hqe2r english basics

8/14/2019 HQE2R English Basics

1/55

HQE 2R: Towards a methodology for sustainable neighbourhood regeneration (Brochure 1) HQER

1CSTB La Calade with contribution by ICIE, IOER, Quasco and UWE

ay 2003

HQER: Towards a methodology forsustainable neighbourhood regeneration

Special thanks for their advice or numerous readings to:avier CASANOVAS and Oriol CUSIDO, CAATB - Daniela GABUTTI and Francesco CAPRINI,

QUASCO-COPRAT - Noemi GRANADO, ITeC - Holger MARTIN, IOER - Sandra MATTAROZZI, ICIE - Ove MORCK, Cenergia - Daniela BELZITI and Laure NAGY, CSTB - Jan ZIECK, AMBIT

Catherine CHARLOTVALDIEU, CSTB

Philippe OUTREQUIN, La Calade

with contribution by:Ernersto ANTONINI, QUASCO

Andreas BLUM and Munia TARABICHI, IOER Antonella GROSSI, ICIE

Martin SYMES and Celia ROBBINS, UWE

HQE2R is a combined research and demonstration project, which is partly funded under theEnergy, Environment and Sustainable Development programme, Key Action 4, City of Tomorrow & Cultural Heritage, with the Fifth Framework Programme of the European Union

Contract n EVK4CT 200000025http://hqe2r.cstb.fr

rochure H ER n1


2/55



ABSTRACT 1 Today cities are being rebuilt, buildings are being rehabilitated, and neighbourhoods revitalised. Toassure sustainability, this regeneration must go beyond technical solutions, taking social trends,changes in behaviour, environmental and economic development into account. In the HQE2R project

14 neighbourhoods and 10 research institutes in 7 European countries are co-operating to providemethods and tools for use by local municipalities and their partners: government agencies, planners,landlords, local citizens and other stakeholders in sustainable urban renewal projects.The project is partly financed by the European Commission Programme for Energy, Environment andSustainable Development (City of Tomorrow) and is led by CSTB.The objective of the project is to develop a new methodology together with the tools needed topromote sustainable development and an improved quality of life at the crucial and challenginglevel of the urban neighbourhood.As so far developed, HQE2R provides a methodological framework for sustainable neighbourhoodanalysis and development: it is structured in 4 phases (thedecision , an analysis - identification of priorities-, the definition, discussion andassessment of scenarios, and finally the establishment of anaction plan at the neighbourhood scale). In addition, it is based on 5 main SD objectives and a systemof 21 sustainable development targets, and backed up by a system of key issues and indisputableindicators and 3 new assessment tools.In detail themain results of the work done until now are: the choice of 6 sustainable development principles at the scale of the city, the definition of 5 globalsustainable development (SD) objectives with 21 targets at the

neighbourhood and building scales , and a definition of sustainability at the neighbourhoodscale;

a shared diagnosis method for SD (with an integrated analytical grid for the earlier inventory)adapted to the neighbourhood scale;

SD indicators at the built environment and urban scales :- state indicators for the buildings and for the neighbourhood diagnosis,- a system of key issues (ISDIS) linked to the SD targets, with their SD Indicators for

use in assessing the sustainability of the neighbourhood,- monitoring indicators for the different projects in the neighbourhood (and for the

city),- a model using indicators (INDI model) as a decision aid tool for assessing different

scenarios before the final action plan for the neighbourhood is chosen; the state of the art analysis according to laws and an analysis of the practices about residents and

users participation and recommendations for improving participation in neighbourhoodregeneration projects ;

an analysis of the different laws and practices about urban planning documents and their impactsupon neighbourhoods withrecommendations for taking SD into account in urban planningdocuments (for each partner country);

development of pilot-versions of 3 assessment models for use as decision aid tools forchoosing the best renewal project for a neighbourhood: 2 at the neighbourhood scale: theINDI model with SD indicators, the ENVI model which assesses the environmental impact of thedifferent scenarios and one at the building scale: the ASCOT model concerning global costs;

briefing documents for sustainable building renovation and construction, guidelines for the briefing documents of sustainable on built elements, guidelines for the management of sustainable neighbourhood regeneration projects.

1 Abstracts in other languages are in Appendix 3


3/55



As indicated by the title HQE 2R: Towards a methodology for sustainable neighbourhoodregeneration this document reflects the special situation of a combined research and demonstration project. On the one hand (section 2)the project HQE2R - which in fact includes the development and pilot application of the methodology is described and on the other hand (section 3) the mainelements of themethodology HQE

2R as such are introduced. Since this document provides insight intowork in progress, any remarks, comments or criticism is welcome (http://hqe2r.cstb.fr ).

ll reproduction, all partial or integral representation of the pages published in this book, in any form and by anymeans, done without the authorisation of the editor or of the Centre Franais d'Exploitation du droit de copie (3 Rue Hautefeuille, 75006 Paris, France), is forbidden and constitutes a counterfeiting.

Only reproductions strictly reserved for the personal use of the copyist and analysis and short quotations justified by the scientific or informative character of the work where they are incorporated are allowed. (French Law of the1 st July 1992 article L122-4 and L122-5, and the French Penal Code, article 425)

CSTB


4/55



CONTENTSABSTRACT 2

1 - Introduction 81.1 - The objectives of the HQE2R project 81.2 - The neighbourhood scale 101.3 - The lack of tools for buildings and neighbourhoods assessment 102 HQER Project: theoretical basis 11

2.1 - Definition of sustainable development (SD) 112.2 - The Principles for an Urban Sustainable Development 122.3 - Global objectives and targets for sustainable neighbourhoods and buildings 13

2.4 - Sustainable neighbourhoods 192.5 - Sustainable built environment & buildings 20

2.6 - Participation 213 - The HQE2R methodology 253.1 - From the Inventory to the shared SD diagnosis (systemic analysis) Phase 2 27

3.2 - From the shared SD diagnosis to the priorities (or stakes) and to local SD objectives Phase2 28

3.3 - From the local priorities (or stakes) and SD objectives to potential scenarios and the finalactions plan: Tools to assess the scenarios and support decision for choosing the final actions plan

Phase 3 293.4 - Implementation of the action plan or project Phase 4 303.5 - Urban Planning Phase 4 31

3.6 - Monitoring and evaluation Phase 4 33APPENDIX 1: 5 SD Objectives, 21 SD targets and 51 Key Issues 34APPENDIX 2: THE 3 ASSESSMENT MODELS FOR SCENARIOS OR NEIGHBOURHOODREGENERATION PROJECTS 371. An indicators impact model: the INDI Model 38

2. An environmental impact model at the neighbourhood level:the ENVI Model 39

3. An economic and environmental assessment tool for a building:the ASCOT model 40APPENDIX 3: ABSTRACTS 42

APPENDIX 4: LIST OF THE HQER PARTNERS 49Bibliography 54


5/55



M EMORANDUM : THE HQE 2R APPROACH AND THE FINDINGS OF THE PROJECT

Je refuse lide quil y a dun ct la lumire et de lautre les tnbres, lhomme et la

femme, moi et lautre, le bien et le mal. Je cherche un lieu o ces contradictions puissent trersolues. Cest une qute sans illusion 2 - Murale, Mahmoud Darwich, dition Actes Sud

The objectives of the HQER project

Sustainable Renovation of Buildings for Sustainable Neighbourhoods or HQER is a project partly funded by the European Commission under the Fifth Framework R&D Programme.The project started in September 2001 and will continue until the end of March 2004.Co-ordinated by the CSTB (Centre Scientifique et Technique du Btiment), France, itcombines research and demonstration aspects with the co-operation of 10 European research

partners and demonstration partners (local authorities or social buildingowners) working upon14 neighbourhoods3.The objective of the project isto develop a new methodology or approach together withthe necessary methods and tools to promote sustainable development and the quality of life at the urban neighbourhood level. HQER aims atproviding decision aid tools formunicipalities and their local partners , focussing on neighbourhood inhabitants and usersconcerns. With its integrated approach, it aims at providing a framework, which can begenerally applied to European cities. The project uses case studies as neighbourhood modelsfor which the tools are elaborated and in which the approach or the different tools can betested.

