v e l , and these o r g a n i z a t i o n s were a l s o a f a c t o r i n the P o l i c y ' s development . 5 .1 .2 Presence and A c t i o n o f Neighbourhood O r g a n i z a t i o n s As a whole they are wonderful groups because they do amazing things in our neighbourhoods. Karma Ruder The presence o f ne ighbourhood o r g a n i z a t i o n s i n S e a t t l e was g e n e r a l l y c o n s i d e r e d by i n t e r v i e w e e s to be a f a c t o r i n the i n t r o d u c t i o n o f t h i s P o l i c y . However, i n t e r v i e w e e s were f o r the most p a r t u n w i l l i n g to e v a l u a t e the power or e f f e c t i v e n e s s o f ne ighbourhood o r g a n i z a t i o n s c o l l e c t i v e l y , or to commit t o a statement about the exact r o l e o f ne ighbourhood groups i n the P o l i c y ' s g e n e s i s , development or i n t r o d u c t i o n . They were more l i k e l y to say t h a t ne ighbourhood group e f f e c t i v e n e s s or power "depends on the ne ighbourhood" (Wasserman), and on c o n s i d e r a t i o n s such as "numbers, l e a d e r s h i p , how p o l i t i c a l l y a t t u n e d they a r e , and how they f i g h t t h e i r b a t t l e s " (Wasserman). Of ten i n t e r v i e w e e s responded to the q u e s t i o n about ne ighbourhood o r g a n i z a t i o n s ' r o l e by p r o v i d i n g background I n t e r v i e w F i n d i n g s and A n a l y s i s 55 i n f o r m a t i o n about ne ighbourhood o r g a n i z a t i o n s , as Ruder d i d : There are over a hundred neighbourhoods i n the C i t y , t h a t i n c l u d e e v e r y t h i n g from community c o u n c i l s t h a t are v e r y s t r o n g , take on p r o j e c t s , do amazing t h i n g s , t o groups t h a t are l i k e one or two peop le groups who c a l l themselves an o r g a n i z a t i o n . They are the whole spectrum from peop le who are g e n u i n e l y r e a c h i n g out to t r y and i n c l u d e as many peop le from the ne ighbourhood i n i s s u e s t o groups which are v e r y focused on a p a r t i c u l a r i s s u e and t r y i n g t o move the p a r t i c u l a r i s s u e . A few responses e v a l u a t i v e o f ne ighbourhood o r g a n i z a t i o n s i n g e n e r a l terms were r e c e i v e d . F o r example, S t r o s a h l found t h a t neighbourhoods o r g a n i z a t i o n s are o c c a s i o n a l l y e f f e c t i v e ; they are o c c a s i o n a l l y p o w e r f u l . They are not o r g a n i z e d enough t o be c o n s i s t e n t l y so . So, i f they get e x e r c i s e d enough about something they can do something . But o t h e r than t h a t they t e n d t o end up s n i p i n g from the s i d e l i n e s . Washburn framed h i s response about the i n f l u e n c e and e f f e c t i v e n e s s o f ne ighbourhood o r g a n i z a t i o n s i n terms of a r e a o f ne ighbourhood o r g a n i z a t i o n endeavour: I f y o u ' r e t a l k i n g i n terms of c r e a t i n g i n f r a s t r u c t u r e i n t h e i r community, no . I f y o u ' r e t a l k i n g i n terms of impos ing l e g i s l a t i v e mandates on the C i t y [ i . e . , development o f C i t y p o l i c y ] , l i m i t e d . I f y o u ' r e t a l k i n g i n terms of where they want t o be s i g n i f i c a n t l y i m p a c t i n g p r i v a t e p r o j e c t s i n the a r e a [ i . e . , t o s top or a l t e r a proposed deve lopment ] : p r o b a b l y . In response to the q u e s t i o n o f ne ighbourhood o r g a n i z a t i o n s ' r o l e i n the P o l i c y ' s development and i n t r o d u c t i o n , two i n t e r v i e w e e s ( S t r o s a h l , Tobin) no ted ne ighbourhoods ' i m p o r t a n t c o n t r i b u t i o n to the 1987 work of the C i t y o f S e a t t l e P l a n n i n g Commiss ion. S t r o s a h l e x p l a i n e d : I n t e r v i e w F i n d i n g s and A n a l y s i s 56 A group of us , c a l l e d V i s i o n S e a t t l e , back i n 1987 worked our t a i l s o f f t o t r y t o get a ne ighbourhood p l a n n i n g e lement , because we were d i s c o u r a g e d at the C i t y ' s view of how [the C i t y ] s h o u l d grow. And we f e l t t h a t ne ighbourhoods would be much b e t t e r p r e p a r e d t o take on the t a s k i n a way t h a t c o n t r i b u t e d t o t h e i r ne ighbourhood f a b r i c r a t h e r than d e s t r o y e d i t , as i t was p e r c e i v e d was the case w i t h the ' p l a n n e r l y ' view o f how the C i t y s h o u l d grow. That e f f o r t l e d to the i n t r o d u c t i o n i n 1988 o f the Neighborhood M a t c h i n g Fund Program t h a t came out o f the work of the ne ighbourhood b u s i n e s s community and the ne ighbourhood r e s i d e n t i a l communities k i n d o f g e t t i n g t o g e t h e r . T o b i n a l s o a f f i r m e d the r o l e o f ne ighbourhood groups i n r e l a t i o n to the 1987 i n i t i a t i v e o f the P l a n n i n g Commiss ion. She and o t h e r s a l s o i d e n t i f i e d the r e s u l t a n t c r e a t i o n o f the O f f i c e o f Neighborhoods and the Neighborhood M a t c h i n g Fund i n 1988 as p i v o t a l . No comments were r e c e i v e d t o c o n t r a d i c t the a s s e r t i o n of importance g i v e n to t h i s e v e n t . One i n t e r v i e w e e (Ryan) d i d not b e l i e v e t h a t S e a t t l e ne ighbourhoods and ne ighbourhood o r g a n i z a t i o n s are t e r r i f i c a l l y d i f f e r e n t from neighbourhoods e lsewhere i n the U n i t e d S t a t e s . He d i d s t a t e however, t h a t "because o f the s t u f f t h a t ' s i n the water [such as p o p u l i s m , the l o v e a f f a i r w i t h the l o c a l l e v e l and even the S t a t e ' s C o n s t i t u t i o n ] , i t ' s a p r e t t y p o t e n t i n g r e d i e n t i n our b e h a v i o u r around d e c i s i o n s . " The o b s e r v a t i o n by B e r r y , Por tney and Thomson t h a t ne ighbourhood o r g a n i z a t i o n s are common i n American c i t i e s , but r a r e l y b r o a d l y r e p r e s e n t a t i v e of the b r e a d t h of a c i t y , suggests t h a t i n S e a t t l e ' s case , the ne ighbourhood o r g a n i z a t i o n s i t u a t i o n i s somewhat u n u s u a l . I n t e r v i e w F i n d i n g s and A n a l y s i s 57 5 . 1 . 3 A C i t y w i d e Phenomenon Each community and neighbourhood i s d i f f e r e n t , and we have to look at the neighbourhood not just the City .... V i v i a n McLean A s m a l l number o f i n t e r v i e w e e s ( i n c l u d i n g S t r e e t , Ruder , Tobin) gave some (though g e n e r a l l y l i m i t e d ) prominence t o the f a c t t h a t a network or c o n s t e l l a t i o n o f ne ighbourhood o r g a n i z a t i o n s e x i s t s to p r o v i d e n e i g h b o u r h o o d - l e v e l r e p r e s e n t a t i o n o f some d e s c r i p t i o n i n almost every ne ighbourhood of the C i t y and i n a l l p a r t s o f the C i t y . I t i s s u r p r i s i n g t h i s f a c t o r was not more h i g h l y r a t e d i n i n t e r v i e w f i n d i n g s , g i v e n the l i t e r a t u r e rev iew d i s c u s s i o n o f the impor tant r o l e i t p l a y s i n ne ighbourhood o r g a n i z a t i o n e f f e c t i v e n e s s and i n r e p r e s e n t a t i o n a l b a l a n c e a c r o s s the C i t y . The l oose and o v e r l a p p i n g na ture o f o r g a n i z a t i o n and c o o r d i n a t i o n o f ne ighbourhood groups a c r o s s the C i t y may e x p l a i n t h i s . 1 7 As Kammerer no ted , and Ruder commented: "There i s n ' t a s i n g l e one [neighbourhood u m b r e l l a group or c o a l i t i o n ] , but t h e r e are a number t h a t o p e r a t e . " A r e l a t e d f a c t o r , which was not e x p l o r e d i n i n t e r v i e w s , i s the presence and e f f e c t o f a number o f e x i s t i n g ne ighbourhood 1 7 T h i s p o i n t was not d i r e c t l y addressed i n i n t e r v i e w q u e s t i o n s , and t h i s may a l s o e x p l a i n i t s g e n e r a l absence i n i n t e r v i e w e e r e s p o n s e . I n t e r v i e w F i n d i n g s and A n a l y s i s 58 o r g a n i z a t i o n s i n S e a t t l e h a v i n g a t r a c k r e c o r d o f accomplishment and o r g a n i z a t i o n a l c a p a c i t y , which serve t o engender c o n f i d e n c e . I t seems u n l i k e l y t h a t a p o l i c y to share power and r e s o u r c e s w i t h ne ighbourhood o r g a n i z a t i o n s would be deve loped i f ne ighbourhood o r g a n i z a t i o n s were not a l r e a d y i n p l a c e i n most ne ighbourhoods , w e l l d i s t r i b u t e d a c r o s s the C i t y , and i n p o s s e s s i o n of adequate c a p a c i t y t o assume the r e s p o n s i b i l i t y . In sum, i t i s c l e a r t h a t the "neighbourhood f a c t " i n S e a t t l e , and the consequent presence and i n f l u e n c e o f n e i g h b o u r h o o d - l e v e l o r g a n i z a t i o n were impor tant t o the P o l i c y ' s i n t r o d u c t i o n . Though o p i n i o n was d i v i d e d on the degree to which ne ighbourhood o r g a n i z a t i o n s i n S e a t t l e i n a g e n e r a l sense pos se s sed power at the t ime of the P o l i c y ' s development, and was s i m i l a r l y e q u i v o c a l on S e a t t l e ne ighbourhood o r g a n i z a t i o n ' s o v e r a l l e f f e c t i v e n e s s , the ne ighbourhood o r g a n i z a t i o n s ' c o l l e c t i v e c a p a c i t y , c i t y w i d e d i s t r i b u t i o n , and l oose f e d e r a t i o n appear to have combined to h e l p p r o p e l f o r m a t i o n o f the P o l i c y . I t seems u n l i k e l y t h a t a p o l i c y to share power w i t h ne ighbourhood o r g a n i z a t i o n s would have a r i s e n , even w i t h the presence o f the o t h e r key f a c t o r s o f conduc ive contex t and a p p r o p r i a t e p r e s s u r e , wi thout these two impor tant e l ements . I n t e r v i e w F i n d i n g s and A n a l y s i s 59 5.2 Context Is Important Neighbourhood planning is just a tool to get things done — i t r s not a be-all and end-a l l . It depends on who's at the table and the implement a b i l i t y [of the plan]. Eugene Wasserman As a l r e a d y s t a t e d , ne ighbourhoods and ne ighbourhood o r g a n i z a t i o n s are p e r c e i v e d as important a spec t s o f c i v i c l i f e i n S e a t t l e . T h e i r presence and a c t i v i t y c o n s t i t u t e a prominent f e a t u r e of the contex t i n which S e a t t l e ' s Neighbourhood P l a n n i n g P o l i c y was d e v e l o p e d . Two o t h e r f e a t u r e s o f the contex t were a l s o i m p o r t a n t : the c l i m a t e at S e a t t l e C i t y H a l l d u r i n g the p e r i o d o f the P o l i c y ' s development and i n t r o d u c t i o n , and f e a t u r e s o f the p o l i t i c a l c u l t u r e and p o l i t i c s o f S e a t t l e and i t s s e t t i n g . T h i s s e c t i o n p r e s e n t s i n t e r v i e w f i n d i n g s about the second and t h i r d o f these t h r e e c o n t e x t u a l e lements which c o n t r i b u t e d t o f o r m a t i o n of the Neighbourhood P l a n n i n g P o l i c y . 5 . 2 .1 C l i m a t e at C i t y H a l l [Councilmember] Jim Street felt a real commitment to trying to get into the hands, insofar as possible, of the neighbourhoods, decisions that were going to be having a direct impact on them. And he was joined on the Council by other Councilmembers who felt pretty much the same way. Tom Wales I n t e r v i e w F i n d i n g s and A n a l y s i s 60 P o l i t i c a l support at the C o u n c i l l e v e l f o r ne ighbourhoods , f o r p l a n n i n g at the ne ighbourhood l e v e l , or f o r ne ighbourhood o r g a n i z a t i o n s was s p e c i f i c a l l y c i t e d by seven of the i n t e r v i e w e e s as an important element l e a d i n g t o the P o l i c y ' s i n t r o d u c t i o n ( D i e r s , Lawrence, Ruder , S t r e e t , T o b i n , Wales , Wasserman). A l a r g e number o f o t h e r comments c i t i n g f a c t o r s which c o n t r i b u t e d to the development o f t h i s c l i m a t e (presented i n the next s u b - s e c t i o n ) f u r t h e r support t h i s f i n d i n g . No c o n t r a d i c t o r y comments were r e c e i v e d . A s m a l l number o f i n t e r v i e w e e s ( i n c l u d i n g D i e r s , T o b i n , Wales) c i t e d b u r e a u c r a t i c s u p p o r t , e s p e c i a l l y from w e l l - p l a c e d i n d i v i d u a l s i n key departments , as an e s s e n t i a l i n g r e d i e n t as w e l l . Tom Wales' comment summarizes these two p o i n t s : On the o t h e r hand, I d o n ' t t h i n k t h a t the Neighborhood P l a n n i n g Component t h a t now e x i s t s would e x i s t at a l l i f the ne ighbourhoods had not found a v e r y sympathe t i c ear among members o f the C i t y P l a n n i n g Department and the C i t y C o u n c i l . There are ne ighbourhood o r g a n i z a t i o n s and c e r t a i n l y i n d i v i d u a l s who would d i s p u t e t h a t vehement ly , b e l i e v i n g t h a t the C i t y has o n l y been dragged k i c k i n g and screaming i n t o any k i n d o f ne ighbourhood p l a n n i n g , but I r e a l l y d o n ' t s u b s c r i b e to t h a t v i e w . . . . But my p o i n t i s none o f i t would have come about i f the C i t y h a d n ' t had a p r e t t y sympathet i c ear f o r those c o n c e r n s . However, a few comments s p e c i f i e d t h a t b u r e a u c r a t s as a group had not been h e l p f u l and had, i n f a c t , been o b s t r u c t i v e . S t r e e t commented on the b e g i n n i n g s o f a change i n a t t i t u d e : I d o n ' t t h i n k t h a t b u r e a u c r a t s i n g e n e r a l have been w i l d l y e n t h u s i a s t i c . A l t h o u g h . . . [ t h e r e ' s a s e r i o u s e f f o r t i n the C i t y to] r e q u i r e b u r e a u c r a t s to s t a r t , t h i n k i n g d i f f e r e n t l y . . . . [R]ather than f o c u s i n g on programs or bureaus , we need to focus on peop le and communit ies . I n t e r v i e w F i n d i n g s and A n a l y s i s 61 The p o s i t i v e e f f e c t o f C o u n c i l and s e n i o r o f f i c i a l support c i t e d here i s b u t t r e s s e d by Chapter 3 document rev iew f i n d i n g s , which d i s c u s s the p i v o t a l r o l e o f two C i t y i n i t i a t i v e s , the Neighborhood P l a n n i n g and A s s i s t a n c e Program, and the P l a n n i n g Commission s t u d y . The conduc ive c l i m a t e at C i t y H a l l was i t s e l f f o s t e r e d by o t h e r f a c t o r s , which are i n and o f themselves important to the q u e s t i o n o f how a p o l i c y w i t h p o w e r - s h a r i n g came to be . I n t e r v i e w f i n d i n g s about these f a c t o r s are c o n s i d e r e d n e x t . 