The elements taken into account in the development of this approach towards sustainabledevelopment and its tools are: Improvements in the quality of the buildings and non built elements , which are

closely linked with needs expressed by the actors concerned (users), especially as regardimprovements in comfort and reductions in the costs-in-use and maintenance of residential and non-residential buildings (energy savings, reduced water consumption,optimisation of the use of raw materials).

Improvements in the quality of life through urban development , which respects theenvironment: reduced urban sprawl, more effective use of public spaces, and the creationof cycle-ways, pedestrian areas and green spaces. Developing coherence and synergy between the neighbourhood levels and the conurbation. Encouraging work in partnershipand building the capacity of the local community to achieve meaningful participation.

Controlling costs and applying management methods, which allow all categories of actors to share expenses.

Controlling urban sprawl and commuting by managing the economy andenvironmental impact of space use and also by managing mobility and the use of publictransport at the scales of the neighbourhood, the town and the conurbation.

2 I refuse the idea that there is a side for the light and another one for the darkness, the man and the woman, me and theothers, the good and the bad ones. I look for a place where contradictions can be solved. That is a quest without illusion.3 See the list of the partners in Appendix or at the end


6/55



The aim of HQE2R project is thusto allow local authorities to implement regenerationaction plans in their neighbourhoods and renovation of their buildings towardssustainable development . It is a question of providing operational tools for a concreteanalysis and evaluation, which are open to public (and private) debate and to action.

1.2 - The HQE2

R approach and the expected project resultsToday cities are being rebuilt, buildings are being rehabilitated, and neighbourhoodsrevitalised. To assure sustainability, this regeneration must go beyond technical solutions,taking social trends, changes in behaviour, environmental and economic development intoaccount.To define concrete action plans, sustainable development requires an iterative way of achieving a decision, because of the necessity of taking the various principles of sustainabledevelopment into account all together at once. As the market law only takes into accounteconomic factors, and principally only in the short-term, sustainable development requiressustainable development principles : the integration of the long-term, global impact of

decisions on environmental and social factors, with less hierarchical forms of participationthan usual market practices.The HQE 2R methodological framework for sustainable neighbourhood analysis anddevelopment is structured as an ideal regeneration neighbourhood projects into 4 phases: adecision phase, ananalysis phase - identifying priorities, definition, discussion, anassessment of scenarios phase and finally the setting up of theaction plan for theneighbourhood).The methodological framework is furthermore based on6 sustainable development principles at the city scale, and then a system of 21 sustainable development targets under 5 mainobjectives (see the list next page) and backed up by a set of 51 key issues with their 61indicators for the neighbourhood and its buildings ( ISDIS system ).

THE HQE R APPROACH TOWARDS SUSTAINABLENEIGHBOURHOOD D EVELOPMENT

THE HQE R APPROACH TOWARDS SUSTAINABLENEIGHBOURHOOD D EVELOPMENT

2 . Strategic decisionfor sustainable

regeneration of theneighbourhood

7. Evaluation ofthe scenarios

against SDtargets (INDI,

ENVI, ASCOT)

6 . Generation ofscenarios

( to identify optionsfor SD action)

4. Shared SDdiagnosis of the

neighbourhood

(potential,dysfunction,cohesion)

3. Inventory based on the21 targets and the

integrated SD indicatorssystem (ISDIS)

Participation of residents and usersPartnership (public / private)

Local Governance

12. Monitoring andevaluation of the

project : SDmonitoringindicators

8. Action plan forthe neighbourhood

9. Urban planningregulations includingSD recommendations

11. Projects uponthe neighbourhood

with SDspecifications

10. Projects forSustainable Buildings(new & existing) with

SD specifications

5. Strategicpriorities for the

neighbourhood anddefinition of

objectives for SD

1. Identification ofproblems (social,

environmental, technical)that need actions

PHASE 1 : DECISION PHASE 2 : ANALYSIS

PHASE 3 : DECIDING UPON THE ACTION PLANPHASE 4 : ACTION and EVALUATION

Source: HQE R Project ( http://hqe2r.cstb.fr ) SD: Sustainable Development



7. Evaluation ofthe scenarios

against SDtargets (INDI,

ENVI, ASCOT)

6 . Generation ofscenarios

( to identify optionsfor SD action)

4. Shared SDdiagnosis of the

neighbourhood

(potential,dysfunction,cohesion)

3. Inventory based on the21 targets and the

integrated SD indicatorssystem (ISDIS)

Participation of residents and usersPartnership (public / private)

Local Governance


project : SDmonitoringindicators


9. Urban planningregulations includingSD recommendations

11. Projects uponthe neighbourhood

with SDspecifications

10. Projects forSustainable Buildings(new & existing) with

SD specifications

5. Strategicpriorities for the

neighbourhood anddefinition of

objectives for SD




PHASE 3 : DECIDING UPON THE ACTION PLANPHASE 4 : ACTION and EVALUATION

Source: HQE R Project ( http://hqe2r.cstb.fr ) SD: Sustainable Development


7/55



The HQE2R project results arespecific tools for local communities and for their localpartners (see also the diagram below):

- The choice of 6 sustainable development principles at the scale of the city and adefinition of sustainability for the neighbourhood scale.

- The definition of an overall methodological framework with5 main global sustainable development (SD) objectives, their 21 targets, 51 key issues or subtargets and then 61 indisputable indicators at the neighbourhood and buildingscales (the ISDIS system).

- A shared SD diagnosis method for SD (with an integrated analytical grid for the previous inventory) adapted to the neighbourhood scale.

- Evaluation tools for scenarios or neighbourhood projects as decision aid tools for assessing different scenarios before the final action plan for the neighbourhood ischosen (3 models with the support of 3 analytical grids):3 models:

- INDI (INDicators Impacts) a model of sustainable regeneration impact usingindicators and allowing the development of different environmental andsustainable development profiles

- ENVI (ENVironmental Impact) - ASCOT (Assessment of Sustainable Construction & Technology Cost) , a

model of global cost of energy efficient technologies from an environmental point of view at the building scale.

- Recommendations for improving participation in neighbourhoodregeneration projects.

- Recommendations for taking SD into account in urban planning documents (for each partner country).

- Recommendations for specifying sustainable development in the building process

- Recommendations for specifying sustainable development for non built elements

- Indicators for the different phases of a project state indicators, pressure indicatorsand thenmonitoring indicators .

Elaboration ofassessment and

monitoring indicatorsfor projects and

neighbourhoods,regarding SD

Recommandations tointegrate SD in urbanplanning documents

Elaboration of decision aid toolsto evaluate scenarios or potentialurban planning projects (design

contract for example)

Source: HQE 2 R project (http:hqe2r.cstb.fr) * See the scheme The shared SD diagnosis method for setting priorities

Choice of 5 SD

objectives , 21SDtargets, 51 SD keyissues and indicators (at

the neighbourhood andbuildings scales): the

ISDID system

Elaboration of decision aid toolsto evaluate scenarios or potentialurban planning projects (design

contract for example)

Recommendations to improveand to promote inhabitants and

users participation :

- to identify and collect their needs

- to improve procedures andpractices

Development of a shared SD

diagnosis method enabling theidentification of territorial SDstakes*

Definition of 6 SD

principles at thecity scale

RESULTS OF THE HQE R PROJECT:an approach with methods and tools

for sustainable neighbourhood regeneration

-Recommendationsfor briefing

documents takinginto account SD for

new and existingbuildings

- Recommendationsfor non built

elements SD Sustainable Development


8/55



1 - I NTRODUCTION

1.1 The objectives of the HQE 2R project

Sustainable Renovation of Buildings for Sustainable Neighbourhoods or HQER is a project partlyfunded by the European Commission under the Fifth Framework R&D Programme. The projectstarted in September 2001 and will continue until April 2004. Co-ordinated by CSTB (CentreScientifique et Technique du Btiment), France, it combines research and demonstration aspects withthe co-operation of 10 European partners and is connected with 14 municipal case studies4.