5 .2 .2 C o n t r i b u t o r s t o a Conducive C i t y H a l l C l i m a t e [This neighbourhood planning policy] has been in the works for a long time, and i t ' s taken a l o t of d i f f e r e n t steps. Jim D i e r s The development o f a conduc ive c l i m a t e at S e a t t l e C i t y H a l l appears to have been bound up w i t h f o u r c o n t r i b u t i n g f a c t o r s . These a r e : (1) the c r e a t i o n o f the Neighborhood M a t c h i n g Fund (NMF) , (2) the 1987 work o f the C i t y o f S e a t t l e P l a n n i n g Commission, (3) the e f f e c t o f the p r e v i o u s p l a n n i n g emphasis on l a n d use , and (4) i n c r e a s e d awareness at the C o u n c i l l e v e l o f c i t i z e n and ne ighbourhood c o n c e r n s . The NMF appears to have p r o v i d e d a v e h i c l e f o r the C i t y t o deve lop an a p p r e c i a t i o n o f ne ighbourhoods ' t r u s t w o r t h i n e s s , and f o r neighbourhoods to l e a r n the v a l u e o f p a r t n e r s h i p w i t h the I n t e r v i e w F i n d i n g s and A n a l y s i s 62 C i t y . Other C i t y i n i t i a t i v e s , i n c l u d i n g the o t h e r a c t i v i t i e s o f the Department o f Neighborhoods and the network o f " l i t t l e c i t y h a l l s , " a l s o appear to have f o s t e r e d t h i s t r u s t and c a p a c i t y f o r c o l l a b o r a t i o n . The NMF, a l o n g w i t h the work of the Department o f Neighborhoods and the t h i r t e e n Neighborhood S e r v i c e C e n t e r s , was c i t e d by t e n i n t e r v i e w e e s ( D i e r s , Kammerer, Kissman, Lawrence, Ruder, S t . C l a i r , S t r o s a h l , T o b i n , Wales , Wasserman) as important to the development . and i n t r o d u c t i o n o f the Neighbourhood P l a n n i n g P o l i c y . 1 8 No comments c o n t r a d i c t i n g t h i s f i n d i n g were r e c e i v e d from o t h e r i n t e r v i e w e e s . Ruder spoke to the l e a r n i n g s o f b o t h C i t y and neighbourhoods r e s u l t i n g from the NMF: T h i s h i s t o r y o f the Neighborhood M a t c h i n g Fund was a c t u a l l y v e r y important b o t h because i t e s t a b l i s h e d the precedent t h a t you c o u l d g i v e money to a community group and they c o u l d i n f a c t do a communi ty -dr iven p r o c e s s and make i t work. And i t a l s o showed t h a t i f you d i d n ' t have a p a r t n e r s h i p w i t h the C i t y working w i t h those groups t h a t you were not l i k e l y to get p r o d u c t s t h a t would be adopted by the C i t y C o u n c i l . And because neighbourhoods had a l o t of e x p e r i e n c e w i t h t h a t t h rou gh the Neighborhood M a t c h i n g Fund they c o u l d see t h a t t h a t was a r e l e v a n t i s s u e , the p a r t n e r s h i p i s s u e . S t r o s a h l d e s c r i b e d the v a l u e to c i t y government o f the NMF's emphasis on p r o - a c t i v e c i t i z e n i n v o l v e m e n t : That n o t i o n t h a t i f you g i v e p e o p l e , g i v e c i t i z e n s , a chance to i n t e r a c t p r o a c t i v e l y , r a t h e r than h a v i n g t o 1 8 See Appendix G, H i s t o r y o f Department o f Ne ighborhoods , and the Neighbourhood M a t c h i n g Fund, Through t o E s t a b l i s h m e n t of the Neighbourhood P l a n n i n g P o l i c y , v e r b a t i m comments from the i n t e r v i e w w i t h J im D i e r s , f o r an e x c e l l e n t overv i ew . I n t e r v i e w F i n d i n g s and A n a l y s i s 63 s i m p l y r e a c t , you have a much b e t t e r chance o f i n c o r p o r a t i n g the energy t h a t they brought to t h e i r community i n a p o s i t i v e way, i n b u i l d i n g the c i t y r a t h e r than i n s i m p l y s t o p p i n g t h i n g s . Which had been m a i n l y t h e i r r o l e over the course o f at l e a s t the t h r e e or f o u r years b e f o r e t h a t [the i n t r o d u c t i o n o f the NMF]. The NMF a l s o taught the C i t y the importance o f c o n t a i n i n g and c h a n n e l l i n g c i t i z e n group involvement i n p l a n n i n g . Kissman e x p l a i n e d : And t h i s i s important because I t h i n k the l e s s o n s t h a t we l e a r n e d from neighbourhoods who were d o i n g p l a n s under the M a t c h i n g Fund f e d i n t o what we ended up w i t h i n the Comprehensive P l a n a l o t . Because one o f the t h i n g s t h a t we r e a l i z e d over the y e a r s , i s t h a t you c a n ' t j u s t t u r n a ne ighbourhood l o o s e and say 'go f o r t h and p l a n ' and then expect to be a b l e t o d e a l w i t h the r e s u l t s . So we ended up b e i n g i n a p o s i t i o n where we would get these p l a n s at the end and they were, sometimes they were g r e a t and sometimes they had t h i n g s i n them t h a t were r e a l l y p r o b l e m a t i c . And, they always had a l a r g e number o f peop le who were t h o r o u g h l y i n v e s t e d i n them as w e l l . So i t was v e r y d i f f i c u l t f o r everyone when we had to say, I'm s o r r y , t h a t ' s i l l e g a l , we're not g o i n g to do i t . Nobody l i k e d t h a t s i t u a t i o n . The M a t c h i n g Fund opened the door i n p r a c t i c e f o r what was l a t e r f o r m a l l y i n t r o d u c e d c o n c e p t u a l l y as the n o t i o n o f power-s h a r i n g . I t a l s o r e - e n f o r c e d f o r the C i t y the b e l i e f t h a t c i t i z e n involvement can be p r o d u c t i v e and e f f e c t i v e (and worth the r i s k s ) , and i t s t r e n g t h e n e d f o r ne ighbourhood o r g a n i z a t i o n s the n o t i o n t h a t p a r t n e r s h i p w i t h the C i t y can be v a l u a b l e . Perhaps most important i n terms of the development o f the P o l i c y , the C i t y l e a r n e d t h a t s t r u c t u r e and support f o r ne ighbourhood o r g a n i z a t i o n invo lvement i n p l a n n i n g are e s s e n t i a l . I n t e r v i e w F i n d i n g s and A n a l y s i s 64 A second f a c t o r i n the development o f a conduc ive C i t y H a l l c l i m a t e was the 1987 work of the C i t y o f S e a t t l e P l a n n i n g Commission to s tudy C i t y r e l a t i o n s h i p s w i t h i t s ne ighbourhoods . T h i s work seems to have l e d more or l e s s d i r e c t l y to the C i t y ' s a d o p t i o n o f the Neighborhood P l a n n i n g and A s s i s t a n c e Program, and i t s NMF component. F i v e i n t e r v i e w e e s ( D i e r s , Kammerer, Kissman, Ryan, S t r e e t ) e x p l i c i t l y r e c o g n i z e d the work o f the C i t y o f S e a t t l e ' s P l a n n i n g Commission i n 1987 as c o n t r i b u t i n g to the u l t i m a t e a d o p t i o n o f the Neighbourhood P l a n n i n g P o l i c y . Kissman e x p l a i n e d : In the mid ' 8 0 ' s , '86 , ' 87 , the P l a n n i n g Commission took t h i s on as an i s s u e . . . . [TJhey wrote a r e p o r t t h a t l o o k e d at C i t y and ne ighbourhood r e l a t i o n s i n g e n e r a l and p l a n n i n g p a r t i c u l a r l y . . . . I t h i n k t h a t was the g e n e s i s of the p r e -Comp[rehensive] P l a n g e n e r a t i o n o f ne ighbourhood p l a n s . . . . That r e p o r t and p r o b a b l y some o t h e r s t u f f . . . l e d to the c r e a t i o n o f an O f f i c e o f Neighborhoods which then became a Department o f Ne ighborhoods . Though not s p e c i f i c a l l y ment ioned by i n t e r v i e w e e s , the Commiss ion's i n i t i a t i v e a l s o brought t o g e t h e r p e o p l e , i n f o r m a t i o n and ideas i n a sowing o f seeds and a c r o s s -f e r t i l i z a t i o n which l e d to the l a t e r development and a d o p t i o n o f the Neighbourhood P l a n n i n g P o l i c y . As Ryan s a i d , the Commission was "the i n s t i g a t o r . " In e f f e c t , the Commiss ion's work p r e p a r e d the ground . A t h i r d f a c t o r was the n a t u r e and l e n g t h o f the C i t y ' s l a n d use and z o n i n g e x e r c i s e , immediate ly p r e c e d i n g the development I n t e r v i e w F i n d i n g s and A n a l y s i s 65 o f t h e c u r r e n t Comprehensive P l a n . 1 9 F o r most o f t h e t e n y e a r s o f t h e 1980's, S e a t t l e C i t y H a l l p l a n n i n g energy was d e v o t e d t o r e z o n i n g t h e e n t i r e C i t y . S i n g l e l a n d use o r z o n i n g elements were t a k e n up one by one, i n s u c c e s s i o n , y i e l d i n g e x c l u s i o n o f i n t e g r a t i o n and o t h e r elements i m p o r t a n t t o a p l a n n i n g p r o c e s s . C hoosing t o p l a n i n t h i s way, and t h e n c o n t i n u i n g w i t h t h e e x e r c i s e , appears t o have c r e a t e d enormous neighbourhood f r u s t r a t i o n . T h i s f r u s t r a t i o n was compounded by a r e l a t e d problem, t h e r e j e c t i o n by t h e C i t y o f a number of p l a n s d e v e l o p e d over t h e y e a r s by n e i g h b o u r h o o d s — p l a n s i n which neighbourhoods were h e a v i l y i n v e s t e d . F i v e i n t e r v i e w e e s ( D i e r s , Kammerer, S t r e e t , S t r o s a h l , Tobin) r e f e r r e d d i r e c t l y t o t h e l a n d - u s e f o c u s e d c i t y w i d e p l a n n i n g e x e r c i s e o f t h e 1980's. By c h o o s i n g t o u n d e r t a k e t h i s massive r e z o n i n g e f f o r t , t h e C i t y e s s e n t i a l l y d e f e r r e d d e a l i n g w i t h neighbourhood needs and r e q u e s t s , f o r t h e e n t i r e decade. As S t r e e t s a i d : "... t h e C i t y had been s a y i n g t o neighbourhoods f o r t e n y e a r s , w a i t , w a i t , u n t i l we f i n i s h t h e l a n d use p l a n . " The e f f e c t o f t h i s d e f e r r a l .appears t o have been a s o l i d i f i c a t i o n o f neighbourhood demand f o r neighbourhood p l a n n i n g , r a t h e r t h a n an abatement. One i n t e r v i e w e e ( S t r o s a h l ) l i n k e d t h e p o l i t i c a l problems c r e a t e d by t h e C i t y ' s massive l a n d use p l a n n i n g p r o c e s s o f t h e 1980's t o t h e d e l i v e r y o f i n c r e a s e d 1 9See Appendix H, 1980's Land-Use Rezoning, and CAP I n i t i a t i v e , v e r b a t i m comments from t h e i n t e r v i e w w i t h J i m S t r e e t , f o r a f u l l e r e x p l a n a t i o n . I n t e r v i e w F i n d i n g s and A n a l y s i s 66 power to the ne ighbourhood p l a n n i n g p r o p o n e n t s : . . . everybody f e l t i t [the l a n d use p l a n n i n g proces s ] was a d e e p l y , deep ly f lawed p l a n and p r o c e s s . I t h i n k the Mayor and the C o u n c i l , t o get out o f i t , b a s i c a l l y t u r n e d t o t h i s t h i n g t h a t was w a i t i n g , which was ne ighbourhood p l a n n i n g . And so they d e l i v e r e d a tremendous amount o f a d d i t i o n a l power than I t h i n k they ever contemplated they would to the ne ighbourhood p l a n n i n g e f f o r t , because they got i n t o t h i s s t i c k y mess . . . . A s m a l l number o f i n t e r v i e w e e s (Kissman, Lawrence, Ruder) s p e c i f i c a l l y c i t e d the problems which arose when C i t y C o u n c i l d i d not adopt or implement these p l a n s . As Kissman n o t e d : "Nobody l i k e d t h a t s i t u a t i o n . " C i t i z e n f r u s t r a t i o n c o u p l e d w i t h C i t y H a l l r e c o g n i t i o n o f the d e t r i m e n t a l e f f e c t s o f these s i t u a t i o n s appear to have combined to m o t i v a t e the C i t y to address ne ighbourhood p l a n n i n g . These events t o g e t h e r c r e a t e d a 11 f r u s t r a t i o n f a c t o r , " which mounted. A f o u r t h f a c t o r i n development o f a conduc ive C i t y H a l l c l i m a t e was the e l e c t i o n to C o u n c i l o f a number o f peop le from ne ighbourhood o r g a n i z a t i o n s or n e i g h b o u r h o o d - f r i e n d l y g r o u p s . The e f f e c t o f n e i g h b o u r h o o d - s e n s i t i v e peop le on C o u n c i l was r e -e n f o r c e d by the passage i n 1989 o f the CAP i n i t i a t i v e , a c i t i z e n i n i t i a t i v e which o v e r t u r n e d p a r t s o f the Downtown P l a n . The t r a n s f o r m a t i o n o f a number o f ne ighbourhood a c t i v i s t s i n t o C i t y Councilmembers was c i t e d by f i v e i n t e r v i e w e e s ( D i e r s , McLean, Ruder , S t r e e t , Wales) as a f a c t o r i n C i t y H a l l ' s u l t i m a t e a b i l i t y to support ne ighbourhood p l a n n i n g . As Ruder observed: "There are a number o f C o u n c i l peop le who come out o f t h a t [neighbourhood h i s t o r y and o r g a n i z a t i o n ] and are r e s p o n s i v e I n t e r v i e w F i n d i n g s and A n a l y s i s 67 b a c k . " As w e l l , the CAP i n i t i a t i v e , though i n f r e q u e n t l y c i t e d i n i n t e r v i e w s , seems to have h e i g h t e n e d C o u n c i l awareness o f mounting f r u s t r a t i o n . T h i s i n i t i a t i v e s i g n a l l e d to p o l i t i c a l l e a d e r s t h a t c e r t a i n c i t i z e n and ne ighbourhood f r u s t r a t i o n s c o u l d no l o n g e r s a f e l y be i g n o r e d . I t , l i k e the f r u s t r a t i o n engendered by unadopted or unimplemented ne ighbourhood p l a n s , seems to have a l e r t e d C i t y H a l l t o the need t o address c i t i z e n concerns c e n t r e d on ne ighbourhood demands. S t r e e t e x p l a i n e d : Then we had a r e v o l t , i n the form of the s o - c a l l e d CAP . i n i t i a t i v e i n '89 which was a c i t i z e n i n i t i a t i v e t o o v e r t u r n the Downtown P l a n . . . . [T]he p o l i t i c a l symbolism of t h a t was very s i g n i f i c a n t because . . . t h a t set i n mot ion , even w i t h i n the C i t y b e f o r e a n y t h i n g happened at the S t a t e l e v e l on growth management, a s o r t o f commitment to do a b e t t e r job o f l o o k i n g at the i n t e r - r e l a t i o n s h i p s between Downtown and neighbourhoods and so f o r t h . In sum, i n t e r v i e w f i n d i n g s i n d i c a t e t h a t a l a r g e number o f f a c t o r s c o n t r i b u t e d to a conduc ive c l i m a t e at C i t y H a l l . Major among these f a c t o r s were the NMF, which opened the door , the work o f the P l a n n i n g Commission i n 1987, which p r e p a r e d the ground, the l a n d - u s e focused p l a n n i n g e x e r c i s e , which a l o n g w i t h r e j e c t i o n o f n e i g h b o u r h o o d - p r e p a r e d p l a n s , i n t r o d u c e d and i n c r e a s e d f r u s t r a t i o n , and the CAP i n i t i a t i v e , which s i g n a l l e d a problem, and combined w i t h e l e c t i o n to C o u n c i l o f n e i g h b o u r h o o d - s e n s i t i v e c a n d i d a t e s , i n c r e a s e d C o u n c i l awareness . The C i t y H a l l c l i m a t e which these c r e a t e d , marked by p o l i t i c i a n s and key s e n i o r b u r e a u c r a t s p r e p a r e d t o acknowledge the importance o f ne ighbourhoods and ne ighbourhood I n t e r v i e w F i n d i n g s and A n a l y s i s 68 o r g a n i z a t i o n s , r e p r e s e n t the second impor tant element i n the contex t f o r t h i s P o l i c y ' s development . I n t e r v i e w comments a l s o p o i n t e d to a t h i r d e lement , p o l i t i c s and p o l i t i c a l c u l t u r e . 