The objective of the project is to develop a new methodology together with the necessary tools topromote sustainable development and the quality of life at the crucial and challenging level of urban neighbourhoods. HQER aims atproviding decision aid tools for municipalities and theirlocal partners , focussing on the goals of the inhabitants and users of neighbourhoods. With itsintegrated approach it aims to provide a framework, which can be generally applied in European cities.

The project uses the case studies as model neighbourhoods in which the methodology can be tested.Figure 1 (next page) gives a general overview of the project with research and demonstration worksand tools.

The elements taken into account in the development of this methodology and its tools are: Improvements in the quality of the built environment , which are closely linked with needs

expressed by the actors concerned (users), especially improvements in comfort and reductions inthe costs-in-use and maintenance of residential and non-residential buildings (energy economies,reduced water consumption, optimisation of raw materials).

Improvements in the quality of life through urban development, which respects the environment:limits to urban sprawl, more effective use of public space, and the creation of cycle-ways, pedestrian areas and green spaces. Developing coherence and synergy between the levels of theneighbourhood and the conurbation. Encouraging partnership working and building the capacity of the local community to achieve meaningful participation.

Controlling costs and applying management methods, which allow all categories of actor toshare expenses.

Controlling urban sprawl and commuting by managing the economy and environmental impactof space use and also by managing mobility and the use of public transport at the scales of theneighbourhood, the town and the conurbation.

4 See the list of the partners in Appendix 4


9/55



Source : CSTB, La Calade with contribution of the European partners of the HQE R project ( http://hqe2r.cstb.fr )

TOOLS CONNECTED TOTHE HQE R METHODOLOGY

TOOLS CONNECTED TOTHE HQE R METHODOLOGY

ASSESSMENT MODELS

SD INDICATORS AT THE BUILDINGAND THE NEIGHBOURHOOD SCALES

3. INVENTORY

SD AnalysisGrid (20 topics)

4. SHARED SDDIAGNOSIS

5. SD STAKES / ISSUES

LOCAL SDOBJECTIVES

6. SCENARIOSBuilding and

Neighbourhood

8. PLANNINGAND ACTION

PLAN11. SUSTAINABLE

NEIGHBOURHOOD

10. SUSTAINABLEBUILDINGS

12.MONITORINGAND

EVALUATION

Guidelines includingSD for neighbourhood

and open spaces

Briefing documentsfor existing and new

buildings

INDI ModelSD indicators

evaluation

ENVI ModelEnvironmental

impacts assessment

ASCOT ModelGlobal cost analysis

9. URBANPLANNINGANALYSIS

Shared SDdiagnosis method

Recommendations forintegrating SD in urban

planning documents

Recommendations toorganise monitoring and

evaluation

ISDISSystem

THE 6 SD PRINCIPLES,THE OVERALL 5

OBJECTIVES AND THE21 TARGETS

Neighbourhoodelements

Specific

IndicatorsMonitoring

Indicators

INDIIndicators

P A R T I C I P A T I O N / U R B A N G O V E R N A N C E

7

Actions

Tools (guidelines / methods / models)

Working elements

SD = Sustainable Development

Theoretical basisPhase 2

Phase 4Phase 3


10/55



1.2 - The neighbourhood scale

Appreciating the neighbourhood as a life space is a strategic move towards developing policies of sustainable urban development . Significant neighbourhoods may be at the entrance to cities, or inleisure or activity zones, low-density housing estates, etc.

Policies of sustainable development can be implemented in each of these types of space. Particular policies involvetransforming functional zones into living space , but also have to give a moresystematic consideration to the environment and to social mix.

The value of a neighbourhood-by-neighbourhood approach can be understood more clearly when weconsider the diversity of these districts where the same response, in terms of sustainabledevelopment, cannot be uniformly applied. At the same time, the neighbourhood is not the only livingspace. The daily or weekly mobility of city dwellers means that they go about their business in thespace of the conurbation. These two types of spaces can be highly contrasted and the approaches perceived as complementary.

So, the neighbourhood is important for:- Neighbourhood life , providing urban activity, the existence of public space,- Urban consciousness : in terms of landscape (a unified ensemble), cultural heritage as well as

civic or citizens heritage (existence of shared urban space),- Social and political participation : the concrete expression of local solidarity, fostering civic

awareness in young people, the existence of participative dynamics,- The collective management of public property or participation by the population in

improving its living environment.

1.3 - The lack of tools for buildings and neighbourhoodsassessment

The main outcome of the research on existing tools5 is, that in detail a lot can be taken from them withrespect to methodology and content of sustainability-assessment (issues) and that some tools can beutilized within a more comprehensive approach as for example energy calculation tools. Neverthelessthere is no tool directly appropriate as a general basis of HQER. In general, the building related toolsare too specific and detailed to serve within neighbourhood assessment. This means that as expectedand taken for a reason for the project the special approach and methodology for the builtenvironment within HQER has to be newly developed. To get started, it is necessary to answer some

basic questions before coming to some methodological suggestions that can be derived from theexisting experience and the research work previously done.

5 E. Antonini, A. Blum, A. Grossi, C. Robbins, January 2002, Analysis and adaptation of most appropriate tools and methods, HQER Deliverable 3, Sophia Antipolis


11/55



2 HQE 2R P ROJECT : THEORETICAL BASIS

2. 1 - Definition of sustainable development (SD)

Nowadays, creating or renovating a neighbourhood calls for new methods which will face up to theissues of the city: pollution, deterioration of the quality of life, insecurity, waste of resources and time,etc. The HQE 2R project envisages a new way of apprehending the city, its neighbourhoods andits buildings by suggesting methods of territorial analysis and evaluation, which are tied to theobjectives and rely on the principles of sustainable development .

The point of departure for any approach in terms of sustainable development must be to impose therule of action on oneself of relying on the universal principles governing sustainable development ,the foremost of which are set out in the definition of sustainable development provided in 1987 by GroHarlem BRUNTLAND:

Development that responds to the needs of the present without compromising thecapacity of future generations to respond to their own needs 6

This definition should remain the benchmark for thinking about sustainable development even if localobjectives depend on their socio-political context and the people responsible for these policies.Sustainable development can be defined as a political approach based on the development of solidarityin space and in time and with the objective of a triple dividend7 in the economic, social andenvironmental fields:

Solidarity in time, solidarity with future generations, emphasising the desirability of preserving future interests,

Solidarity in space , where the immediate fight against poverty and social exclusion isdesirable.

Obviously, "development" is already at the heart of this problem. When we add the notion of "sustainability", new dimensions appear: that of the environment and the long-term preservation of the planets resources and life.

The European Commission has adopted this concept in article 2 of the Maastricht Treaty8. TheCommission also provides a complementary definition, focusing on a policy and a strategy [...]ensuring continuity through time of social and economic development, with respect for theenvironment and without compromising the natural resources that are essential for human activity 9.