5 .2 .3 P o l i t i c a l C u l t u r e and P o l i t i c s [Perhaps] i t ' s in the water. Dennis Ryan O r g a n i z a t i o n at the ne ighbourhood l e v e l , a conduc ive C i t y H a l l c l i m a t e , and the f a c t o r s which brought these about were a l l f o s t e r e d i n p a r t by the l a r g e r p o l i t i c a l c u l t u r e i n which S e a t t l e neighbourhoods and S e a t t l e c i t y government were s i t u a t e d at the t ime of the P o l i c y ' s g e n e s i s and development . I n t e r v i e w comments c i t e d c i t i z e n a c t i v i s m , government w i l l i n g n e s s t o l i s t e n to and i n v o l v e c i t i z e n s , a h i s t o r y o f f e d e r a l invo lvement i n ne ighbourhoods and ne ighbourhood p l a n n i n g , a h i s t o r y o f ne ighbourhood p l a n n i n g a c t i v i t y a d d i t i o n a l t o t h a t l e d by ne ighbourhoods , a p a r t i c u l a r r e g i o n a l p o l i t i c a l c u l t u r e , and p o l i t i c a l and s o c i e t a l f a c t o r s as c o n t r i b u t i n g e l ements . Some i n t e r v i e w e e s ( D i e r s , Kissman, Lawrence, Ruder , S t r o s a h l ) p o i n t e d to the g e n e r a l l y c i v i c l y a c t i v e n a t u r e o f S e a t t l e c i t i z e n r y as an important f a c t o r i n the p o l i t i c s and c u l t u r e which c o n t r i b u t e d to the P o l i c y ' s development . As Kissman s t a t e d , "we have an ex tremely p a r t i c i p a t o r y c i t i z e n r y . " D i e r s noted ev idence o f t h i s c i t i z e n a c t i v i s m i n o t h e r arenas as I n t e r v i e w F i n d i n g s and A n a l y s i s 69 w e l l , c i t i n g the l a b o u r movement and e n v i r o n m e n t a l movement as two examples . Two i n t e r v i e w e e s ( D i e r s , Ruder) a l s o mentioned the complement to c i t i z e n a c t i v i s m , c i t i z e n i n c l u s i o n i n governance by the C i t y . D i e r s spoke to a "genuine b e l i e f by a l o t o f e l e c t e d o f f i c i a l s t h a t t h i n g s r e a l l y do work b e t t e r when the peop le are i n v o l v e d . " He noted t h i s as a l o n g - s t a n d i n g S e a t t l e p r a c t i c e . S e v e r a l i n t e r v i e w e e comments addres sed S e a t t l e ' s h i s t o r y o f ne ighbourhood p l a n n i n g , n o t i n g p l a n n i n g a c t i v i t y a d d i t i o n a l t o t h a t l e d or shaped by ne ighbourhoods . Wasserman noted the development o f n e i g h b o u r h o o d - f o c u s e d p l a n s where the C i t y l e d the e f f o r t (such as the Northgate P l a n , f o r example) . A number of i n t e r v i e w e e s ( i n c l u d i n g Kissman, S t r e e t , Tobin) spoke o f the s i g n i f i c a n t f e d e r a l presence i n ne ighbourhoods and ne ighbourhood p l a n n i n g . These o b s e r v a t i o n s are c o n s i s t e n t w i t h document rev iew f i n d i n g s about the l e n g t h y h i s t o r y o f p l a n n i n g o f many d e s c r i p t i o n s at the ne ighbourhood l e v e l , and f e d e r a l development programs focused on ne ighbourhoods . Two i n t e r v i e w e e s spoke o f the e f f e c t o f h i s t o r i c s o c i a l and p o l i t i c a l vanguardism o f the P a c i f i c Northwest r e g i o n , though a few o t h e r s a l l u d e d t o t h i s . Lawrence e x p l a i n e d by s a y i n g : I t was i n the P a c i f i c Northwest t h a t the Workers o f the World P a r t y [the Wobbl ies ] was c r e a t e d . There i s a h i s t o r y of Utopian communities i n the Northwest t h a t i s d i f f e r e n t than any o t h e r p a r t o f the U n i t e d S t a t e s . We have S c a n d i n a v i a n U t o p i a n t r a d i t i o n s h e r e , we have the h i s t o r y of p o t l a t c h (Nat ive American c u l t u r e ) , we have the A s i a n , I n t e r v i e w F i n d i n g s and A n a l y s i s 70 p a r t i c u l a r l y the Japanese , i n f l u e n c e o f community and f a m i l y . Ryan r e f e r r e d to "threads t h a t have been here a l o n g t ime [such as] p o p u l i s m , . . . the l o v e a f f a i r w i t h the l o c a l l e v e l , the i n d i v i d u a l i n the c i t y . . . . They 've always been f o r the s m a l l u n i t . " A few o t h e r i n t e r v i e w e e s c i t e d o t h e r f e a t u r e s o f the l o c a l p o l i t i c a l s i t u a t i o n as impor tant to the P o l i c y ' s development and i n t r o d u c t i o n . Washburn and Wasserman p o i n t e d to the f a c t t h a t S e a t t l e i s s e r v e d by an a t - l a r g e system of r e p r e s e n t a t i o n . Wasserman suggested t h a t where ne ighbourhoods or s e t s o f neighbourhoods are unable to i d e n t i f y an e l e c t e d person or o f f i c e d i r e c t l y r e s p o n s i b l e or answerable to them, as a ward system f o r example might a l l o w , peop le i n ne ighbourhood or community o r g a n i z a t i o n s may t u r n to o t h e r mechanisms, such as power and r e s o u r c e s h a r i n g p o l i c i e s , t o a c h i e v e c o n n e c t i o n w i t h government. S t r e e t mused t h a t C i t y p o l i t i c i a n s ' g u i l t over the l e n g t h y d e l a y i n g e t t i n g around to a d d r e s s i n g ne ighbourhoods ' demands may have p o s i t i v e l y - a f f e c t e d C o u n c i l ' s u l t i m a t e r e c e p t i v i t y . S t r e e t a l s o noted t h a t t i m i n g was o f the essence i n t h i s P o l i c y ' s i n t r o d u c t i o n , f o l l o w i n g as i t d i d the CAP i n i t i a t i v e and the e f f e c t o f the p r e v i o u s l a n d use p l a n n i n g e x e r c i s e . Other r e l a t e d o b s e r v a t i o n s were a l s o p r e s e n t e d i n i n t e r v i e w s . Tom Wales c i t e d a g e n e r a l i z e d s o c i e t a l t r e n d t o " t r y and move d e c i s i o n - m a k i n g down t o , as f a r as you can , the I n t e r v i e w F i n d i n g s and A n a l y s i s 71 peop le who are a f f e c t e d by i t . " He saw the p o w e r - s h i f t i n g a spec t s o f the P o l i c y as h a v i n g a l o t o f p a r a l l e l s w i t h o t h e r k i n d s o f t h i n k i n g i n our s o c i e t y , l i k e T o t a l Q u a l i t y Management, and the q u a l i t y o f working l i f e , and . . . the d e m o c r a t i z a t i o n , or i n c r e a s i n g d e m o c r a t i z a t i o n and d e c e n t r a l i z a t i o n o f c i t y governments, as they t r y and cope . Ruder r e f e r r e d r e p e a t e d l y to the f a c t t h a t , i n r e l a t i o n t o ne ighbourhood o r g a n i z a t i o n s c o a l e s c i n g and the f i n d i n g o f "a c l e a r community consensus , . . . when peop le f i n d common ground and common d i r e c t i o n s , i t i s i n h e r e n t l y p o w e r f u l . " She c i t e d as an example: when the Comp [rehens ive ] P l a n came out , t h e r e was a c o a l i t i o n t h a t i n c l u d e d the Chamber [of Commerce], s m a l l b u s i n e s s groups , and i t i n c l u d e d the Downtown A s s o c i a t i o n , and i t i n c l u d e d b i g b u s i n e s s , . . . e n v i r o n m e n t a l groups , and i t i n c l u d e d r e s i d e n t i a l g r o u p s . And when they c o a l e s c e d to say t h a t they had changes t h a t they wanted, t h a t was a v e r y p o w e r f u l group . Who i n f a c t got the changes t h a t they wanted. In sum, a conduc ive c l i m a t e at C i t y H a l l was an impor tant f a c t o r i n the P o l i c y ' s development and i n t r o d u c t i o n . I t was c r e a t e d by a number o f f a c t o r s , i n c l u d i n g S e a t t l e ' s p o l i t i c a l c u l t u r e and p o l i t i c s . In a d d i t i o n to the presence and e f f e c t o f ne ighbourhoods and ne ighbourhood o r g a n i z a t i o n s , and t h i s conduc ive c o n t e x t , two o t h e r f a c t o r s were impor tant to the i n t r o d u c t i o n o f the Neighbourhood P l a n n i n g P o l i c y i n S e a t t l e : p r e s s u r e , and elements c o n t a i n e d i n the P o l i c y i t s e l f . I n t e r v i e w F i n d i n g s and A n a l y s i s 72 5.3 Pressure i s Es s e n t i a l They [the City] wouldn't have done this without a gun to their heads. Tim S t . C l a i r The presence o f a contex t conduc ive to development o f a ne ighbourhood p l a n n i n g p o w e r - s h a r i n g p o l i c y was complemented by the presence o f ne ighbourhoods and ne ighbourhood o r g a n i z a t i o n s , as a l r e a d y d i s c u s s e d , and by a p p l i c a t i o n o f p r e s s u r e . T h i s p r e s s u r e was found c h i e f l y i n two s o u r c e s : ne ighbourhoods and s t a t e - i n t r o d u c e d growth management l e g i s l a t i o n . 5 . 3 .1 Neighbourhoods Request As organizations and as individuals, they've been playing a consistent role for fifteen years in saying we want neighbourhood planning. J im S t r e e t A number o f i n t e r v i e w e e s p o i n t e d to p r e s s u r e a p p l i e d by ne ighbourhood o r g a n i z a t i o n s as an impor tant f a c t o r i n the development and i n t r o d u c t i o n o f the P o l i c y , d e s p i t e some c o l l e c t i v e h e s i t a t i o n ( d i s c u s s e d e a r l i e r ) to d i r e c t l y assess ne ighbourhood o r g a n i z a t i o n power. In the a p p l i c a t i o n o f p r e s s u r e , ne ighbourhood o r g a n i z a t i o n s were g e n e r a l l y p e r c e i v e d as t e n a c i o u s , r a t h e r than a g g r e s s i v e . T h e i r t e n a c i t y appears t o I n t e r v i e w F i n d i n g s and A n a l y s i s 73 have r e - e n f o r c e d t h e i r demands, which were g e n e r a l l y r e c o g n i z e d to be o f l o n g - s t a n d i n g s t a t u r e . Among comments t o t h i s e f f e c t ( D i e r s , Ryan, S t r e e t , S t r o s a h l , T o b i n , Wales , Washburn), S t r o s a h l d e s c r i b e d ne ighbourhood e f f o r t as "cont inuous , l i k e Chinese water t o r t u r e . " TObin no ted t h a t d e s p i t e C i t y i n i t i a t i v e to keep a c i t y w i d e [ i e , non-neighbourhood] focus on p l a n n i n g : the peop le i n the ne ighbourhood , the a c t i v i s t s , the community c o u n c i l s and the ne ighbourhood b u s i n e s s groups , always f e l t r e a l l y s t r o n g l y t h a t t h e r e needed to be a focus at the ne ighbourhood l e v e l , and t h a t v o i c e would not go a w a y . . . . The p r e s s u r e has been on c o n t i n u o u s l y from the community peop le to move i n t o t h i s l e v e l o f p l a n n i n g . Tom Wales d e s c r i b e d the impact on the C i t y o f these e f f o r t s : I t h i n k the ne ighbourhoods have s e r v e d a v e r y u s e f u l r o l e i n keep ing C i t y p l a n n e r s and C i t y C o u n c i l f ocused on the need f o r mean ingfu l ne ighbourhood p l a n n i n g , and have s e r v e d an important r o l e i n making sure c e r t a i n e lements are c o n t a i n e d i n the Neighborhood P l a n n i n g Component. Document rev iew f i n d i n g s c o n f i r m the l e n g t h y h i s t o r y o f n e i g h b o u r h o o d - l e v e l o r g a n i z a t i o n i n S e a t t l e , and support the c o n t e n t i o n t h a t ne ighbourhood o r g a n i z a t i o n s have c o n t i n u o u s l y a p p l i e d p r e s s u r e over a l a r g e number o f y e a r s . The i s s u e o f l e a d e r s h i p i n ne ighbourhood o r g a n i z a t i o n s emerged i n a number o f comments (Kissman, Ruder , S t r e e t , T o b i n , Washburn) and i n s e v e r a l c o n t e x t s , i n c l u d i n g t h a t o f ne ighbourhood o r g a n i z a t i o n s ' c a p a c i t y t o p r o p e l the ne ighbourhood p l a n n i n g i s s u e f o r w a r d . As Kissman noted i n r e g a r d to e f f e c t i v e n e s s o f ne ighbourhood o r g a n i z a t i o n s as a c o l l e c t i v i t y , " i t ' s j u s t not a c o n s i s t e n t p i c t u r e at a l l , and i t I n t e r v i e w F i n d i n g s and A n a l y s i s 74 r e a l l y depends on the i n d i v i d u a l s i n v o l v e d . " She commented f u r t h e r on: The r e s u l t [of ne ighbourhood invo lvement i n the NMF] i s t h e r e are "people who are v e r y educated about p l a n n i n g , very e x p e r i e n c e d i n p l a n n i n g , know the successes and p i t f a l l s about the way i t was done i n the p a s t , and had a l o t t o say about how to improve i t . And we've d e f i n i t e l y worked w i t h those f o l k s . . . . . The c i t i z e n s who h e l p e d the most to shape ne ighbourhood p l a n n i n g , by and l a r g e had been i n v o l v e d i n ne ighbourhood p l a n n i n g i n some way i n t h e i r own ne ighbourhoods . And had an i n t e r e s t i n i t g e n e r a l l y and u n d e r s t o o d something about i t , and what makes i t work and what makes i t not work. D i e r s p r o v i d e d i n p u t v e r y s i m i l a r to K i s s m a n ' s . An i n t r i g u i n g aspect o f the d i s c u s s i o n s about ne ighbourhood o r g a n i z a t i o n s ' a p p l i c a t i o n o f p r e s s u r e to b r i n g about change they d e s i r e d , i n c l u d i n g the i n t r o d u c t i o n o f the Neighbourhood P l a n n i n g P o l i c y , was the commentary about i n f l u e n c e , or p e r c e i v e d i n f l u e n c e , on e l e c t i o n and o t h e r outcomes by neighbourhoods and ne ighbourhood o r g a n i z a t i o n s . S t r e e t agreed w i t h the p r o p o s i t i o n t h a t ne ighbourhoods i n S e a t t l e are o f t e n a b l e to cobb le t o g e t h e r apparent power adequate to sway lukewarm d e c i s i o n - m a k e r s toward a ne ighbourhood cause . However, he a l s o s t a t e d : I'm not a c t u a l l y sure t h a t [neighbourhood o r g a n i z a t i o n ] v o t i n g power i s as g r e a t as t h e i r apparent power. And I d o n ' t know t h a t a c t u a l l y Councilmembers n e c e s s a r i l y b e l i e v e [ i n ne ighbourhood power to a f f e c t outcomes] today as much as they might have b e l i e v e d i n the l a t e ' 8 0 ' s . . . . A number o f i n t e r v i e w e e s ( i n c l u d i n g D i e r s , S t r o s a h l , Washburn) a l s o p o i n t e d t o i s s u e s o f concern at the l o c a l l e v e l which were d i f f e r e n t from but r e l a t e d to the ne ighbourhood push I n t e r v i e w F i n d i n g s and A n a l y s i s 75 f o r ne ighbourhood p l a n n i n g . These were p e r c e i v e d as c o n t r i b u t i n g to n e i g h b o u r h o o d - g e n e r a t e d p r e s s u r e on C i t y H a l l , and i n c l u d e d t o p i c s such as d e n s i t y , t r a f f i c and t r a n s p o r t a t i o n , ne ighbourhood c h a r a c t e r , p u b l i c s a f e t y , p a r k i n g , b a s i c i n f r a s t r u c t u r e , c i t y f a c i l i t i e s , open space , economic development, and s c a l e o f development', among o t h e r s . 