6 Our common future, report of the World Commission on the Environment and Development (BruntlandCommission), 19877 As for example laid down as guiding principles in the German Federal Building Code from 1997, Part One,Subdivision One, Section 1 (5) and the German Federal Regional Planning Act from 1997, Subdivision 1,Section 1 (2): The overall concept ... is that of sustainable regional development which will bring the social andeconomic demands made on an area into line with its ecological functions and result in a stable order which will be well-balanced on a large scale. Guiding issues listed in further detail are: self-fulfilment within thecommunity, responsibility to future generations, protection of natural resources, economic development, land use possibilities shall be kept open in the long term, diversity of individual regions, similar standards of living,regional and structural imbalances shall be eliminated and cohesion on the European scale.8 The communitys mission is to promote sustainable and non-inflationary growth respecting the environment

and to invent methods of growth and, therefore, of consumption, to ensure the well-being of human beingstoday, without compromising the well-being of future generations 9 European Commission, Towards a sustainable development , CE 30/3/92.


12/55



2.2 The Principles for an Urban Sustainable Development

Amongst the twenty eight principles mentioned in the Rio Declaration of 1992, a declaration signed by180 heads of state or government, six would seem fundamental to us in seeking approaches tosustainable development in the city and its neighbourhoods and buildings.

The first three principles concern the threefold dividend: economic efficiency, social equity andenvironmental cautionSustainable Development has to find a balance between competing andcontradictory demands so that they can respond to each other instead of ignoring each other andsetting up barriers:

1) Economic efficiency demands that all efforts should concentrate on that which represents thegreatest good for the collective whole. Action plans should respect the rules of economic efficiency(dynamic of growth, security for planning and action), but on condition that theseinclude all of theexternal costs 10, whether social or environmental.

2) Social equity should focus primarily onemployment and housing 11 but also be concernedwith services to people and with the fight againstpoverty and social exclusion . As people aredependent on the economic basis of life, employment does offer social security.The supply of housing, medical care, education and information can lead to a more stable society,which is capable of solidarity, tolerance and participation. This can cultivate its traditions and developa sustainable way of life. In this context, we can distinguish:

the principle of inter-generational equity , which requires that the needs of the present aremet without compromising the ability of future generations to meet their own needs,

the principle of intra-generational equity , stating that all people currently alive have anequal right to benefit from the use of resources, both within and between countries12.

This principle also calls for a greater social efficiency : improved social use of facilities, improvement

of economic and social diversity; this principle must improve the consideration of the social impact of projects.3) Environmental caution is seen from the point of view of access to resources and the impact of

pollution from different sources. Consideration must be given to nuisances and the deterioration of both the local and the global climate and therefore of the flora and fauna which depend on their environment. The human consumption of energy and materials, being the main cause of environmental pollution, has to be reconsidered. One of the strong orientations of Sustainable Development must bethe preservation of non-renewable resources and the encouragement of the use of renewable resources(European Commission principles concerning energy in the 5th PCRD include "Preserving the eco-system").

Three other principles have to be taken into account: indeed, the objective of sustainable development

requires that public policies and private decisions closely ally the local with the global, the short- withthe long-term, and the participation of both major actors and ordinary citizens in the decision-making process.

10 Tool elaborated in the WP 6 of the project or in the phase 3 of the methodology11 The purpose of the second United Nations Conference on Human Settlements (Habitat II) is to address twothemes of equal global importance: "Adequate shelter for all" and "Sustainable human settlements developmentin an urbanizing world". Human beings are at the centre of concerns for sustainable development, includingadequate shelter for all and sustainable human settlements, and they are entitled to a healthy and productive lifein harmony with nature.http://www.un.org/Conferences/habitat/. Concluding press release: City summit ends

with leaders commitment to improve living standards... agreed that they must intensify their efforts to eradicate poverty and discrimination and provide for basic needs, especially adequate shelter for all.12 Selman 1996, derived from Carew-Reid, 1994


13/55



4) Principle of the long-term : decisions must no longer be taken on the basis of short-termimpact; they must include aprospective way of thinkingabout the future impact of an action (irreversibility, exhaustion of resources, etc.)

5) Principle of globality : the global in relation to the local ; this means considering the impact of actions at various territorial scales, both at the local level (neighbourhood, city, conurbation) and at

more global levels (region, planet). This principle also leads to thinking aboutthe subsidiarity of decisions i.e. that decisions should be made at the lowest appropriate level, either by those directlyaffected, or on their behalf, by the authorities closest to them.

6) Principle of governance : governance on the local level can be defined as a global approach tothe participation of residents, users and major socio-economic actors in the definition of the objectivesof a project or diagnosis, in the formulation of the problem (issues), in the definition of strategy andthe objectives and means to be involved, in the implementation and follow-up and evaluation of a project. Good governance ensures that political, social and economic priorities are founded on abroad consensus throughout society and that the weakest and most vulnerable voices are the heart of the decision-making process as regards the allocation of resources for development 13.This principle must lead to adoption of a doctrine of public trust , which places a duty on the state tohold environmental resources in trust for the benefit of the public.

We can say that neighbourhood sustainability willcontain elements of these six principles of Sustainable Development . They are mainly politically neutral, although some are still open todifferent interpretations. These are helpful in that they recognise the importance of equity and of the precautionary principle. The subsidiary principle is particularly relevant to our HQE2R topic of neighbourhood regeneration.

2.3 - Global objectives and targets (with their key issues andindicators inside a system, ISDIS 14) for sustainableneighbourhoods and buildings

The sustainable development approach requiresprior consideration of the objectives of sustainability for the city scale . It is not a question of diachronic sustainability (in this sense, any cityis sustainable). It is a question of broad options, which, at the present time, render the city desirableand liveable for its residents and users without compromising the abilities and quality of life of futuregenerations.

The HQE2

R project proposes the use of five global objectives of sustainable development for European cities as a point of departure for a thought process which does not, however, prejudge thespecific and particular forms of each city, defined by its history, geography and the men and womenwho live and die there. As Cyria Emelianoff 15 has written, the lifespan of a city is a creative,Bergsonian lifespan16. These five global objectives of sustainable development for the city are asfollows:

13 Governance for Sustainable Human Development, a UNDP policy document.14 ISDIS : Issues and Sustainable Development Indicators System15 Cyria Emelianoff, Comment dfinir une ville durable ? in Villes et dveloppement durable, des expriences changer, volume 3, MATE et CEDIDELP, 200116

Henri Bergson, Lunivers dure. Plus nous approfondirons la nature du temps, plus nous comprendrons quedure signifie invention, cration de formes, laboration continue de labsolument nouveau. Lvolutioncratrice, PUF, 1941


14/55



To preserve and enhance heritage and to conserve resources , i.e. human resources,constructed or natural heritage, natural resources (energy, water, space), whether local or global, biodiversity, etc.

To improve the quality of the local environment, for the residents and users of the city. To ensure diversity: diversity of the population, the habitat, human activities, space To improve integration : integration of the inhabitants in the city, in order that everyone feels

he is both an inhabitant of and has a role to play in the city; integration of neighbourhoods inthe city, with reference to the multi-centre city17

To reinforce social life through local governance, and relations of social cohesion and actionsof social equity.

These five objectives (heritage and resources, quality of the local environment, diversity,integration, social life) must serve as the foundation for regeneration projects, development, andconstruction, whether for a city or a neighbourhood as well as for buildings. According to the scale

and characteristics of the area, the concrete form of these objectives will change. They will also varyaccording to the project to be handled, as the aforementioned principles do not apply in exactly thesame terms to all projects. It is, in fact, a question of an analysisor grid , which allows an overview of all the problems to be tackled in an approach to sustainable development.The analysis of these objectives consequently leads us to ask questions, which correspond, on thewhole to the six principles of sustainable development described above. These questions are just asmuch targets to be attained for projects of neighbourhood development or for the renovation of buildings. Thus,21 targets have been chosen and approved by the projects 10 research centresand constitute the approachs operational dimensions . These targets are grouped according to eachof the sustainable development objectives.

2.3.1 The SD (Sustainable Development) objectives

!" To preserve and enhance heritage and to conserve resources

Building on the notion and principles of sustainability as laid down in the Charter of European Citiesand Towns towards Sustainability (Aalborg Charter, Aalborg, Denmark, May 1994), one of the baselines of sustainable development is defined as environmental sustainability:Environmental sustainability means maintaining the natural capital. It demands from us: that the rate at which we consume renewable material (...) does not exceed the rate at which the

natural systems can replenish it, that the rate at which we consume non-renewable resources does not exceed the rate at which they

are replaced by sustainable renewable resources, and that the rate of emitted pollutants does not exceed the capacity of the air, water and soil to absorb

and process them.Above that, the overall question is how to develop towards a sustainable society taking into accountthe restrictions of nature together with the economic and social dimensions of behaviour, within aglobal context. The development of new structures, organisations and technologies is as important asthe inclusion of all people and of communication between them. People have to learn to change their attitudes, show initiative and interact to ensure a viable future for themselves and the followinggenerations. Therefore living conditions (e.g. within an urban Neighbourhood) have to be organised in

such a way, that these changes are supported.17 Jean Pierre Sueur, Changer la ville, Odile Jacob editor, 1999, page 66 and following


15/55



The management of the space consumption is also a focus point to the extent that this consumptioninduces a large part of the increase in resource consumption. This management has as a corollary thelimitation or the reduction of urban sprawl .As regards the common heritage, this embraces, in a twofold meaning of the term, boththe presentand the future:

- by considering energy, material, water and space resources, and also built assets as a stock thatmust bepreserved for future generations;- by building on the wealth of the land as formed by humans currently living on it: this

involves enhancing the potential of the material and human resources available to us todevelop a heritage which can be handed on to the future generations.

These two dimensions highlight not only the economic and natural heritage but also thecultural heritage which current generations wish to pass on to their successors.To ensure this twofold approach, ethical principles are a necessary foundation for sustainablemanagement of territorial resources: "We must all learn to be guests of one another and leave thedwelling of our host enriched by our stay and yet further by our leaving. May the house be morehandsome when we leave it than when we arrived? Ecology is the art of being a guest18

Globally, all these targets can help us to assess theecological footprint 19 of the neighbourhood or toconsider the neighbourhood as an ecosystem20.

!" To improve the quality of the local environment

Sustainable development must enable citizens to gain the benefit of a better standard of living, bothnow and in the future, and must direct actions which place residents at the focus of development. Our standard of living lies at the very heart of European policy, the aim of which it is "to improve thequality of the life in cities and conurbations whilst facing the problems of the quality of air, noise,traffic congestion, waste, economic competition, employment, security and improving theinfrastructure and built environment so as to enhance social inclusion and promote sustainabledevelopment" (European Commission, objective of 5th Framework Programme of the European

Community for Research, Technological Development and Demonstration Activities).This concept should also be considered in the light of equity , since the objective is indeed to tendtowards amore equitable distribution of wealth, health, education, employment, and housing.To achieve this objective, we must strive to bring about development that is not only sustainable for the environment, but also for society 21 ; in other words, development must:- guarantee the basic needs of the inhabitants: food, health, housing, education, employment,

security in the workplace,...;- make for a fair distribution of wealth;- improve the physical, psychological and social well-being of residents;- foster training, creativity and development of residents potential;

- preserve the cultural and natural heritage whilst increasing respect and the feeling of belonging toa community of residents in relation to their neighbourhood and its environment;- favour conviviality and good relations between residents.The reduction of nuisance (noise, waste, quality of the air and water) and natural and technologicalrisks lies at the heart of all these problems.

18 Georges Steiner, Lhomme invit de la vie , Sminaire sir lthique et lenvironnement, 19/12/1996,Documentation Franaise, 1997, p. 23.19 Mathis Wackernagel and William Rees. Our Ecological Footprint: Reducing Human Impact on the Earth.Gabriola Island, B.C. New Society Publishers. November 1995. By. Jim Duncan, CotR Faculty PD Committee.20 Barton, Grant and Guise, Shaping Neighbourhoods, WHO Healthy Cities centre, University of the West

England, 200121 Osberg, Lars. Sustainable Social Development. Halifax, N.S.: Department of Economics, DalhousieUniversity.


16/55



The neighbourhood and the city are not simply territories, but complex systems of networks, activities,users and human experience, with similarities and differences that are constantly changing. To allowfor the increasingly dynamic aspect of urban flows, one must reconcile within the different time-scalesof the city22, life at work and life outside work, offer the possibility of access to the different servicesof the region, modulated to suit the requirements of its inhabitants.

!" To ensure diversity

A district must be capable of offeringa variety of economic, social, cultural, and natural functions and of ensuring the greatest possible degree of adaptabilityin the long-term . Diversity must reflectthe complexity of these systems, and can increase the information content and quality of exchanges.A varied supply of the functional opportunities as well as of human and material resources underliesthe concept of diversity, the aim of which is to guaranteesocial and urban mix , to fight social exclusion23, to support the development of economic and cultural activities, and to define thecontinuity of a system where although heterogeneous elements interact they form, together, ahomogenous region..Supporting sustainable development of a neighbourhood and region also means promoting diversity

and cultural vitality whilst fostering human resources (gender, ethnic origins, social strata, etc) andmaterial resources (variety of functions, spaces and activities).Diversity must also take into account all the functions available at the boundaries of the district, andthey must be easily accessible.

!" To improve integration

An neighbourhood continuously interacts with contiguous areas and all those surrounding it (city,conurbation, sub-region, region, state and planet). This relation with its neighbours, as also with theglobal environment, is necessary, so that each feels as an inhabitant of his city or his agglomeration, asof the planet, and conversely, so that no territory is excluded from development.To guarantee continuous exchange of resources and information, the neighbourhood, the city and theneighbourhood must hence formopen and permeable systems. This opening-up is adenial of neighbourhood balkanisation and fundamental both to upholding the life of the neighbourhood,which cannot itself possess all the means to develop comprehensively and independently, and toensuring real social and economic integration.The concept of integration also refers to that of equilibrium between neighbourhoods. However, wefocus on the concept of integration since this highlights the interdependence of residents, districts andcultures in a SD dynamic process, at the neighbourhood scale.

!" To reinforce social life

The creation of relations of exchange and respect between individuals and participation in the lifeof the town are fundamental objectives for ensuring the perennial nature or sustainability of neighbourhoods. One of the objectives of the Treaty of the European Union is to achieve balanced andsustainable development, in particular by strengthening economic and social cohesion24. Socialcohesion is absolutely vital to the development of neighbourhoods: Wilson25 argues that aneighbourhood in which social organisation, or social capital, is strong, will offer a better quality of life. He points out that neighbourhoods which suffer from poverty and exclusion are also likely to lack social capital. One of the key questions facing regeneration at present is the extent to which excluded

22 Les temps de la ville. Report from Edmond Herv, Deputy Mayor in Rennes ; June 2001.23 Relative poverty (< 60 % of mean national income) is at an average rate of 17 % in the EU; the vulnerabilityrate is 32 % (the percentage of the population encountering at least one period of low income per 3-year cycle),

while 7 % of the population (25 million people) experience persistent poverty over this period.24 Article 2 of the European Union Treaty.25 Wilson, When Work Disappears: the World of the New urban Poor, New York, 1996, Knopf editor


17/55



neighbourhoods have the capacity to use their social capital to bring about improvement. There is agrowing consensus that regeneration programmes initiated by external organisations will only succeedif they work in partnership with local people and utilise local social resources.As the primary urban forum in which residents can share a common identity andcommon values , theneighbourhood represents a scale of analysis at which all issues and sustainable development

objectives can be fully expressed, particularly with respect to the social dimensions.To ensure a process of social participation, each inhabitant must develop a feeling of belonging to thedistrict in which he lives: this can be strengthened by a policy of information and of stimulatinggreater awareness, particularly concerning sustainable development issues of interest to theneighbourhood concerned.Accordingly, the common values of civics, solidarity and citizenship must be expressed by social bonds, situating the citizen in relation to the sustainable development of her neighbourhood.Management based on solidarity also involves economic resources. Aneconomy that aims forsolidarity can be defined on the basis of practices which spring from individual and associative or community actions such as:- residents, users or professionals initiating the services they consider necessary;

- entrepreneurs contributing to the economic integration of those sectors of the population in major difficulty or in a highly precarious situation;

- consumers getting organised to verify the quality of the products they purchase;- savers using their savings in new ways ("ethical funds", supporting saving schemes)...;This combination of actions and patterns of behaviour can be considered as an approach to thesupportive management of economic assets.