5 .3 .2 Growth Management L e g i s l a t i o n Conf irms So i t ' s kind of a confluence of events. The f i n a l catalyst for t h i s has probably been the Growth Management Act. Tom Wales Nine i n t e r v i e w e e s (Kammerer, Kissman, McLean, Ryan, S t . C l a i r , S t r e e t , T o b i n , Wales , Wasserman) p o i n t e d d i r e c t l y to the i n t r o d u c t i o n o f the Growth Management A c t (GMA) as a f a c t o r i n the i n t r o d u c t i o n of the Neighbourhood P l a n n i n g P o l i c y . Kissman e x p l a i n e d : The o t h e r t h i n g t h a t happened i n 1990 was t h a t the whole r e g i o n was coming o f f a growth boom, or k i n d o f i n the h e a r t o r peak o f a growth boom, and growth management p l a n n i n g was a v e r y , v e r y b i g d e a l . And we ended up w i t h a s t a t e act c a l l e d the Growth Management A c t , t h a t r e q u i r e d c i t i e s and c o u n t i e s t o produce comprehensive p l a n s . S e a t t l e had k i n d o f i n d e p e n d e n t l y a r r i v e d at the d e c i s i o n t h a t we needed to do t h a t as; w e l l . We had not done a comprehensive p l a n , r e a l l y , f o r q u i t e some t ime . . . . [As w e l l , t ] h e Growth Management A c t p l a c e s p r e t t y heavy emphasis on p u b l i c invo lvement i n p l a n n i n g , b o t h i n terms of coming up w i t h comp[rehensive] p l a n s and i n terms of s u b - a r e a p l a n s t h a t f o l l o w from the comp[rehensive] p l a n . . . . So we had t h i s s i t u a t i o n where our e x i s t i n g ne ighbourhood p l a n s were v e r y ad hoc , . . . [a]nd the I n t e r v i e w F i n d i n g s and A n a l y s i s 76 p r o d u c t s were, as I say, o f t e n t i m e s v e r y p r o b l e m a t i c . We had the need to do a comprehensive p l a n . In s h o r t , p r e s s u r e from ne ighbourhood o r g a n i z a t i o n s and the p r e s s u r e p l a c e d on the C i t y by the l e g i s l a t e d requ irements o f the GMA appears to have combined t o c o n c l u s i v e l y s e a l the C i t y ' s d e c i s i o n to move toward a new p l a n n i n g schema, f e a t u r i n g a growth management focus and a ne ighbourhood o r i e n t a t i o n . The GMA requirement f o r c i t i z e n invo lvement a l s o m o b i l i z e d the C i t y on a c i t i z e n involvement component. That the Comprehensive P l a n ' s c i t i z e n involvement component adopted the p a r t i c u l a r form of ne ighbourhood involvement appears to be due t o the shap ing f o r c e s o f the c o n t e x t u a l e lements d e s c r i b e d e a r l i e r . The r e s u l t was the C i t y ' s 1994 Comprehensive P l a n f o r growth management, the c o r n e r s t o n e o f which i s i t s implementa t ion t h r o u g h ne ighbourhood p l a n n i n g . The next s e c t i o n b r i e f l y c o n s i d e r s how these f a c t o r s p l a y e d o u t . 5.4 A P o w e r - S h a r i n g P o l i c y Deve lops We couldn't do every l i t t l e d e t a i l from City Hall. And didn't want to do every l i t t l e d e t a i l from City Hall. And as the p o l i t i c a l process went onr we could do less and less, from City Hall. E l l e n Kissman In the face o f the combined p r e s s u r e from neighbourhoods and the r e c e n t l y i n t r o d u c e d growth management l e g i s l a t i o n , the I n t e r v i e w F i n d i n g s and A n a l y s i s 77 C i t y sought r e l i e f . The Neighbourhood P l a n n i n g P o l i c y p r o v i d e d a mechanism f o r h a n d l i n g a v a r i e t y o f p o l i t i c a l needs, and f o r r e s o l v i n g a common p l a n n i n g c h a l l e n g e , the need f o r i n c l u s i v e n e s s , and these appear to have a s s i s t e d i t s i n t r o d u c t i o n . 5 .4 .1 P o l i t i c a l Needs are Met [Council members do not need to be involved] in every l i t t l e d e t a i l . C a r o l T o b i n A number o f i n t e r v i e w e e s ( D i e r s , Kammerer, Kissman, Lawrence, S t . C l a i r , S t r e e t , T o b i n , Wales , ) saw i n c l u s i o n o f the Neighborhood P l a n n i n g Element and i t s s h a p i n g i n t o the form of the c u r r e n t Neighbourhood P l a n n i n g P o l i c y as p r o v i d i n g a range of s o l u t i o n s or components o f s o l u t i o n s t o some o f the C i t y ' s t h o r n i e r p o l i t i c a l p r o b l e m s . These i n c l u d e d p r o v i s i o n o f v a l i d i t y and p u b l i c p a l a t a b i l i t y f o r the Comprehensive P l a n , c r e a t i o n o f a p l a c e t o which d i f f i c u l t d e c i s i o n s c o u l d be t e m p o r a r i l y (or perhaps permanently) d e f e r r e d , and p r o v i s i o n o f a c a s h - f r e e replacement f o r a d w i n d l i n g s e l e c t i o n o f cash e x p e n d i t u r e - b a s e d o p t i o n s i n an e r a o f s h r i n k i n g b u d g e t s . The shape of the Neighbourhood P l a n n i n g P o l i c y a l s o addres sed some C i t y needs i n the areas o f communication c h a n n e l s , C o u n c i l work load , and p o l i t i c a l cover f o r p o l i t i c i a n s and b u r e a u c r a t s , I n t e r v i e w F i n d i n g s and A n a l y s i s 78 some i n t e r v i e w e e s b e l i e v e . Tom Wales spoke to the need to make the Comprehensive P l a n p a l a t a b l e : The Neighborhood P l a n n i n g Component was d e s i g n e d t o , or the motive b e h i n d i t , one o f the m o t i v a t i o n s anyway, was t o make more p a l a t a b l e to peop le i n the C i t y the mandate o f the Growth Management A c t , and u l t i m a t e l y , the Comprehensive P l a n . Lawrence noted the importance o f p o l i t i c a l v a l i d i t y : [The Neighborhood P l a n n i n g Element g i v e s the P lan] p o l i t i c a l v a l i d i t y . T h e r e ' s a r e a l d i f f e r e n c e between a l e g a l document and something t h a t has p o l i t i c a l c u r r e n c y . D i e r s noted t h a t as the development o f the Comprehensive P l a n p r o g r e s s e d , , p o l i t i c i a n s "kept d e f e r r i n g more and more to the Comprehensive P l a n and ne ighbourhood p l a n n i n g as they came up w i t h t h o r n y i s s u e s . " T o b i n and o t h e r s saw t h i s P o l i c y as a d m i n i s t r a t i v e l y conven ient f o r C o u n c i l , r e l e a s i n g p o l i t i c i a n s from t i r e s o m e and t ime-consuming elements o f p l a n n i n g work, as they would no l o n g e r be i n v o l v e d i n "every l i t t l e d e t a i l . " Wales i d e n t i f i e d the v a l u e o f i n c r e a s e d c h o i c e i n an e r a o f s h r i n k i n g budgets : The f a c t o f the mat ter i s t h a t the modern c i t y , and S e a t t l e i s no e x c e p t i o n , has v e r y l i t t l e cash . . . so . . . you need to o f f e r more i n t a n g i b l e inducements . And c e r t a i n l y one b i g such i n t a n g i b l e inducement i s t o say ' w e l l w e ' l l g i v e some c o n t r o l over what your ne ighbourhood looks l i k e as i t grows i n t o the f u t u r e . ' S t . C l a i r , l i k e Wales , saw the P o l i c y as a c o n d u i t f o r i n f o r m a t i o n f o r the C i t y , and as a way f o r the C i t y to take soundings , so t h a t the C i t y c o u l d "see how t h i n g s are p l a y i n g I n t e r v i e w F i n d i n g s and A n a l y s i s 79 out i n the t r e n c h e s . " S t . C l a i r a l s o noted t h a t the P o l i c y p r o v i d e s cover and "spreads out p o l i t i c a l l i a b i l i t y . " In the case o f p o l i t i c i a n s , he e x p l a i n e d : they can a l s o a lways , i f they come up w i t h a p l a n f o r example f o r a ne ighbourhood and t h e r e ' s an u p r i s i n g or something, they can always come back and say 'we got t h i s d i r e c t l y from X community c o u n c i l and h e r e ' s the r e c o r d , . . . and they [the community c o u n c i l ] supposed ly r e p r e s e n t the r e s t o f y o u . ' F o r b u r e a u c r a t s , he found the Neighbourhood P l a n n i n g P o l i c y p r o v i d e s : p o l i t i c a l cover f o r them because i f t h i n g s blow up i n c e r t a i n p r o j e c t s , [they can say] 'we d i d n ' t have a bunch o f p l a n n e r s . . . c o o k i n g up schemes f o r the ne ighbourhoods , t h a t ' s not the way i t worked. You guys t o l d us t h i s i s what you wanted . ' However, many of these p o t e n t i a l b e n e f i t s were p r o b a b l y o n l y c l e a r l y v i s i b l e to most S e a t t l e d e c i s i o n shapers and d e c i s i o n , makers a f t e r some e a r l i e r work p r e l i m i n a r y to the P o l i c y ' s development was u n d e r t a k e n . The C i t y c a r r i e d out two t a s k s i n p a r t i c u l a r which shaped the P o l i c y . F i r s t , i t r e s e a r c h e d ne ighbourhood p l a n n i n g i n i t i a t i v e s i n o t h e r j u r i s d i c t i o n s , 2 0 and second, i t r e - e v a l u a t e d some concepts fundamental to p l a n n i n g and governance ( D i e r s , K i s s m a n ) . Though t h i s was an i n f r e q u e n t l y mentioned i n t e r v i e w f i n d i n g , i t seems l i k e l y t h a t these c o n t r i b u t i o n s were n o n e t h e l e s s important to the P o l i c y ' s u l t i m a t e a d o p t i o n . 2 0 N o t a b l y those i n M i n n e a p o l i s , and P o r t l a n d , Oregon. I n t e r v i e w F i n d i n g s and A n a l y s i s 80 I t seems t h a t the n a t u r e o f the P o l i c y , not j u s t i t s power-s h a r i n g c h a r a c t e r , was important to i t s u l t i m a t e a d o p t i o n . Yet a number o f i n t e r v i e w e e s were u n c e r t a i n about the P o l i c y ' s a c t u a l c a p a c i t y f o r s h a r i n g power. T h i s f i n d i n g i s d i s c u s s e d n e x t . 5 .4 .2 But Does i t Share Power? The City's finger p r i n t s are going to be a l l over these plans. Tom Wales Most i n t e r v i e w e e s v a c i l l a t e d on answering q u e s t i o n s f o r m u l a t e d on an assumption of u n d e f i n e d p o w e r - s h a r i n g i n t h i s P o l i c y . A few p e r c e i v e d no r e a l change i n the power b a l a n c e between neighbourhoods and the C i t y . They p o i n t e d to the f a c t t h a t t h e r e i s no l e g a l d e l e g a t i o n o f d e c i s i o n - m a k i n g power, and the f a c t t h a t C o u n c i l must s t i l l approve a l l proposed p l a n s , as w e l l as any changes proposed by ne ighbourhoods to the Comprehensive P l a n . Others f e l t t h a t the p o l i t i c a l o b l i g a t i o n was so g r e a t t h a t , as l o n g as ne ighbourhoods r e s p e c t e d the framework, power would i n e f f e c t be s h a r e d . On the q u e s t i o n o f whether power i s a c t u a l l y i n the ne ighbourhoods ' hands, Washburn s t a t e d f i r m l y t h a t : "The ne ighbourhood f o l k s w i l l t e l l you t h a t t h e y ' r e r u n n i n g the show now, but t h e y ' r e d e l u d i n g t h e m s e l v e s . " He s u p p o r t e d t h i s I n t e r v i e w F i n d i n g s and A n a l y s i s 81 p o s i t i o n by n o t i n g t h a t " i f you take a look at those requ irements [with which groups must comply i n o r d e r to r e c e i v e C o u n c i l a p p r o v a l ] , y o u ' l l see each of them i s v e r y mushy, and you can d r i v e a f r e i g h t t r a i n t h rou gh them. So, i t ' s u l t i m a t e l y s t i l l a v e r y p o l i t i c a l p r o c e s s . " Wasserman was o f a s i m i l a r o p i n i o n , s t a t i n g t h i s i s " jus t another form o f p o l i t i c s . " Yet S t . C l a i r p o i n t e d out t h a t " p o l i t i c i a n s w i l l be h a r d put to say no" i f ne ighbourhoods take them up on the c h a l l e n g e . S t r o s a h l adopted the same p o s i t i o n . Lawrence e l a b o r a t e d : So wh i l e i t was, b e f o r e the Comprehensive P l a n , always sa fe to t a l k about ne ighbourhood, empowerment but making d e c i s i o n s on a c i t y w i d e b a s i s , g i v e n the l e g a l s t a n d i n g t h a t the GMA puts i n the Comprehensive P l a n , i t a c t u a l l y became t ime to e i t h e r put up or shut up f o r the e l e c t e d o f f i c i a l s . So t h e r e wasn' t r e a l l y any v a l i d p o l i t i c a l course o t h e r than to a l l o c a t e to ne ighbourhoods some o f t h e , not d e c i s i o n making but c e r t a i n l y d e c i s i o n s h a p i n g . Lawrence a l s o p o i n t e d out t h a t though d e l e g a t i o n i n o r d e r to share power was not a p o s s i b i l i t y , r e s p e c t f o r ne ighbourhood i n p u t had become a p o l i t i c a l i m p e r a t i v e : Because aga in you have t o remember t h a t the C o u n c i l d i d not a b d i c a t e any o f t h e i r l e g a l r e s p o n s i b i l i t i e s . They d i d not nor c o u l d they , under Washington S t a t e law. What t h e y ' v e s a i d i s t h a t we have o b l i g a t e d o u r s e l v e s p o l i t i c a l l y to pay r e a l l y s e r i o u s a t t e n t i o n to what you are g o i n g to t e l l us you would do i n o r d e r t o a c h i e v e these s o c i e t a l g o a l s . And you w i l l have the o p p o r t u n i t y to h o l d us p o l i t i c a l l y a c c o u n t a b l e f o r the ex tent t o which we've p a i d a t t e n t i o n . And the way t o e n t r a p us , as e l e c t e d o f f i c i a l s , i s t o s a t i s f y the g o a l s o f the .Comprehensive P l a n . S t . C l a i r among o t h e r s noted t h a t p o l i t i c i a n s have another reason as w e l l t o s h a r e : T h e r e ' s j u s t so much o t h e r power t h a t they have, . . . t h i s i s no more than say 6% o f a l l t h e i r power . . . and some of I n t e r v i e w F i n d i n g s and A n a l y s i s 82 t h i s s t u f f i s a k i n d o f a p a i n i n the neck a n y w a y . . . . I t h i n k i t was an easy t h i n g f o r them to g i v e up . Yet even those who f i r m l y b e l i e v e power has been shared s p e c i f i e d t h a t t h e r e are " r u l e s and parameters" ( S t r o s a h l ) . Wales' comment t h a t "the C i t y ' s f i n g e r p r i n t s " would be a l l over ne ighbourhood p l a n s was p a r t o f t h i s . He n o t e d : The C i t y has p r o f e s s i o n a l p l a n n e r s who are g o i n g to be i n v o l v e d i n the p r o c e s s . And who, w h i l e they may, i f they are good at t h e i r j o b s , u l t i m a t e l y produce documents t h a t the neighbourhoods b e l i e v e f a i r l y r e f l e c t t h e i r own hopes and a s p i r a t i o n s and d e s i r e s , they are a l s o , i f they are good at t h e i r j o b s , g o i n g t o have s t e e r e d the neighbourhoods down a p a t h which l e a d s the p l a n s to be c o n s i s t e n t w i t h the o v e r a l l Comprehensive P l a n , and which ensures t h a t the ne ighbourhood i s aware not o n l y o f i t s s e l f i s h , k i n d o f p a r o c h i a l c o n c e r n s , but a l s o t h a t t h e r e are c i t y w i d e i s s u e s t h a t have to be addres sed i n any ne ighbourhood p l a n . So w e ' l l see what happens. As Wales observed , the answer t o the q u e s t i o n o f whether power was r e a l l y shared w i t h the i n t r o d u c t i o n o f t h i s P o l i c y l i e s w i t h the f u t u r e , when v a r i o u s aspec t o f the P o l i c y and i t s implementa t ion can be e v a l u a t e d . F o r the purposes o f t h i s t h e s i s , the term "power-shar ing" was r e t a i n e d , d e s p i t e the r e s e r v a t i o n s no ted , because as S t . C l a i r s a i d : There i s power t h e r e mos t ly because . . . the C i t y has thrown out t h i s framework, and s a i d h e r e ' s money and come and t e l l us what you want your neighbourhoods t o l o o k l i k e . And t h a t ' s an o f f e r i n g to share power. As A r n s t e i n observed , t h e r e i s no p o s s i b i l i t y o f a b s o l u t e c i t i z e n c o n t r o l , s i n c e a c c o u n t a b i l i t y r e s t s w i t h c i t y c o u n c i l . As Parenteau no ted , n e g o t i a t i o n and b a r g a i n i n g over p r o j e c t e d outcomes r e p r e s e n t the f i r s t rung o f r e a l c i t i z e n power, and these elements are p r e s e n t i n t h i s P o l i c y . C o l l a b o r a t i o n , when I n t e r v i e w F i n d i n g s and A n a l y s i s 83 p r o p e r l y s t r u c t u r e d , can be a p o w e r - s h a r i n g form of p a r t n e r s h i p , and appears to be so h e r e . 