2.3.2 The SD targets

The following list presents the 21 targets which must be reached to improve the sustainability of aneighbourhood and its buildings.

These targets deal with one or more of the 6 SD principles chosen at the beginning of the HQE2R project.

These targets are also explained by51 key issues which are the indisputable questions we have tothink about for including sustainable development in urban regeneration projects.

For each of these key issues,indicators are then chosen according to the phase inside theneighbourhood regeneration project (indicators for the analysis phase with the shared diagnosis for

SD, assessment indicators with the INDI model, monitoring indicators, ).


18/55



THE 5 OBJECTIVES AND 21 TARGETSFOR SUSTAINABLE

NEIGHBOURHOODS AND BUILDINGS

T O PRESERVE AND ENHANCE HERITAGE AND CONSERVE RESOURCES 1 - To reduce energy consumption and improve energy management

2 - To improve water resource management and quality

3 - To avoid land consumption and improve land management

4 - To reduce the consumption of materials and improve their management

5 - To preserve and enhance the built and natural heritage

T O IMPROVE THE QUALITY OF THE LOCAL ENVIRONMENT

6 - To preserve and enhance the landscape and visual comfort7 - To improve housing quality

8 - To improve cleanliness, hygiene and health

9 - To improve safety and risk management

10 - To improve air quality

11 - To reduce noise pollution

12 - To minimise waste

T O ENSURE DIVERSITY 13 - To ensure the diversity of the population

14 - To ensure the diversity of functions

15 - To ensure the diversity of housing supply

T O IMPROVE INTEGRATION

16 - To increase the levels of education and job qualification

17 - To improve access for all residents to all the services and facilities of the city

by means of easy and non expensive transportation mode18 - To improve the integration of the neighbourhood in the city by creating living

and meeting places for all the inhabitants of the city

19 - To avoid unwanted mobility and to improve the environmentally sound mobilityinfrastructure

T O REINFORCE SOCIAL LIFE

20 - To reinforce local governance

21 - To improve social networks and social capital

Source: CSTB, La Calade with contribution by the European partners of the HQE R project ( http://hqe2r.cstb.fr )


19/55



2.4 - Sustainable neighbourhoods

Recent analyses of the city have shown that the social treatment of neighbourhoods is no longer sufficient. Even if the city or conurbation constitutes a favoured terrain for urban studies, theneighbourhood is a living entity where a good part of everyones life is played out: diversity in the

neighbourhood, its integration in the city, the conservation and promotion of its heritage (natural,historic, human), the quality of life of its inhabitants, and the social ties, constitute fundamental axesof a local policy based on sustainable development.

The HQE2R approach aims at asking questions aboutall of the needs of a neighbourhood and itspopulation and at identifying problems, whether economic or social and environmental . It mustemphasise along-term thought processon the future vocation of the neighbourhood and look for solutions to making the neighbourhood a structured area based on social relations, with a function inthe city and a capacity for the cooperative production of goods, services and spiritual direction.

Even if a neighbourhood does not have an ambition to become autonomous and, even less, to live self-sufficiently, sustainable neighbourhoods which simultaneously highlight the management of resources26 and space, the quality of life and the participation of their inhabitants allow meaningto begiven to neighbourhood life and raise the awareness of their inhabitants that theirneighbourhood has a future and a role to play in the city.

Neighbourhoods and urban renewalCities, like neighbourhoods, evolve. History shows that neighbourhoods also die and are reborn,especially in those European countries where space is at a premium. In certain neighbourhoodsconstructed in haste, the only solution is massive demolition, not because the buildings have been badly designed but because of their disposition in terms of the space they occupy and their form,which renders it impossible to organize the public and private space which frames the life of their inhabitants. By the same token, a neighbourhood will not be sustainable as long as 30 or 40% of the

active population remain unemployed or 50% of households live below the poverty threshold.But even demolition, like the resulting movement of population, must not be the fruit of individualvisions but the result of a collective diagnosis, based on the analysis of long-term issues and existingconstraints.Speaking at the same time of social (unemployment) and landscape problems, together with problemsof economics, accessibility to services, etc. is the purpose of theshared diagnosis . To do this it willcertainly be necessary to create new places of dialogue and consultation, at a considerable removefrom standard practice.Some Local Agenda 21s, as well as some participative budgetary procedures, set an example Certain planning laws recommend consultation, but what does this mean in practice, what level is attained onthe participation scale?Recent elections in Europe have put the accent on their citizens request to participate. Local Agenda21s, urban planning, and planning projects are some of the elements of this participation which canalready be achieved. But to do it fully, amajor effort is necessary in awareness-raising,information and training.

Rather than financing projects, even though they may well be interesting, for squares, urban furnitureand eco-museums, it would be more basic and sustainable to raise the level of training of the population and its elected representatives to deal with their environment, their city, and their institutions. But training the population is only interesting for themif the decisions to be made whichconcern them have not already been made before they reach empowerment .

26 Environmental management of resources alone is not enough to define a sustainable neighbourhood.


20/55



Sustainable development is an approach which requires collective work in advance, and in whichthe partners must try to definecommon objectives for the long-term : initiating a policy of sustainable development must facilitate the mobilisation of all the partners, it must concern both short-term problems (preoccupation of the inhabitants) as well as long-term problems, as well as the aspectsof the neighbourhood and its relation to the city. It becomes a question of combining the sociologicalor psycho-sociological approach (showing the needs of the inhabitants, even if these are not alllegitimated) with the visionary (but often individualistic) approach of the architect town planner.This combination can be achieved by working together, where everyones skills are not simply anaccumulation: they are multiplied by a combined effort which allows everyone to occupy the othersground; this is the cost of a cross cutting approach.Amongst the 21 targets of sustainable development, almost all the targets directly address goals for which sustainable neighbourhoods are striving. These same targets will help us to determine theessential indicators of sustainable development at the neighbourhood scale:

The target 7 To improve the housing quality is the only one which is not directly linked to theneighbourhood scale.

2.5 - Sustainable built environment & buildings

The building provides a basic condition of urban life and at the same time the urban built environmentrepresents a huge share of human mass and energy flows27. Existing buildings may also be regarded assecondary resources, especially in cases were vacancy occurs or even buildings / parts of the builtenvironment are abandoned. So from a point of view that is guided by the principle of sustainabledevelopment the built environment has great importance.

Therefore it is not surprising that there is a great tradition and experience in (environmental)assessment of (mostly new, residential) buildings. Reasons/objectives for/of assessment of buildingsare:- material basis of the life / action of inhabitants / users- health of users (in general, although often residential buildings are clearly to the fore)- the building as a piece of real estate property (economic value; marketing)- energy- and mass-flows on a macro-level as a result of / accountable to individual / private

(micro) action (gathering data and information for policy design)Further criteria can be added looking at the phase of use of the building, so that the actual data of resource consumption could be compared with the expected data from the planning stage. Some of theexisting tools introduced in Deliverable 328 give examples for that. In fact, the gaining of meaningfulcriteria is probably the most reasonable use of existing building related tools within the developmentof HQER.

The renovation of buildings must, in terms of sustainable development, satisfy a certain number of previously defined targets. These are principally targets linked to two global objectives of sustainabledevelopment: to preserve and enhance the heritage conserve resources, and to improve the quality of the local environment.

27 The construction, use and demolition of buildings have considerable impact on the natural and builtenvironment. At present, the building sector is responsible for about 30% of primary energy use in OECDcountries. Material flow analyses for some Member countries show that the sector accounts for between one-third and one-half of commodity flows when expressed in terms of weight. In addition, indoor air quality has alarge impact on human health because people usually spend as much as 80-90% of their time indoors.OECD/IEA Joint Workshop on the Design of Sustainable Building Policies, June 28-29, 2001 - Summary andConclusions and Contributed Papers: Part 1, 2 - Organisation for Economic Co-operation and Development(OECD), Paris, 2001, 628 E. Antonini, A. Blum, A. Grossi, C. Robbins, January 2002, Analysis and adaptation of most appropriate tools and methods, HQER Deliverable 3, Sophia Antipolis


21/55



The social life and local governance are a third objective which must be considered, the improvementof living conditions not being only to be looked at from a technical point of view: it would beindecent, for example, to speak of sustainable housing if the housing does not offer a minimum of oneroom per person, including children. Studies have shown that the fact of having several children in thesame bedroom increases the educational difficulties of these children. By the same token, inconsidering the requirement (needs and wishes) of the inhabitants, an sustainable renovation will haveto consider the uses and functions of the building: creating, for example, common areas for meetings,games rooms, etc., which could be managed by the inhabitants, family gardens in the place of certainuseless green areas These problems, linked to theuse of the building , are indispensable whenone discusses on renovation (targets 21 but also 12).

Sustainable buildings will have to make it their business to better attain the following targets:1 - To reduce energy consumption and improve energy management,2 - To improve water resource management and quality,3 - To avoid land consumption and improve land management,4 - To improve the consumption of materials and their management,

5 - To preserve and enhance the built and natural heritage,6 - To preserve and enhance the landscape and visual comfort,7 - To improve housing quality,8 - To improve cleanliness, hygiene and health,9 - To improve safety and risk management,10 - To improve air quality,11 - To reduce noise pollution,12 - To minimise waste,13 - To ensure the diversity of the population,15 - To ensure the diversity of the housing supply,

18 - To improve the integration of the neighbourhood in the city by creating living and meeting places for all the inhabitants of the city,

21 - To improve social networks and social capital.

Within HQER it will be part of the model-development to suggest a tool for an integrated discussionof these targets at the building scale by the help of the already developed checklist of indicators.

2.6 - Participation

2.6.1 IntroductionThe Rio Declaration on Environment and Development, adopted unanimously by the 178 Statesrepresented in 1992, evokes in one of its 27 principlesthe participation of citizens as a fundamentalaspect of sustainable development . The tenth principle states:

the best way to consider environmental questions is to ensure the participation of all thecitizens concerned, at the appropriate level. At the national level, each individual must haveaccess to information relative to the environment held by public authorities, includinginformation relative to dangerous substances and activities in their communities, and be ableto participate in the decision process. The states must facilitate and encourage the public in becoming more concerned and participating by putting information at their disposal.Comprehensive access to judiciary and administrative actions, namely redress and appeals,must be ensured.


22/55



The HQE2R programme is directly concerned with the participation methods in use in each of the partner countries. Current good practice demands that regeneration projects must take full account of social dynamics, as major a component of sustainable development (also taking into account theenvironment and economic development). The involvement of residents and users in the life of their districts and of their cities gives great benefit to local social dynamics.

2.6.2 The HQE 2R approach

There are two main elements to the approach being adopted by the project: To conceptualise participation in sustainable neighbourhood regeneration according to a three axes

(introduced below) To place participation as a guiding principal at the centre of the HQE2R methodology.

Analysing participation in neighbourhood regeneration using a three dimensional HQE 2 R scale:

A first scale with the different steps of participation :As with many considerations of participation in public affairs, our approach starts withArnsteinsLadder of Citizen Participation (1971). The ladder was designed with specific reference toAmerican federal social programmes, and it describes eight levels of participation, starting withmanipulation by the authorities, and progressing to citizen control:

8. Citizen control7. Delegated power 6. Partnership5. Placation4. Consultation3. Information2. Therapy1. Manipulation29

The concept of different levels and types of participation is useful in a number of ways. It provides astructure for thinking about what types of participation are feasible, desirable and effective in differentcircumstances. It also helps us to think about participation in a European context, where different political, cultural and legislative contexts result in a very broad spectrum of practice. The concept of ascale of participation has therefore beenadopted from Arnstein, and adapted to fit the Europeanurban regeneration context . For the purposes of the HQE2R project, this adapted version of the

ladder of participation provides the first dimension of the three-dimensional scale:- Coercion (action of force),- Information (presenting public knowledge), andtraining (putting in place of the

appropriate means to ensure the training and the development of a human being),- Awareness (create interest),- Consultation (collecting opinions),- Empowerment (participation of the people concerned in every decision process but

without the power of taking the final decision)- Self government or co-operation (participation of the people concerned in a common

decision).

29 Arnstein (1971)


23/55



The six points on the scale, from coercion to self-government are proposed as being relevant andreadily understood in the European context . These descriptors will be tested during the completionof the project deliverables on participation. The analysis may be further developed throughconsideration of the Ladder of citizen empowerment (Burns, Hambleton & Hoggett, 1994), arefinement of the ladder of participation adapted to UK local government.

But this scale is not enough to explain the different phases of urban renewal as well as the nature of allthe various problems. So we imagined two additional new scales adapted to the specific context of urban renewal projects:

The second axis in our analysis is that of the project process : Four key phases in the development and implementation of a regeneration project are proposed:

- for the establishment of the diagnosis (analysis of issues and reaching consensus on priorities),

- at thedefinition of the project,- during implementation, - for monitoring and follow-up.

These phases thus form the second axis in our three dimensional analysis. The project will test theassumption that increased participation in the first dimension (from coercion to self-government) willenable more complete participation in the second dimension, and vice versa.

The third axis concerns the scope of participation in terms of the issues that aredealt with: Can participation encompass long term issues, as well as pressing daily problems? Most peoplerespond more readily to pressing daily problems; is it possible to present sustainability issues in a waythat will engage people in longer-term thinking? Related to this is making the connections betweenlocal and global issues; noise nuisance in the street can be reduced by street surfacing or by better sound insulation, but what about the discussion concerning transport plans and urban planning moregenerally?


24/55



2.6.3 Participation at the centre of the HQER methodologyThe approach of the partnership is that participation should be at the centre of the methodology (seeoverall methodology diagram below). It is a guiding principle of the methodology that the appropriatelevel of participation should be sought at each stage, and that the aim should be to progress throughthe three dimensions described above.The wide variety of practice across Europe calls for a degree of pragmatism both in the completion of the project and in the final recommendations. In the completion of the city case studies, the researchteams are guided by the local context in determining the appropriate level of resident participation.The project will explore whether it is possible to make recommendations that will apply to allEuropean countries. Some of the questions that will be addressed include;

- Is there a minimal level of participation at which it is possible to speak aboutsustainability?

- Is it possible for participation to be effective and efficient at any level of participation, i.e.can information becomes consultation, can that consultation become empowerment andthen empowerment lead to co-operation ?

- Is it possibleto improve the participation procedures and to propose any methodologyfor that?