5 . 4 . 3 I n c l u s i v e n e s s and the Essence o f P l a n n i n g We [neighbourhood organizations] have to change our thinking [about inclusiveness in neighbourhood planning], just l i k e the City had to change from them doing the planning to us doing the planning. V i v i a n McLean I n c l u s i v e n e s s was d i s c u s s e d i n i n t e r v i e w s b o t h i n terms o f the ne ighbourhood p l a n n i n g p r o c e s s and i n terms of avenues o f c i t i z e n p a r t i c i p a t i o n . A few i n t e r v i e w e e s (Kissman, Lawrence, McLean, Ruder) spoke d i r e c t l y to t,he i s s u e o f ne ighbourhood o r g a n i z a t i o n s ' need to i n c r e a s e the i n c l u s i v e n e s s and r e p r e s e n t i v i t y o f t h e i r a c t i v i t i e s . Ruder commented: Another p i e c e was about i n c l u s i v e n e s s and r e p r e s e n t a t i o n . There were a l o t o f i s s u e s t h a t we have to be c a r e f u l on, [to ensure] t h a t p l a n n i n g e f f o r t s d o n ' t end up r e p r e s e n t i n g on ly one group o f p e o p l e . A l o t o f the peop le who've been most i n v o l v e d i n p l a n n i n g t e n d to be wh i t e , midd le c l a s s , s i n g l e - f a m i l y home owners. And i f t h i s p r o c e s s was g o i n g to work i t had to be a l o t b r o a d e r than t h a t . I n c l u s i v e n e s s i n ne ighbourhood p r o c e s s was c l e a r l y i d e n t i f i e d as i m p o r t a n t . A l a r g e r i s s u e about who c i t i z e n s are and how they p a r t i c i p a t e was a l s o r a i s e d w i t h i n the i n c l u s i v e n e s s r u b r i c . Neighbourhoods , as Ryan p o i n t e d out , are geograph ic communit ies , or communit ies o f p l a c e , and as such are o n l y one k i n d o f community i n a c i t y . Lawrence i d e n t i f i e d a I n t e r v i e w F i n d i n g s and A n a l y s i s 84 second k i n d o f community: There are many communit ies i n the C i t y t h a t are not g e o g r a p h i c a l l y - b a s e d . There i s no N a t i v e - A m e r i c a n ne ighbourhood . There i s no ne ighbourhood a c t u a l l y f o r any e t h n i c g r o u p . . . . So as we do our ne ighbourhood-based p l a n n i n g , the C i t y has an important r o l e o f t r y i n g to get the neighbourhoods to address the communit ies o f i n t e r e s t t h a t d o n ' t have the p o l i t i c a l power t o make t h e i r needs expres sed i n any s p e c i f i c ne ighbourhood . In a d d i t i o n to communities o f i n t e r e s t and g e o g r a p h i c a l l y - b a s e d communities o f p l a c e , two a d d i t i o n a l a spec t s o f i n c l u s i v e n e s s i n terms of p a r t i c i p a t i o n were r a i s e d : peop le a l s o need avenues f o r p a r t i c i p a t i o n as i n d i v i d u a l s , and t h e r e i s another community, the "community o f the f u t u r e . " Lawrence e l a b o r a t e d : There i s a f o u r t h , and t h a t i s community o f f u t u r e . Who speaks f o r the f u t u r e i n a ne ighbourhood p l a n n i n g p r o c e s s ? Most o f the concerns and v a l u e s t h a t get a r t i c u l a t e d are about the p r e s e n t or the p a s t . . . . And who speaks f o r those peop le who are d i s e n f r a n c h i s e d and here today , and even more i m p o r t a n t l y , who speaks f o r those peop le who we know w i l l be here i n the f u t u r e , who are not g o i n g to be a b l e to have the same c h o i c e s as those peop le who are dominat ing the ne ighbourhood p l a n n i n g debate today? Good p l a n n i n g , p l a n n i n g which i s comprehensive i n o u t l o o k , i n t e g r a t i v e i n w o r k s t y l e , and b a l a n c e d i n p r o c e s s and p r o d u c t , addresses a l l these k i n d s o f communit ies . Good governance p r o v i d e s avenues o f p a r t i c i p a t i o n f o r the range o f p a r t i c i p a t o r y needs o f i t s c i t i z e n r y . F o r ne ighbourhood o r g a n i z a t i o n s i n ne ighbourhood p l a n n i n g , the c h a l l e n g e i s t o b r i n g peop le t o g e t h e r w i t h i n the ne ighbourhood to ach i eve these ends at the ne ighbourhood l e v e l . As Ruder observed: I t h i n k t h a t the b e s t hope f o r l o c a l government i s t o i n f a c t b r i n g peop le t o g e t h e r so they are t a l k i n g to each o t h e r , r a t h e r than h a v i n g each o f them i n d e p e n d e n t l y t a l k I n t e r v i e w F i n d i n g s and A n a l y s i s 85 to the government about what they want the government t o do . And t h a t ' s not g o i n g t o be an easy mat ter to p u l l o f f . Ruder a l s o noted t h a t ne ighbourhoods can i n themselves i n c o r p o r a t e and embody the d i v e r s e e lements p r e s e n t i n a c i t y . N o n e t h e l e s s , t h i s i s not any e a s i e r f o r ne ighbourhoods and ne ighbourhood o r g a n i z a t i o n s than f o r c i t i e s and l o c a l governments . As Kammerer p o i n t e d out , democracy i s . . . c o n f u s i n g , i t i s s low, i t i s messy, i t i s c o m p l i c a t e d , i t i s t ime-consuming , i t i s a g r e a t s t r u g g l e . . . . [ I ] t takes you a l o n g t ime to get t h e r e , but when you do, you have a l o t more s u p p o r t . C l e a r l y , some of the c h a l l e n g e s o f governance are shared w i t h ne ighbourhoods , when some of the power i s s h a r e d . In sum, the i n t e r v i e w f i n d i n g s i n d i c a t e t h a t the g e n e s i s , development and i n t r o d u c t i o n o f the P o l i c y was a r e s u l t o f t h r e e major f a c t o r s . The f i r s t f a c t o r was S e a t t l e ' s n a t u r e as a c i t y of ne ighbourhoods and the presence and c i t y w i d e d i s t r i b u t i o n o f n e i g h b o u r h o o d - l e v e l o r g a n i z a t i o n s . ' D i s t i n c t i v e ne ighbourhoods and a l o n g t r a d i t i o n o f a c t i v e ne ighbourhood o r g a n i z a t i o n s are prominent S e a t t l e f e a t u r e s . The second was the contex t f o r the P o l i c y ' s development . D u r i n g the p e r i o d o f development and i n t r o d u c t i o n o f the P o l i c y , the c l i m a t e at S e a t t l e C i t y H a l l became i n c r e a s i n g l y open to ne ighbourhood community group p a r t i c i p a t i o n i n v o l v i n g degrees o f p o w e r - s h a r i n g i n ne ighbourhood p l a n n i n g . As w e l l , the n a t u r e o f c i t y p o l i t i c s and of the l a r g e r p o l i t i c a l c u l t u r e p r e s e n t e d avenues f o r i n t r o d u c t i o n of p o w e r - s h a r i n g . The t h i r d f a c t o r was the I n t e r v i e w F i n d i n g s and A n a l y s i s 86 c r e a t i o n o f tremendous p r e s s u r e on the C i t y , r e s u l t i n g from combined ne ighbourhood demand and the new requ irements o f the Growth Management A c t . The C i t y r e l i e v e d the p r e s s u r e t h rough development o f a p l a n which c a p i t a l i z e d on the two major p r e s s u r e s o u r c e s , ne ighbourhoods and the need to manage growth . A f o u r t h f a c t o r , development o f e lements i n the P o l i c y to meet p o l i t i c a l needs and to add the fundamental p l a n n i n g i m p e r a t i v e s of i n c l u s i v e n e s s and b a l a n c e , f a c i l i t a t e d i t s i n t r o d u c t i o n and a d o p t i o n . The f i n a l c h a p t e r o f t h i s t h e s i s c o n s i d e r s the c o n c l u s i o n s and i m p l i c a t i o n s o f t h i s r e s e a r c h , i t s s i g n i f i c a n c e , and sugges t ions f o r f u r t h e r r e s e a r c h . 6. CONCLUSIONS Because i t ' s s c a r i e r not to. Gary Lawrence, immediate Pas t D i r e c t o r o f P l a n n i n g , C i t y o f S e a t t l e 2 1 T h i s c h a p t e r i d e n t i f i e s sugges t ions f o r r e s e a r c h t o f u r t h e r the development o f p o l i c y on p o w e r - s h a r i n g , c o n s i d e r s the s i g n i f i c a n c e to p l a n n i n g and l o c a l governance of .work, on power-s h a r i n g p o l i c y development, o f f e r s a summary o f the work of the t h e s i s and i t s f i n d i n g s , and c l o s e s w i t h a d i s c u s s i o n o f the i m p l i c a t i o n s f o r p l a n n i n g p r a c t i c e . 6.1 Further Research A number o f i n t e r e s t i n g q u e s t i o n s arose d u r i n g work on t h i s t h e s i s , which were not w i t h i n i t s s cope . These m e r i t a t t e n t i o n i n d i s c u s s i o n o f p o w e r - s h a r i n g i n p l a n n i n g , and are l i s t e d h e r e . The f i r s t concerns a r t i c u l a t i o n o f the k i n d s o f a c t i v i t i e s , i s s u e s or r o l e s t h a t ne ighbourhoods or communities cannot or s h o u l d not take on i n s h a r e d p l a n n i n g , b o t h f o r the good of the c i t y and f o r the good o f the ne ighbourhood or community. How f a r can the boundary o f shared power u s e f u l l y and r e a s o n a b l y be extended? The second, r e l a t e d to the f i r s t , concerns the e f f e c t on ne ighbourhood or community o r g a n i z a t i o n s o f the assumption of p l a n n i n g power. As d e c i s i o n - m a k i n g r e s p o n s i b i l i t y i n p l a n n i n g i s i n h e r e n t l y p o l i t i c a l ( i n the sense o f r e q u i r i n g tough c h o i c e s 2 1 I n t e r v i e w , J u l y , 1995. 87 6. Conclusions 88 where some one or more p a r t i e s w i l l i n e v i t a b l y be unhappy) , at what p o i n t can , s h o u l d or do ne ighbourhood or community groups i n v o l v e d i n p l a n n i n g c r o s s the l i n e i n t o govern ing? A t h i r d i s about the r o l e o f l o c a l governments i n enhanc ing ne ighbourhood and community o r g a n i z a t i o n a c t i v i s m , e f f e c t i v e n e s s , and c a p a c i t y . S i n c e i t i s not t h e i r r e s p o n s i b i l i t y a l o n e , s h o u l d they p r o - a c t i v e l y i d e n t i f y and c u l t i v a t e o t h e r r e s o u r c e s , and i f so, how and f o r what purposes? A f o u r t h , r e l a t e d to a l l o f t h e s e , concerns t r u s t and c o n t r o l i n governance g e n e r a l l y , and between neighbourhoods or communities and l o c a l governments s p e c i f i c a l l y . How much i s good, and how can i t bes t be generated? A f i f t h i s about a c l e a r e r u n d e r s t a n d i n g and f u l l e r e v a l u a t i o n o f the v a r i o u s l o c i f o r making d e c i s i o n s and f o r t a k i n g a c t i o n i n the d i v e r s e arenas o f l o c a l government p l a n n i n g . The c h o i c e i s not l i m i t e d to ne ighbourhood , c i t y or r e g i o n . I t ranges from i n d i v i d u a l or househo ld , t h r o u g h b l o c k , ne ighbourhood , community and d i s t r i c t , t o c i t y and r e g i o n . Which d e c i s i o n - m a k i n g r e s p o n s i b i l i t i e s and w h i c h i m p l e m e n t a t i o n a l c a p a c i t i e s s h o u l d be p l a c e d where? The s i x t h has to do w i t h i d e n t i f y i n g and d e v e l o p i n g o t h e r a l t e r n a t i v e s t o the t r a d i t i o n a l p l a n n e r - d o m i n a t e d , community m e e t i n g / p u b l i c h e a r i n g - f o c u s e d method of p l a n n i n g and community i n v o l v e m e n t . What are some a d d i t i o n a l o p t i o n s to p r o f e s s i o n a l dominat ion and token involvement? P o w e r - s h a r i n g p o l i c i e s i n p l a n n i n g r e p r e s e n t 6. Conclusions 89 a v a l i d o p t i o n , but o n l y one o f a number i n a h e a l t h y and f u n c t i o n i n g democracy. 6.2 Significance P o w e r - s h a r i n g p o l i c i e s , one c h o i c e i n a s u i t e o f o p t i o n s a v a i l a b l e to l o c a l governments, can a s s i s t them i n the d a i l y work of g r a p p l i n g w i t h the c h a l l e n g e s and dilemmas o f p l a n n i n g and governance . P r o p o s a l s f o r a ward system, or c a l l s f o r r e -examinat ion o f the d i s t r i b u t i o n o f powers between c i t y and r e g i o n a l government, f o r example, demand a r e c o n s i d e r a t i o n o f the fundamental q u e s t i o n s o f the meaning and a p p l i c a t i o n o f democracy. S i m i l a r l y , e f f o r t s to i n t r o d u c e or augment mean ingfu l o p p o r t u n i t i e s f o r c i t i z e n invo lvement i n p l a n n i n g and governance o f t e n encounter a d e a r t h o f e f f e c t i v e s y s t e m a t i c or i n s t i t u t i o n a l frameworks to emulate or work w i t h i n . Such e f f o r t s o f t e n b u i l d from a c a t c h - b a g base o f e a r l i e r ad hoc , o n e - o f f , or one- t ime e x p e r i e n c e s . P l a n n i n g p o l i c i e s on power-s h a r i n g w i t h community groups c o n s t i t u t e one component i n the connected set o f systems, s t r u c t u r e s , programs and p o l i c e s which address such c h a l l e n g e s and di lemmas. U n d e r s t a n d i n g the f a c t o r s which c o n t r i b u t e to the development and i n t r o d u c t i o n o f power-s h a r i n g p o l i c i e s c o n t r i b u t e s t o u n d e r s t a n d i n g how p l a n n i n g can s t r e n g t h e n communities and c i t i e s , how p l a n n i n g p o l i c y can be improved, and how d e m o c r a t i c f u n c t i o n i n g at the l o c a l government l e v e l can be s t r e n g t h e n e d . 6. Conclusions 90 6.3 Conclusions and Implications In t h i s t h e s i s , development o f an u n d e r s t a n d i n g o f the f a c t o r s which l e a d to a d o p t i o n o f p o w e r - s h a r i n g p o l i c i e s between l o c a l governments and community o r g a n i z a t i o n s has i n v o l v e d a l i t e r a t u r e rev iew, a document rev i ew , and o r i g i n a l i n t e r v i e w r e s e a r c h about the case o f the C i t y o f S e a t t l e ' s Neighbourhood P l a n n i n g P o l i c y , an example o f l o c a l government p o w e r - s h a r i n g w i t h neighbourhoods i n ne ighbourhood p l a n n i n g . The l i t e r a t u r e rev iew i n Chapter 2 p r o v i d e d an u n d e r s t a n d i n g o f ne ighbourhoods , t h e i r o r g a n i z a t i o n s , and t h e i r p l a c e i n and needs f o r d e m o c r a t i c f u n c t i o n i n g . T h i s m a t e r i a l , a l o n g w i t h the document rev iew and i n t e r v i e w f i n d i n g s , ske tched a p i c t u r e o f i n t e r - c o n n e c t i n g webs of f a c t o r s i n v o l v e d i n the g e n e s i s , development and i n t r o d u c t i o n of p o w e r - s h a r i n g p o l i c i e s between government and ne ighbourhood o r g a n i z a t i o n s . A n a l y s i s o f t h i s p i c t u r e o f i n t e r - w o v e n elements l e d t o the c o n c l u s i o n t h a t f o r p o w e r - s h a r i n g p o l i c i e s between l o c a l governments and community or ne ighbourhood o r g a n i z a t i o n s to d e v e l o p , contex t i s important and p r e s s u r e i s e s s e n t i a l . The contex t needs to i n c l u d e the presence o f community or ne ighbourhood o r g a n i z a t i o n s worthy o f the t r u s t o f shared power, which are a l s o a p p r o p r i a t e l y r e s o u r c e d and s u p p o r t e d . The p r e s s u r e f o r p o w e r - s h a r i n g i d e a l l y y i e l d s i n c l u s i o n o f e lements i n the p o l i c y which address p o l i t i c a l needs as w e l l as the i m p e r a t i v e s of q u a l i t y p l a n n i n g , i n c l u s i v e n e s s and b a l a n c e . 6. Conclusions 91 E x a m i n a t i o n o f the g e n e s i s , development and i n t r o d u c t i o n o f the Neighbourhood P l a n n i n g P o l i c y i n S e a t t l e demonstrates t h a t t h i s p a r t i c u l a r p o w e r - s h a r i n g p o l i c y deve loped i n the presence o f these f o u r f a c t o r s . The P o l i c y was founded on the p a l p a b l e presence o f ne ighbourhoods and a l e n g t h y h i s t o r y o f a c t i o n at the ne ighbourhood l e v e l , i n c l u d i n g a c t i o n by ne ighbourhood o r g a n i z a t i o n s . I t was f o s t e r e d i n a conduc ive c o n t e x t , compri sed o f a s u p p o r t i v e c l i m a t e at C i t y H a l l d u r i n g the p e r i o d of i t s development, the presence o f a p o l i t i c a l and c u l t u r a l m i l i e u f e a t u r i n g c i t i z e n a c t i v i s m , l o c a l and f e d e r a l government i n t e r v e n t i o n i n ne ighbourhoods , and a number o f s u p p o r t i v e h i s t o r i c and p r e s e n t - d a y p o l i t i c a l e l ements . Born u l t i m a t e l y from the a p p l i c a t i o n o f p r e s s u r e (from more than one source and g r a c e d w i t h good t i m i n g ) , the P o l i c y g a i n e d a f i r m f o o t h o l d from i t s a b i l i t y to address p o l i t i c a l e x i g e n c i e s and o f f e r i n c l u s i v e p r o c e s s e s and outcomes. T h i s r e s e a r c h d i d not b r i n g to l i g h t s e v e r a l a spec t s o f l o c a l government r e l a t i o n s h i p s w i t h i t s ne ighbourhood or community groups which are impor tant t o n o t e . These i n c l u d e NIMBYism ("not i n my backyard" syndrome), which p lagues many e f f o r t s to i n t r o d u c e i n c r e a s e d l o c a l invo lvement , and c o n f l i c t between neighbourhoods and w i t h i n ne ighbourhoods . S i m i l a r l y , the American phenomena of "white f l i g h t " , (from the i n n e r c i t y t o the s u b u r b s ) , " r e d l i n i n g " (the bank p r a c t i c e o f r e f u s i n g to l e n d t o owners i n c e r t a i n a r e a s ) , g h e t t o s , and r a c i a l i s s u e s f i n d i n g 6. Conclusions 92 e x p r e s s i o n i n communit ies o f p l a c e , such as ne ighbourhoods , d i d not s u r f a c e i n the case s t u d y . These are undoubted ly p a r t o f the contex t f o r the P o l i c y ' s f o r m a t i o n , but they are by and l a r g e not p a r t o f the Canadian urban e x p e r i e n c e . The S e a t t l e p o l i c y ' on ne ighbourhood p l a n n i n g i s a c o n c e p t u a l l y s t r o n g and c r e a t i v e response t o the p a r t i c u l a r c h a l l e n g e s o f the S e a t t l e p l a n n i n g s i t u a t i o n o f the t i m e . B u i l t on an a p p a r e n t l y d i f f i c u l t dichotomous s i t u a t i o n , which i t has t u r n e d i n t o an a s s e t , i t improves d e m o c r a t i c f u n c t i o n i n g t h rough support to ne ighbourhoods to p l a n f o r t h e m s e l v e s . Other communities and j u r i s d i c t i o n s can deve lop s i m i l a r democracy-enhanc ing p o w e r - s h a r i n g p o l i c i e s , i f they choose to f o s t e r community, deve lop a conduc ive c o n t e x t , and a p p l y and respond w i s e l y to p r e s s u r e . S e v e r a l p r i n c i p l e s f o r ne ighbourhood and community group involvement i n p l a n n i n g , which appear to be t r a n s p o r t a b l e to o t h e r j u r i s d i c t i o n s , a r i s e from the work o f t h i s t h e s i s . They f a l l under the c a t e g o r i e s o f community, c o n t e x t , p r e s s u r e and p o l i c y . 1. Embrace and f o s t e r community C i t i e s w i l l do w e l l t o ensure the presence o f a number o f avenues f o r c i t i z e n p a r t i c i p a t i o n i n l o c a l governance , i n c l u d i n g some t h r o u g h involvement o f ne ighbourhood and community o r g a n i z a t i o n s . Neighbourhood o r g a n i z a t i o n s , and o t h e r k i n d s o f 6. Conclusions 93 community o r g a n i z a t i o n s , f o r t h e i r p a r t must be p r e s e n t and v i b r a n t f o r t h e i r p a r t i c i p a t i o n to have i m p a c t . People i n ne ighbourhoods and o t h e r communities can o r g a n i z e , g a i n s k i l l s and e x p e r i e n c e , and deve lop l e a d e r s h i p and p r o c e d u r e s which are r e p r e s e n t a t i v e o f the d i v e r s i t y they encompass. The o r g a n i z a t i o n s they form need depth and c a p a c i t y , . a n d some need f i n a n c i a l and t e c h n i c a l s u p p o r t , i n c l u d i n g support f o r a system or network, to be e f f e c t i v e . Wise l o c a l government p l a n n i n g w i l l r e c o g n i z e the l e g i t i m a c y o f these groups and of the involvement o f some of them i n p l a n n i n g and governance , t h r o u g h e n s u r i n g p r o v i s i o n o f f u n d i n g and t e c h n i c a l support and r e s o u r c i n g to them. 2 . C r e a t e a conduc ive contex t Though a number o f f a c t o r s i n the c r e a t i o n o f a conduc ive l o c a l government contex t are beyond the immediate r e a c h o f community and c i t y a c t i o n (such as d i r e c t i n f l u e n c e on s e n i o r government p o l i c y , spending or l e g i s l a t i o n , or on h i s t o r i c a l and s o c i o l o g i c a l f a c t s ) , development o f t r u s t , a t t i t u d i n a l openness at c i t y h a l l , and community o r g a n i z a t i o n r e a d i n e s s are w i t h i n the spheres o f l o c a l government and community group i n f l u e n c e . C i t i z e n s can e l e c t l o c a l government l e a d e r s who are aware o f and s e n s i t i v e to community groups ' needs and a s p i r a t i o n s . E l e c t e d l e a d e r s can s e a r c h f o r and a p p o i n t s e n i o r s t a f f w i t h t h i s same c a p a c i t y . These two p a r t i e s can t o g e t h e r o r g a n i z e l o c a l 6. Conclusions 94 government o p e r a t i o n s t o r e f l e c t and encourage a c i t i z e n r y a c t i v e as i n d i v i d u a l s and i n community o r g a n i z a t i o n s . To do t h i s , l o c a l government s t r u c t u r e s and p r o c e d u r e s , i n c l u d i n g those i n v o l v e d i n p l a n n i n g , can be r e - o r i e n t e d t o communit ies , and away from "bureaus ." L o c a l governments can a l s o deve lop and i n t r o d u c e programs and p o l i c i e s which support ne ighbourhood and community o r g a n i z a t i o n s , thr ough f u n d i n g and t e c h n i c a l a s s i s t a n c e and t h ro u gh community group i n v o l v e m e n t . Both l o c a l government and community o r g a n i z a t i o n s can s t r i v e f o r communicat ion and openness i n o r d e r to f o s t e r t r u s t i n the r e l a t i o n s h i p they d e v e l o p . 3 . P r e s s f o r change Neighbourhood and community groups , t o b r i n g about p o l i c i e s which share power w i t h them, must l e a r n t o demonstrate t h e i r w o r t h i n e s s , a l o n g w i t h p r e s e n t a t i o n o f t h e i r demands. They can c o n t i n u e to i d e n t i f y needs and i s s u e s , assess r e s o u r c e s , deve lop p r o p o s a l s f o r a c t i o n , i n c l u d i n g a c t i o n by l o c a l and s e n i o r governments, and to p r e s e n t and p r e s s these w i t h a p p r o p r i a t e p a r t i e s . Governments and o t h e r r e s p o n s i b l e p a r t i e s must i n t u r n be p r e p a r e d to l i s t e n and r e s p o n d . I n d i v i d u a l s , o r g a n i z a t i o n s and a l l l e v e l s o f government can p r e s s f o r l e g i s l a t e d or o t h e r mean ingfu l requ irements f o r c o n t e x t u a l l y a p p r o p r i a t e c i t i z e n i n v o l v e m e n t . T h i s i s 6. Conclusions 95 p a r t i c u l a r l y , so. i n p l a n n i n g a c t i v i t y . . A c t i v i t y o f . a l l d e s c r i p t i o n s which ensues between communities and governments w i l l p r o g r e s s more q u i c k l y and be more e f f e c t i v e i f b o t h p a r t i e s l e a r n to v a l u e i n c l u s i v e n e s s and seek b a l a n c e . 4 . P l a n i n c l u s i v e l y and r e a l i s t i c a l l y Though a b s o l u t e c i t i z e n c o n t r o l i s not p o s s i b l e , m e a n i n g f u l involvement o f community and ne ighbourhood o r g a n i z a t i o n s i s p o s s i b l e . To g i v e c r e d i b i l i t y to p o w e r - s h a r i n g p o l i c i e s and p r o c e s s e s , governments need to endow these w i t h f o r c e , e i t h e r t h rough l e g i s l a t i o n , or t h rou gh f o r m a l and p u b l i c a r t i c u l a t i o n of the p o l i c y . Communities i n t h e i r t u r n must accept t h a t t h e r e w i l l be b o u n d a r i e s , though these s h o u l d be s u b j e c t to n e g o t i a t i o n , and c l e a r l y a r t i c u l a t e d . Communities and governments must b o t h s t r i v e f o r i n c l u s i v e n e s s and b a l a n c e i n t h e i r p l a n n i n g p o l i c y and p r a c t i c e . Though t h e r e are obvious b e n e f i t s a v a i l a b l e to l o c a l governments which choose t o suppor t p o w e r - s h a r i n g p o l i c i e s , u n q u e s t i o n a b l y t h e r e are c o s t s a s s o c i a t e d as w e l l . In a d d i t i o n to the c h a l l e n g e s o f i d e n t i f y i n g sources o f support f o r community and ne ighbourhood o r g a n i z a t i o n s , B e r r y , Por tney and Thomson noted i n t h e i r r e s e a r c h t h a t c i v i c a d m i n i s t r a t o r s found d e l a y to be a consequence and s i z e a b l e d e t r a c t i n g f a c t o r . Yet the same a d m i n i s t r a t o r s "overwhelmingly f e l t t h a t the b e n e f i t s 6. Conclusions 96 outweighed the cos t s" (213). F o r B e r r y , P o r t n e y and Thomson, the g r e a t e s t b e n e f i t , however, l a y i n the v a l u e r e n d e r e d t o governments which s t r i v e f o r i n c r e a s e d democracy, but o f t e n f i n d i t beyond t h e i r g r a s p : Government programs w i l l always be the s u b j e c t o f i n t e n s e s c r u t i n y and f requent c r i t i c i s m from many community s e c t o r s . In a f u n c t i o n i n g democracy, such s c r u t i n y i s e s s e n t i a l . But p a r t i c i p a t i o n can l e a d t o g r e a t e r mutual u n d e r s t a n d i n g among c i t i z e n s and between c i t i z e n s and t h e i r l e a d e r s . I t can l e a d to g r e a t e r a p p r e c i a t i o n o f the l i m i t a t i o n s and p o t e n t i a l o f government. Above a l l , i t can encourage and n u r t u r e c o o p e r a t i v e e f f o r t s to ' address community concerns . . . (255). A p o l i c y on ne ighbourhood p l a n n i n g a l l o w s l o c a l government to d i r e c t l o c a l g r o u p - l e d ne ighbourhood p l a n n i n g so t h a t i t i s c o n s i s t e n t w i t h c i t y w i d e needs, i n c l u d i n g those o f a c h i e v i n g b r o a d s o c i e t a l g o a l s and a d d r e s s i n g d i f f i c u l t i s s u e s which f u n c t i o n at a s c a l e l a r g e r than t h a t o f the ne ighbourhood or l o c a l a r e a . P o w e r - s h a r i n g w i t h i n the p o l i c y a l l o w s neighbourhoods to p a r t i c i p a t e m e a n i n g f u l l y t o i n f l u e n c e the p r o c e s s and f i n a l p r o d u c t . I f i n s t i t u t e d w i t h i n a c o n t a i n e d and s u p p o r t e d system to ensure b a l a n c e , and i f adequate ly r e s o u r c e d , p o w e r - s h a r i n g ne ighbourhood p l a n n i n g p o l i c i e s can render immense v a l u e . * * * * * A p p e n d i c e s 97 Appendix A LIST OF INTERVIEWEES N . B . Though i n t e r v i e w e e s ' a f f i l i a t i o n s are n o t e d , peop le were asked to speak o n l y on b e h a l f o f themse lves . M r . J im D i e r s D i r e c t o r C i t y o f S e a t t l e Department o f Neighborhoods M r . Kent Kammerer P r e s i d e n t S e a t t l e Neighborhood C o a l i t i o n Ms. E l l e n Kissman S e n i o r P l a n n e r O f f i c e f o r Management and P l a n n i n g C i t y o f S e a t t l e M r . J . Gary Lawrence D i r e c t o r Center f o r S u s t a i n a b l e Communities C o l l e g e o f A r c h i t e c t u r e and Urban P l a n n i n g U n i v e r s i t y o f Washington immediate pas t D i r e c t o r o f P l a n n i n g , C i t y o f S e a t t l e Ms. V i v i a n McLean P r e s i d e n t S e a t t l e Community C o u n c i l F e d e r a t i o n S e c r e t a r y o f the C i t y Neighborhood C o u n c i l , V i c e - C h a i r o f the S e a t t l e Neighborhood C o a l i t i o n , C o - C h a i r o f the D e l r i d g e D i s t r i c t C o u n c i l , and member o f the Open Space O v e r s i g h t Committee and The Creek People Ms. Karma Ruder D i r e c t o r Neighborhood P l a n n i n g O f f i c e C i t y o f S e a t t l e Appendices 98 M r . Dennis Ryan C h a i r Department o f Urban Des ign and P l a n n i n g C o l l e g e o f A r c h i t e c t u r e and Urban P l a n n i n g C h a i r o f the C i t y o f S e a t t l e P l a n n i n g Commission, one o f two Commission members on the C i t y ' s Ne ighborhood P l a n n i n g A d v i s o r y Committee Mr . . Tim S t . C l a i r S t a f f W r i t e r "West S e a t t l e H e r a l d " M r . J im S t r e e t Member, S e a t t l e C i t y C o u n c i l and C o u n c i l P r e s i d e n t C i t y o f S e a t t l e M r . J . P a t r i c k S t r o s a h l V i c e - P r e s i d e n t V i s i o n S e a t t l e member o f the C i t y o f S e a t t l e Neighborhood P l a n n i n g A d v i s o r y Committee and the S e a t t l e Neighborhood C o a l i t i o n Ms. C a r o l i n e T o b i n p r e v i o u s l y an independent p l a n n i n g c o n s u l t a n t ; c u r r e n t l y s e r v i n g on the S e a t t l e Landmark P r e s e r v a t i o n Board as a h i s t o r i a n r e p r e s e n t a t i v e M r . Tom Wales Pas t C h a i r Queen Anne Community C o u n c i l member o f the C i t y o f S e a t t l e P l a n n i n g Commission and C i t y o f S e a t t l e Des ign Review B o a r d , and o r i g i n a l Queen A n n e - M a g n o l i a D i s t r i c t C o u n c i l C h a i r M r . T a y l o e Washburn Head G r e a t e r S e a t t l e Chamber o f Commerce Task F o r c e on the Implementat ion o f the Growth Management A c t Head of the S e a t t l e Comprehensive P l a n Review Committee A p p e n d i c e s 99 M r . Eugene