Monitoring

Implementation

Decisions

Diagnosis

Identificationof problems

THE THREE DIMENSIONS OF PARTICIPATION

C o e r c

i o n

I n f o r

m a t i

o n

A w a r e

n e s s

C o n s u

l t a t i o n

E m p o w

e r m e n t

C o o p

e r a t i o n

From Local

To Global

PROJECT PHASES

PARTICIPATIONSTEPS

Source: CSTB, La Calade for HQE R Project ( http://hqe2r.cstb.fr )

From short term

to long term Monitoring

Implementation

Decisions

Diagnosis

Identificationof problems

THE THREE DIMENSIONS OF PARTICIPATION

C o e r c

i o n

I n f o r

m a t i

o n

A w a r e

n e s s

C o n s u

l t a t i o n

E m p o w

e r m e n t

C o o p

e r a t i o n

From Local

To Global

PROJECT PHASES

PARTICIPATIONSTEPS

Source: CSTB, La Calade for HQE R Project ( http://hqe2r.cstb.fr )

From short term

to long term


25/55



3 - T HE HQE 2R METHODOLOGY

The objective of the HQE 2R project is to allow local authorities to implement regenerationaction plans in their neighbourhoods and for the renovation of their buildings towards sustainabledevelopment. It is a question of providing tools for a concrete analysis and evaluation which are opento public (and private) debate and to action. But to define concrete plans of action, sustainabledevelopment requires a roundabout way of achieving a decision, because of the necessity of taking thevarious principles of sustainable development into account at one and the same time. As the law of themarket only takes account of economic factors, and principally only in the short-term, sustainabledevelopment demands the integration of the long-term, global impact of decisions on environmentaland social factors, with less hierarchical forms of participation than the usual market practices.

This integrated way inside each phase of the process should, in return, allow major future economiesof operation as well as avoid negative external factors, both socially and environmentally.

In the following section, we are going to present shortly the basic steps of the overall methodologyfocussing on the expected results an action plan and going as far as recording full knowledgeabout the neighbourhood and existing problems. The elements of the methodology concern more particularly the following topics:

- problems, inventory, shared sustainable development diagnosis (systemic analysis),- analysis, indicators, tools for the scenarios or projects assessment,- definition of the final action plan, guidelines and briefing documents for the process, the

implementation and monitoring at both scales: the neighbourhood and the buildings ones.

Four phases are defined in the HQER overall methodology (see the scheme on next page):- decision- analysis- assessment- action


26/55

H QE2 R : T o w ar d s am e t h o d ol o g yf or s u s t ai n a b l e n e i gh b o ur h o o d r e g e n e r a t i on

( Br o

c h ur e 1

)

H QE R

2 6

C S TBL a C al a d e wi t h c on t r i b u t i on b yI CI E ,I OER , Q u a s c o an d U WE



7. Assessmentof the scenarios

6 . Generationof scenarios

4. Shared SDdiagnosis of theneighbourhood

(potential, dysfunction,cohesion)

3. Inventory based onthe 21 targets. Mesureof the SD indisputable

indicators

Participation of residents and users

Partnership (public / private)Local Governance


project : monitoringindicators


9. Urban planningregulations

11. Neighbourhoodspecifications forthe project stage

10. Buildingsspecifications for

call for tender

5. Strategic prioritiesfor the neighbourhood

and definition ofobjectives for SD




PHASE 3 : ASSESSMENTPHASE 4 : ACTION

THE HQE R METHODOLOGYFOR LEADING SUSTAINABLE

URBAN PLANNING PROJECTS

THE HQE R METHODOLOGYFOR LEADING SUSTAINABLE

URBAN PLANNING PROJECTS


27/55



3.1 - From the Inventory to the shared SD diagnosis (systemicanalysis) Phase 2

The diagnosis30 of the neighbourhood and of the built environment (stock of buildings) can only beconducted on the basis of an overall review of the known or expected prospects and of an inventoryof the neighbourhood . This inventory and the known or expected prospects must concern both all theaspects of sustainable development (SD) (economic, social and environment effectiveness) andinclude items of information applicable to each sustainable development objective. This inventorymust also be concerned with the different fields of analysis of the neighbourhood: residential

buildings, non residential buildings, non-built spaces, infrastructures and networks. The analysis grid which enables this inventory to take place will interrelate the aspects and theoverall SD objectives. This analysis grid consists of sheets, each providing coverage of overall SDobjectives and SD aspects. Each sheet will comprise a combination of questions (also called stateindicators) enabling the inventory to be achieved. (some of these questions are called key issues or indisputable issues for going towards SD, it isthe ISDIS 31 system used for the shared diagnosis for SD).

30We use here the word as in medicine31 Issues and sustainable Development Indicators System. This system will be described in a specific document

and will be available on the web site:http://hqe2r.cstb.fr








indicators









call for tender







Source: HQE R Project ( http://hqe2r.cstb.fr )


28/55



3.2 From the shared SD diagnosis to the priorities (or stakes)and to local SD objectives Phase 2

The neighbourhood diagnosis must thus be structured on the basis of overall sustainabledevelopment objectives defined in a general way, but specifically adapted to the geographical scaleof the neighbourhood.The definition of what is essential in the neighbourhood is achieved byestablishing a diagnosis .This diagnosis must analyse the prevailing situation in the neighbourhood as well as its prospects for change in relation to sustainable development objectives. These SD objectives are global and generaland should be applied to all neighbourhoods. Then each city and neighbourhood should seek toachieve these objectives in accordance with specific procedures for each population and their

economic, social, and environmental context.The local objectives of sustainable development can be defined only after first knowing or determining the stakes 32 in the sustainable development of the neighbourhood. That is to say theestablishment of the problems to solve in the short, medium and long term. The stakes are the meansorganising a hierarchy of these problems.The stakes are the key questions or the indisputable points (so rather different than the usual Englishword priorities) that will lead the neighbourhood to sustainable development or not. They aredefined at a given moment with regards to the capacity of the different stakeholders (inhabitants, localelected officials, municipal services, consultants,...) to conceive the future situation and to set an order of importance to the causes of the different problems encountered.

32 This word stakes seems to be another European English word, so its definition is given in the nextsentences and we keep the word in asking for indulgence from English people








indicators


Partnership (public / private)

Local Governance







call for tender









29/55



3.3 From the local priorities (or stakes) and SD objectives topotential scenarios and the final Actions plan or project for theneighbourhood: Tools to assess the scenarios and support decisionfor choosing the final actions plan Phase 3

The assessment of scenarios must lead decision-makers to define an Actions plan or a project forthe neighbourhood and for buildings . This assessment phase is supported by the different actors of the neighbourhood. Scenarios must be considered as a foundation for the discussion of developmentoptions and a precondition for decisions on measures / action plans / projects. Scenarios-writing givesopportunities for seeing ones own position within a wider context and understanding the positions andinterest of other actors. It also helps one to think in alternatives and thereby to overcome routine.Scenario-writing usually hastwo steps :- the writing of pre-scenarios summarizing general development trends / driving forces- the writing of final scenarios: definition of most probable development paths for the

neighbourhood in the light of the pre-scenario assumptions and the stakes and priorities identifiedwithin the diagnosis step.

In playing with the scenarios that is to say : altering the solutions to the issues / stakes of development identified in the diagnosis the actors involved gain a first impression of the impact of different development paths on the (core) indicators. HQE2R supports this play by providingthreeevaluation models and a methodology for decisionmaking.



7. Assessment

of the scenarios

6 . Generation

of scenarios




indicators





8. Action plan for

the neighbourhood




call for tender









30/55



This methodology will include projects for buildings, land planning and a series of accompanyingmeasures. These measures will also concern training, awareness, animation, communication, financialsupports, resident and user participation,The action plan or project for the neighbourhood must also be developed with annual stages in termsof budgetary and human resources.In order todefine action plans or to choose the best project for a neighbourhood in a sustainable way,methodological tools are therefore required. The HQE2R project proposes three methodological toolsto assess the different scenarios and to support decisions for action,to choose the best project :

- a model to assessthe long term impact on the neighbourhood and buildingssustainability of scenarios and planning projects, using the indisputable indicatorssystem (INDI model).

- an environmental impact model at both the neighbourhood and the

hqe2r english basics

Documents