Wasserman E x e c u t i v e - D i r e c t o r Neighborhood B u s i n e s s C o u n c i l member of the C i t y o f S e a t t l e Neighborhood P l a n n i n g A d v i s o r y Committee and V i s i o n S e a t t l e Approached but i n t e r v i e w s not completed: Ms. Sherry D. H a r r i s Counci lmember, C i t y o f S e a t t l e M r . C h a r l i e Chong Neighbourhood R i g h t s C o a l i t i o n M r . C h a r l e s Royer pas t Mayor o f S e a t t l e * * * * * Appendices 100 Appendix B INTERVIEW DOCUMENTATION AND IMPLEMENTATION An i n t r o d u c t o r y l e t t e r about the r e s e a r c h e r and the p r o j e c t was m a i l e d , or sometimes faxed and m a i l e d , t o each p o t e n t i a l i n t e r v i e w e e . (A sample i n t r o d u c t o r y l e t t e r i s p r o v i d e d i n Appendix C . ) A f o l l o w - u p t e l ephone c a l l t o each p o t e n t i a l i n t e r v i e w e e p r o v i d e d an o p p o r t u n i t y to d i s c u s s the p r o j e c t and i n t e r v i e w , and once agreement t o p a r t i c i p a t e was g r a n t e d , to arrange an i n t e r v i e w . A "Consent t o P a r t i c i p a t e " form o u t l i n i n g i n t e r v i e w e x p e c t a t i o n s was sent t o p o t e n t i a l i n t e r v i e w e e s (a sample i s p r o v i d e d i n Appendix D ) . I t p r o v i d e d a forum f o r d i s c u s s i o n o f any concerns s u r r o u n d i n g d a t a c o l l e c t i o n or use . People who agreed to be i n t e r v i e w e d s i g n e d and r e t u r n e d the form. I n t e r v i e w s were o f a p p r o x i m a t e l y an h o u r ' s d u r a t i o n i n most c a s e s . Four i n t e r v i e w s were completed i n p e r s o n , and t e n by t e l e p h o n e , between J u l y and O c t o b e r , 1995. A l l i n t e r v i e w s were tape r e c o r d e d . As w e l l , h a n d - w r i t t e n notes were taken to c a p t u r e key elements o f r e sponses , and to i d e n t i f y l o c a t i o n o f p a r t i c u l a r responses on the tape r e c o r d i n g . A l i s t o f those peop le approached i s p r o v i d e d i n Appendix A . The I n t e r v i e w Guide f o r t h i s r e s e a r c h was o r g a n i z e d to a l l o w i n t e r v i e w e e s to s t a r t w i t h d i s c u s s i o n o f t h e i r p e r s o n a l involvement w i t h the P o l i c y ' s i n t r o d u c t i o n , and t o i d e n t i f y a A p p e n d i c e s 101 p o i n t i n t ime they c o n s i d e r e d to be the b e g i n n i n g o f ne ighbourhood p l a n n i n g f o r S e a t t l e . (Two i n t e r v i e w s r e q u i r i n g c o m p l e t i o n w i t h i n t h i r t y minutes r a t h e r than the s i x t y minutes the Guide was d e s i g n e d f o r o m i t t e d t h i s s t a r t i n g p o i n t . ) Subsequent q u e s t i o n s were a r r a n g e d t o move from the g e n e r a l to the s p e c i f i c and from open-ended to c l o s e d , w i t h more d i f f i c u l t i s s u e s u s u a l l y a r i s i n g l a s t . Appendices 102 Appendix C INTRODUCTORY L E T T E R Dear , I am a graduate s tudent i n the Mas ters Program at the Schoo l o f Community and R e g i o n a l P l a n n i n g (SCARP) at the U n i v e r s i t y o f B r i t i s h Columbia (UBC) . F o r my t h e s i s I am r e s e a r c h i n g the i n t r o d u c t i o n o f n e i g h b o u r h o o d - l e d p l a n n i n g i n S e a t t l e . I am i n t e r e s t e d i n the f a c t o r s which l e a d l o c a l governments t o f o r m a l l y and o f f i c i a l l y support ne ighbourhood p l a n n i n g , and w i l l be l o o k i n g at how t h i s aspect o f S e a t t l e ' s Comprehensive P l a n came i n t o e x i s t e n c e . I am c o n d u c t i n g i n t e r v i e w s w i t h key i n f o r m a n t s i n v o l v e d w i t h the i n t r o d u c t i o n o f t h i s p o l i c y , and on the s u g g e s t i o n o f , would l i k e t o i n t e r v i e w you about t h i s . I w i l l be c o n d u c t i n g t h i s se t o f i n t e r v i e w s by t e l e p h o n e , i n l a t e September, and would l i k e to arrange a t e l e p h o n e i n t e r v i e w appointment w i t h you, o f a p p r o x i m a t e l y one h o u r . In the i n t e r i m , you w i l l note t h a t among the at tachments to t h i s l e t t e r i s a Consent Form, which d e s c r i b e s the involvement r e q u e s t e d o f p a r t i c i p a n t s i n i n t e r v i e w s f o r t h i s p r o j e c t . T h i s r e s e a r c h i s b e i n g conducted under the s u p e r v i s i o n o f D r . A l a n F . J . A r t i b i s e , P r o f e s s o r i n the Schoo l o f P l a n n i n g (SCARP) at UBC. D r . A r t i b i s e can be c o n t a c t e d by t e l ephone at (604) 8 2 2 - 2 3 8 8 , or at the U n i v e r s i t y address g i v e n above. As the p r i m a r y da ta f o r t h i s t h e s i s w i l l be g a t h e r e d i n these i n t e r v i e w s , I am r e l y i n g on the involvement and a s s i s t a n c e of key p l a y e r s such as y o u r s e l f . Shou ld you have a n y q u e s t i o n s , p l e a s e f e e l f r e e to c o n t a c t me e i t h e r by t e l ephone at (604) 2 5 4 -7 3 2 4 , or at my W a l l S t r e e t address above l e f t , or by e - m a i l at k e n y o n S u n i x g . u b c . c a . I do hope you can p a r t i c i p a t e . I w i l l be t e l e p h o n i n g you i n the near f u t u r e r e g a r d i n g an appointment . Yours t r u l y , A p p e n d i c e s 103 Appendix D CONSENT TO PARTICIPATE I , agree to p a r t i c i p a t e i n the r e s e a r c h b e i n g c a r r i e d out by Susan H o l l i c k - K e n y o n , Graduate S tudent , Schoo l o f Community and R e g i o n a l P l a n n i n g , U n i v e r s i t y o f B r i t i s h C o l u m b i a , on n e i g h b o u r h o o d - l e d p l a n n i n g i n S e a t t l e . I u n d e r s t a n d t h a t i n t e r v i e w s may be t a p e - r e c o r d e d . I u n d e r s t a n d the content s o f the i n t e r v i e w as w e l l as documents and o t h e r m a t e r i a l p r o v i d e d are to form the r e s e a r c h d a t a , and t h a t they may be quoted and r e p r o d u c e d i n the t h e s i s or o t h e r r e p o r t s . I u n d e r s t a n d t h a t comments made by me may be a t t r i b u t e d to me. S i g n a t u r e Date A p p e n d i c e s 104 Appendix E INTERVIEW GUIDE I n t r o d u c t o r y : At the g e n e s i s , or c o n c e p t i o n or b e g i n n i n g o f ne ighbourhood p l a n n i n g , where were you and when was t h a t ? Preamble: I'm i n t e r e s t e d i n i d e n t i f y i n g the f a c t o r s which l e d to a n d / o r a l l o w e d S e a t t l e t o f o r m a l l y i n t r o d u c e ne ighbourhood p l a n n i n g ( s h a r i n g c e r t a i n d e c i s i o n - m a k i n g powers w i t h ne ighbourhood groups and p r o v i s i o n o f r e s o u r c e s t o them t o p lan) . 1. What was i t about S e a t t l e , what was impor tant about S e a t t l e then t h a t l e d to i n t r o d u c t i o n o f ne ighbourhood p l a n n i n g i n S e a t t l e — what f a c t o r s brought S e a t t l e t o i n t r o d u c e t h i s as an o f f i c i a l p o l i c y ? [general ] 2 . I ' v e h e a r d t h a t S e a t t l e a l r e a d y had a l a r g e number o f ne ighbourhood o r g a n i z a t i o n s , c o n s i d e r e d by some to be e x c e p t i o n a l l y p o w e r f u l . [ h i s t o r y o f e f f e c t i v e ne ighbourhood a c t i o n ] Is t h i s so? I f so, how has t h e i r presence and power or e f f e c t i v e n e s s i n f l u e n c e d the i n t r o d u c t i o n o f t h i s p o l i c y ? 3. Under t h i s p o l i c y , the C i t y r e t a i n s c e r t a i n a u t h o r i t i e s , and shares o t h e r powers w i t h ne ighbourhoods . [power-shar ing] How d i d the C i t y come to be p r e p a r e d to share power i n t h i s way, come to have such an i d e a i n terms of ne ighbourhood groups? 4 . Some peop le say the next important move i n p l a n n i n g i s t o work at the s m a l l s c a l e or l o c a l l e v e l , and to b r i n g b a l a n c e among r e g i o n / c i t y and s m a l l e r s c a l e / l o c a l / n e i g h b o u r h o o d , [ s c a l e and l o c u s o f d e c i s i o n - m a k i n g ; b a l a n c e between c i t y / r e g i o n & n e i g h b o u r h o o d / l o c a l ] . How do you see t h i s k i n d o f t h i n k i n g or i d e a p l a y e d out i n the S e a t t l e contex t? 5 . F o r what k i n d s o f i s s u e s i s ne ighbourhood p l a n n i n g not a p p r o p r i a t e ? * ~k ic ic * A p p e n d i c e s 105 Appendix F CHECKLIST Which o f t h e s e p l a y e d a p a r t i n t h e i n t r o d u c t i o n o f t o d a y ' s f o r m a l p o l i c y o f neighbourhood p l a n n i n g i n S e a t t l e ? ( p l e a s e t i c k ) A growth management (or growth management l e g i s l a t i o n ) B b e l i e f i n c i t i z e n p a r t i c i p a t i o n C h i s t o r y o f e f f e c t i v e a c t i o n by neighbourhood o r g a n i z a t i o n s D c i t y w i d e s y s t e m / s t r u c t u r e o f n e i g h b o u r h o o d o r g a n i z a t i o n s E p o l i t i c i a n s ' needs — d i s t a n c e from d i f f i c u l t d e c i s i o n s o r ?? F c e r t a i n key i n d i v i d u a l s G b e l i e f i n v a l u e / i m p o r t a n c e o f l o c a l / n e i g h b o u r h o o d l e v e l — i n l o c a l governance? — i n p l a n n i n g and development? — i n ?? H o t h e r s u p p o r t i v e groups, o r g a n i z a t i o n s , departments, e t c . I b e l i e f t h i s w i l l y i e l d more e f f i c i e n t o r e f f e c t i v e l o c a l government (cheaper a d m i n i s t r a t i o n o r ??) J d e s i r e t o c r e a t e b a l a n c e b e t w e e n - l o c a l and c i t y / r e g i o n l e v e l s K i n t e r e s t i n "community development" L b e l i e f i n democracy and f u n c t i o n i n g d e m o c r a t i c a l l y M b u r e a u c r a t s N i n t e r e s t i n neighbourhood c h a r a c t e r , o r h e r i t a g e 0 concerns w i t h r e s i d e n t i a l o r o t h e r d e n s i t y P c o n c e r n w i t h economic growth o r economic development A p p e n d i c e s 106 Q v o t e r s a t i s f a c t i o n R o t h e r : S o t h e r : * * * * * A p p e n d i c e s 107 Appendix G HISTORY OF DEPARTMENT OF NEIGHBORHOODS, AND THE NEIGHBORHOOD MATCHING FUND, THROUGH TO ESTABLISHMENT OF THE NEIGHBOURHOOD PLANNING POLICY V e r b a t i m comments from the i n t e r v i e w w i t h J im D i e r s [The Neighborhood P l a n n i n g and A s s i s t a n c e Program] was l a r g e l y i n response to some r e a l i n t e r e s t by a couple o f C o u n c i l members, but a l s o a v e r y s t r o n g p r e s s u r e from ne ighbourhood o r g a n i z a t i o n s , t h a t were r e a l l y f e e l i n g impacted by growth. . . . There were [ i s sues of] s c a l e w i t h the ne ighbourhood , and i n c r e a s e d t r a f f i c prob lems , p a r k i n g , and so ne ighbourhood groups were r e a l l y becoming r e v i t a l i z e d , and new groups were forming around these growth i s s u e s , and were always coming down to C i t y C o u n c i l f i g h t i n g one p r o j e c t a f t e r a n o t h e r . And I t h i n k b o t h the C i t y and neighbourhoods s a i d , t h e r e ' s got to be a b e t t e r way to do t h i s . And the s o l u t i o n was ne ighbourhood p l a n n i n g . I n s t e a d of b e i n g r e a c t i v e and f i g h t i n g p r o j e c t s a f t e r they were a l r e a d y s o r t o f i n the works, why not i n v o l v e neighbourhoods at the f r o n t end i n p l a n n i n g f o r growth and i n d e t e r m i n i n g how bes t to accommodate growth i n the ne ighbourhood: where i t s h o u l d be, what i t s h o u l d look l i k e , t h a t k i n d o f t h i n g . So the C i t y , throu gh the P l a n n i n g Commission, went and l o o k e d at o t h e r c i t i e s ' models f o r ne ighbourhoods p l a n n i n g , i n p l a c e s l i k e S t . P a u l , P o r t l a n d , A t l a n t a , San Diego , a number o f c i t i e s . And based on t h a t , the P l a n n i n g Commission and A p p e n d i c e s 108 c o n s u l t a n t s wrote up some recommendations f o r a Neighborhood P l a n n i n g and A s s i s t a n c e Program i n S e a t t l e , which was then approved . And i t had l o t s o f components t o i t . And f r a n k l y , I came from a background of community o r g a n i z i n g , and was not t h a t enamoured w i t h p l a n n i n g . I t seemed l i k e p l a n n i n g was something t h a t was done to communities and t h a t communit ies o f t e n had v e r y l i t t l e say i n . I t was p r i m a r i l y a p l a n n e r downtown who d i d the p l a n n i n g . And t h e r e u s u a l l y wasn't a l o t o f ownership o f t h a t p l a n except by t h a t p l a n n e r , and as a r e s u l t n o t h i n g much ever happened w i t h p l a n s , and i f i t d i d , i t wasn't always f a v o u r a b l e to the ne ighbourhood . . . . [T]he common theme a c r o s s a l l these ne ighbourhoods was they wanted more a t t e n t i o n to ne ighbourhoods , and g r e a t e r access t o c i t y government. So the scope o f the Program was g r e a t l y e n l a r g e d and c a l l e d the Neighborhood P l a n n i n g and A s s i s t a n c e Program, to r e f l e c t those o t h e r p i e c e s . My i n i t i a l concern was, yeah, we can have a l l these programs out t h e r e , we can be d o i n g ne ighbourhood p l a n n i n g , g e t t i n g money out to ne ighbourhoods , which was another b i g p i e c e o f the Program, but i f ne ighbourhoods a r e n ' t o r g a n i z e d , they c a n ' t take advantage o f t h i s . And the problem I thought at t h a t t ime was t h a t the neighbourhoods w i t h the g r e a t e s t needs tended to be the l e a s t o r g a n i z e d . So r a t h e r than focus on ne ighbourhood p l a n n i n g i n i t i a l l y , we focused a l o t more on' community o r g a n i z i n g , and h e l p i n g o r g a n i z e p r i m a r i l y low income ne ighbourhoods , but a l s o A p p e n d i c e s 109 p r o v i d i n g some t r a i n i n g and a s s i s t a n c e t o o t h e r ne ighbourhood groups as w e l l . Because a l l o f them had a need to become more b r o a d l y b a s e d . And we d i d a l o t o f community o r g a n i z i n g , l e a d e r s h i p d e v e l o p m e n t . . . . Another Program we had i s c a l l e d the Neighborhood M a t c h i n g Fund, t h a t made about a m i l l i o n and a h a l f d o l l a r s a year a v a i l a b l e to ne ighbourhood o r g a n i z a t i o n s f o r n e i g h b o u r h o o d -i n i t i a t e d p r o j e c t s . And we've been d o i n g t h a t f o r seven years now, and we fund over a hundred p r o j e c t s each y e a r . And those are p r o j e c t s i n which the ne ighbourhoods have, p r o j e c t s t h a t have been a p r i o r i t y f o r the ne ighbourhoods , but not n e c e s s a r i l y f o r the C i t y . So, the i d e a i s t h a t the C i t y meets the ne ighbourhood h a l f way, i t ' s a matching program. We match w i t h cash the ne ighbourhoods ' c o n t r i b u t i o n , and t h a t c o u l d be c a s h , but more f r e q u e n t l y i t ' s v o l u n t e e r t ime or donated goods or s e r v i c e s , or some c o m b i n a t i o n o f t h o s e . And t h rou gh t h a t ne ighbourhoods w i l l b u i l d p l a y g r o u n d s , f o r example, . . . or peop le p l a n t s t r e e t t r e e s i n t h e i r ne ighbourhood , or b u i l d a new park or p i e c e o f p u b l i c a r t , or renovate a f a c i l i t y , or sometimes do n o n - p h y s i c a l p r o j e c t s , l i k e do an o r a l h i s t o r y o f the ne ighbourhood . And the Neighbourhood M a t c h i n g Fund r e a l l y became the v e h i c l e then f o r d o i n g ne ighbourhood p l a n n i n g . Neighbourhood p l a n n i n g was not a p r i o r i t y f o r the C i t y . We d i d n ' t have l i k e s epara te r e s o u r c e s devoted to ne ighbourhood p l a n n i n g . . . . A p p e n d i c e s 110 And I got v e r y e x c i t e d about ne ighbourhood p l a n n i n g because o f my e x p e r i e n c e w i t h the M a t c h i n g F u n d . And I t h i n k the d i f f e r e n c e between the p l a n s t h a t were done t h r o u g h the M a t c h i n g Fund and p l a n s t h a t I had been used t o , t h a t had been c a l l e d ne ighbourhood p l a n s , were t h a t , one: they were i n i t i a t e d by the ne ighbourhoods , and not by the C i t y ; . . . s e c o n d l y : ne ighbourhoods d e f i n e d the p l a n n i n g a r e a s , they d e f i n e d t h e i r own b o u n d a r i e s ; t h i r d : they d e f i n e d t h e i r own scope of work, and they d e f i n e d what t h e i r i s s u e s were; and f o u r t h : they h i r e d t h e i r own p l a n n e r , o u t s i d e the C i t y , they c o u l d h i r e whoever they wanted; and f i f t h : t h e r e was the match r e q u i r e m e n t . . . . So, t h e r e was an i n c r e d i b l e investment by the community i n those p l a n n i n g e f f o r t s , i n terms of from the v e r y e a r l y s tages , j u s t k i n d o f t h i n k i n g through what i t was they wanted to p l a n and what k i n d o f e x p e r t i s e they needed. To d o i n g the p r o c e s s to a p p l y f o r a M a t c h i n g Fund, h i r e a c o n s u l t a n t , work w i t h them t o do s u r v e y s , t o do needs assessments , r e s o u r c e i n v e n t o r i e s . And then j u s t a l o t o f the work a l l the way through the p r o c e s s , you know, o f l a y i n g out the v i s i o n , o f p u t t i n g t o g e t h e r an a c t i o n p l a n , and because o f t h a t i n c r e d i b l e community involvement t h e r e was r e a l community ownership by the end of the p r o c e s s . When the p l a n n i n g was done, i t was r e a l l y the c o m m u n i t y ' s . . . . So when the Southeast P l a n was done, f o r example, i t wasn' t a p l a n n e r p r e s e n t i n g i t t o C i t y C o u n c i l , t h e r e were 300 peop le t h e r e p r e s e n t i n g i t t o C i t y C o u n c i l . And i t r e a l l y makes s u r e , i t h e l p s h o l d the C i t y a c c o u n t a b l e f o r a c t i o n . . . . A p p e n d i c e s 111 But I t h i n k a l s o we l e a r n e d t h a t because t h e r e i s so much community ownership , t h a t the community a l s o takes a l o t o f r e s p o n s i b i l i t y f o r implement ing the p l a n . And t h a t t h e r e ' s a l o t of t h i n g s the community can do t h a t the C i t y i s not i n a p o s i t i o n to do, e i t h e r because the C i t y l a c k s the r e s o u r c e s or l a c k s the a u t h o r i t y . And ne ighbourhoods , f o r example, i n Southeast S e a t t l e , they went a f t e r some slum l a n d l o r d s , and got one to t e a r down some problem t a v e r n s the C i t y had never been a b l e to shut d o w n . . . . And then went a f t e r the a d j a c e n t g r o c e r y s t o r e to t o t a l l y r e d e v e l o p the s t o r e and expand i n t o t h a t a r e a , t o make a r e a l a s se t f o r the ne ighbourhood . Or they deve loped community s c h o o l programs, where the s c h o o l s are open at n i g h t f o r community use , or they d e a l t w i t h the g r a f f i t i p r o b l e m . . . . They d i d a l l k i n d s o f t h i n g s to r e v i t a l i z e t h a t ne ighbourhood , and i t a l l s t a r t e d w i t h t h a t p l a n . So, t h a t became, i t was almost l i k e an o r g a n i z i n g t o o l . . . . A l t h o u g h , t h e r e ' s always been t h i s f e e l i n g t h a t the community s h o u l d n ' t have to match, t h a t you s h o u l d n ' t have to use the Neighborhood M a t c h i n g Fund f o r t h i s , t h a t ne ighbourhood p l a n n i n g r e a l l y s h o u l d be a C i t y p r i o r i t y . And so t h a t ' s s o r t o f been an ongoing theme. And I t h i n k when the C i t y d i d the Comprehensive P l a n , r e a l i z e d i t would never be a b l e to do a p l a n at the c i t y w i d e l e v e l t h a t would have b r o a d ownership i n the ne ighbourhoods . And because the ne ighbourhoods are so important t o S e a t t l e , and because d i s t i n c t i v e c h a r a c t e r i s so i m p o r t a n t , t h a t by d e f i n i t i o n you c a n ' t w r i t e a comprehens ive , a c i t y w i d e A p p e n d i c e s 112 comprehensive p l a n , because you c a n ' t w r i t e a p l a n t h a t w i l l work f o r a l l ne ighbourhoods . Each one i s d i f f e r e n t . And b a s i c a l l y a comprehensive p l a n w i l l be the framework, t h e n , f o r more d e t a i l e d p l a n n i n g at the ne ighbourhood l e v e l . So ne ighbourhood p l a n n i n g was w r i t t e n . i n as a key component o f our Comprehensive P l a n , t h a t t h a t would be the next s tage o f p l a n n i n g . So those are k i n d o f a l l t h r e a d s t h a t l e d to the c u r r e n t ne ighbourhood p l a n n i n g program. I t was the Neighborhood P l a n n i n g and A s s i s t a n c e r e s o l u t i o n from seven years ago, i t was the Comprehensive P l a n t h a t s t a r t e d about f o u r years ago, and t h a t had a commitment to ne ighbourhood p l a n n i n g , and then f i n a l l y when t h a t P l a n was done l a s t y e a r , we s t a r t e d t a l k i n g about what, now we have these r e s o u r c e s t h a t we can s h i f t from comprehensive p l a n n i n g to ne ighbourhood p l a n n i n g , and what s h o u l d t h a t program look l i k e . •k * * * * A p p e n d i c e s 113 Appendix H 1980'S LAND-USE REZONING, AND CAP INITIATIVE V e r b a t i m comments from the i n t e r v i e w w i t h J im S t r e e t [A] round 1980 or so, the C i t y C o u n c i l made a d e c i s i o n t o rev iew a l l o f the z o n i n g o f the e n t i r e C i t y and t o rezone the e n t i r e C i t y . And they made a v e r y c o n s c i o u s d e c i s i o n , which was g r e a t l y r e s e n t e d by many ne ighbourhoods , t o b a s i c a l l y s top d o i n g ne ighbourhood p l a n n i n g at t h a t t ime and to s t a r t the r e z o n i n g e f f o r t . And from t h a t t ime on, t h a t ' s where the e f f o r t went, f o r the next t e n y e a r s . And the way i n which they d e c i d e d to rezone the C i t y was s o r t o f one zone at a t i m e . So they d i d s i n g l e - f a m i l y ne ighbourhoods f i r s t , m u l t i - f a m i l y ne ighbourhoods , ne ighbourhood commercia l a r e a s , i n d u s t r i a l a r e a s , and Downtown. Downtown was the o n l y area they d i d as a whole . That a l s o was a source o f ongoing d i s p u t e and i r r i t a t i o n , because I t h i n k w i t h some v a l i d i t y , peop le s a i d ' you s h o u l d l o o k at . . . a ne ighbourhood h o l i s t i c a l l y and see t h a t i t ' s a c o m b i n a t i o n o f more than one k i n d o f z o n i n g and t h a t those a l l i n t e r - r e l a t e to each o t h e r . ' . . . We spent most o f the ' 8 0 ' s i n t h a t p r o c e s s and i n f a c t completed most o f the z o n i n g f o r the C i t y by the end of the ' 8 0 ' s . Then we had a r e v o l t , i n the form of the s o - c a l l e d CAP I n i t i a t i v e i n '89 which was a c i t i z e n i n i t i a t i v e to o v e r t u r n the Downtown P l a n . . . . [T]he p o l i t i c a l symbolism o f t h a t was v e r y s i g n i f i c a n t because . . . t h a t set i n mot ion , even w i t h i n the C i t y A p p e n d i c e s 114 b e f o r e a n y t h i n g happened at the S t a t e l e v e l on growth management, a s o r t o f commitment to do a b e t t e r job o f l o o k i n g at the i n t e r - r e l a t i o n s h i p s between Downtown and neighbourhoods and so f o r t h . B i b l i o g r a p h y 115 B I B L I O G R A P H Y CITY OF SEATTLE DOCUMENTS C i t i z e n ' s g u i d e . See: S e a t t l e P l a n n i n g Department, S p r i n g , 1993, A c i t i z e n ' s guide to the d r a f t comprehensive p l a n . C i t y o f S e a t t l e Department o f Ne ighborhoods , no d a t e . "The ne ighborhood matching fund g u i c k i n f o r m a t i o n " b r o c h u r e . S i n g l e l e a f t r i - f o l d pamphlet . C i t y o f S e a t t l e Department o f Ne ighborhoods . no d a t e . "Neighborhood p l a n n i n g workshops" b r o c h u r e . S i n g l e - l e a f t r i -f o l d pamphlet . C i t y o f S e a t t l e P l a n n i n g Commiss ion. November, 1987. Neighborhood p l a n n i n g and a s s i s t a n c e recommendations. 7 6-page r e p o r t . C i t y o f S e a t t l e , Washington . 1987. R e s o l u t i o n 27709, "A r e s o l u t i o n e s t a b l i s h i n g a ne ighborhood p l a n n i n g and a s s i s t a n c e program f o r the C i t y o f S e a t t l e , " Attachment A . C i t y o f S e a t t l e , Washington, 1987. R e s o l u t i o n 28535, "A r e s o l u t i o n i d e n t i f y i n g framework p o l i c i e s to guide the development o f S e a t t l e ' s comprehensive p l a n , " Attachment A . C i t y o f S e a t t l e , Washington, 1989. R e s o l u t i o n 28115, "A r e s o l u t i o n amending attachment A to r e s o l u t i o n 27709," Attachment A . Comprehensive P l a n . See: S e a t t l e C i t y C o u n c i l , 1994, The c i t y of S e a t t l e comprehensive p l a n : Toward a s u s t a i n a b l e S e a t t l e : A p l a n f o r managing growth: 1994 - 2014. Issues g u i d e . See: S e a t t l e P l a n n i n g Department, March , 1994, An i s s u e s gu ide to the mayor 's recommended comprehensive p l a n : Toward a s u s t a i n a b l e S e a t t l e . The Neighborhood p l a n n i n g p r o j e c t , no d a t e , u n s o u r c e d . S i n g l e -sheet t w o - s i d e d p r i n t i n g , h a n d - o u t . "Neighborhood p l a n n i n g workshops" b r o c h u r e . See: C i t y o f S e a t t l e Department o f Ne ighborhoods , "Neighborhood p l a n n i n g workshops" b r o c h u r e . B i b l i o g r a p h y 116 "Quick i n f o r m a t i o n " b r o c h u r e . See: C i t y o f S e a t t l e Department of Ne ighborhoods . "The ne ighborhood matching fund q u i c k i n f o r m a t i o n " b r o c h u r e . S e a t t l e C i t y C o u n c i l . 1994. The c i t y o f S e a t t l e comprehensive p l a n : Toward a s u s t a i n a b l e S e a t t l e : A p l a n f o r managing growth: 1994 - 2 014. S e a t t l e P l a n n i n g Department . S p r i n g , 1993. A c i t i z e n ' s gu ide to the d r a f t comprehensive p l a n : 1994 - 2014: Toward a s u s t a i n a b l e S e a t t l e . . March , 1994. An i s s u e s guide to the mayor's recommended comprehensive p l a n : Toward a s u s t a i n a b l e S e a t t l e . OTHER REPORTS, BOOKS, PERIODICALS, AND DOCUMENTATION A r n s t e i n , Sherry R. 1969. A l a d d e r o f c i t i z e n p a r t i c i p a t i o n . In American i n s t i t u t e o f p l a n n e r s j o u r n a l J u l y , 1969. p p . 216-224. B a n n i s t e r , C a r l W i l l i a m and Dwight Wayne H e i n t z . 1994. "Growth Management: P r e s e r v i n g L i v a b i l i t y i n G r e a t e r V a n c o u v e r . " U n p u b l i s h e d M a s t e r ' s T h e s i s , Schoo l o f Community and R e g i o n a l P l a n n i n g , U n i v e r s i t y o f B r i t i s h C o l u m b i a . B e r r y , J e f f r e y M . , Kent E . P o r t n e y and Ken Thomson. 1993. The r e b i r t h o f urban democracy. Washington, D . C : The B r o o k i n g s I n s t i t u t i o n . B r o o k s , S tephen. 1993. P u b l i c p o l i c y i n Canada: An i n t r o d u c t i o n . T o r o n t o : M c C l e l l a n d & S t e w a r t . Carmon, Naomi. 1990. Neighbourhood p o l i c y and programmes: Past and p r e s e n t . New Y o r k : S t . M a r t i n ' s P r e s s . Dorcey , Anthony J . 1986. B a r g a i n i n g i n the governance o f p a c i f i c c o a s t a l r e s o u r c e s : Research and r e f o r m . Vancouver , B r i t i s h C o l u m b i a : Westwater Research C e n t r e , The U n i v e r s i t y o f B r i t i s h C o l u m b i a . F a i n s t e i n , Susan S. 1987. The R a t i o n a l e f o r ne ighborhood p l a n n i n g . In P o l i c y s tudy j o u r n a l (16, No. 2 ) , W i n t e r , 1987, p p . 384-392. B i b l i o g r a p h y 117 Hal lman , Howard W. 1984. Ne ighborhoods: T h e i r p l a c e i n urban l i f e . B e v e r l y H i l l s , C a l i f o r n i a : SAGE P u b l i c a t i o n s , I n c . Lawrence, J . G a r y . November 9, 1994. U n v e r i f i e d notes from p r e s e n t a t i o n at the "Rings o f F r i c t i o n " workshop at "Complete Communities : A c h i e v i n g a New Way o f L i v i n g " c o n f e r e n c e . Inn at New Westminster Quay, New Westminster , B r i t i s h C o l u m b i a . Lee , B a r r e t t A . , R. S. Oropesa , B a r b a r a J . Metch and A v e r y M. G u e s t . 1984. T e s t i n g the d e c l i n e - o f - c o m m u n i t y t h e s i s : Neighborhood o r g a n i z a t i o n s i n S e a t t l e , 1929 and 1979. In American j o u r n a l o f s o c i o l o g y . V o l . 89, No. 5 , p p . 1161-1188. P a r e n t e a u , Rene. 1988. P u b l i c p a r t i c i p a t i o n i n e n v i r o n m e n t a l d e c i s i o n - m a k i n g . M i n i s t e r o f Supply and S e r v i c e s Canada. Pateman, C a r o l e . 1970. P a r t i c i p a t i o n and d e m o c r a t i c t h e o r y . London: Cambridge U n i v e r s i t y P r e s s . P a t t o n , M i c h a e l Q u i n n . 1990. Q u a l i t a t i v e e v a l u a t i o n and r e s e a r c h methods. Newbury P a r k , C a l i f o r n i a : Sage P u b l i c a t i o n s . R e i n h a r z , S h u l a m i t . 1992. F e m i n i s t methods i n s o c i a l r e s e a r c h . New Y o r k : O x f o r d U n i v e r s i t y P r e s s . T o b i n , C a r o l i n e , P e t e r Moy and Ruth Ann D i g h t . March , 1987. Background r e p o r t : S e a t t l e ne ighborhood p l a n n i n g and a s s i s t a n c e s t u d y . 58 pages p l u s a p p e n d i c e s ; C o n s u l t a n t s to S e a t t l e P l a n n i n g Commiss ion. T o b i n , C a r o l i n e , P e t e r Moy and Ruth Ann D i g h t . 1987. A l t e r n a t i v e s r e p o r t : S e a t t l e ne ighborhood p l a n n i n g and a s s i s t a n c e s t u d y . 60 pages p l u s a p p e n d i c e s ; C o n s u l t a n t s to S e a t t l e P l a n n i n g Commiss ion. Wood, R o b e r t . 1990. What went wrong—the program or i t s c r i t i c s ? In Neighbourhood p o l i c y and programmes: Past and p r e s e n t . E d i t e d by Naomi Carmon. New Y o r k : S t . M a r t i n ' s P r e s s . * * * * * 

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