EFFECTIVE PUBLIC
ENGAGEMENT
COURSE 101
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The Tools We Will Explore Today
 What are the foundation principles of
public participation
 What are the continuum from informing
through full participation
 What is the standard format for public
engagement
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Foundation Principles of Public Participation
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Foundation Principles of Public Participation
 Participation
 Allows the State, Metropolitan Organizations, and resource agencies to
know the impacts to the community from the projects viewed by the
community. – USDOT- Federal Highway Administration
 Public Involvement
 A process to inform and involve the public in the development of a
proposed action. – Hear Every Voice: MnDOT
 Stakeholder Consultation
 “One or more parties confer with other identified parties in accordance
with an established process, and prior to taking action(s), considers the
views of other parties and periodically informs them about action(s)
taken.” : SAFETEA-LU
 Engagement
 Combination of public participation, public communication and public
consultation. – ‘A typology of Public Engagement Mechanisms’ by Gene
Rowe and Lynn J. Frewer
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Foundation Principles of Public Participation
 What are the Objectives of Public Participation
 Identify and involve traditionally underserved
communities in defining the problems to be
addressed by the project or plan
 Educate the public as to the funding and decision-
making requirements specified by regulation
 Maintain timely contact with key stakeholders
throughout the process
 Build credibility for the agency
Hear Every Voice: MnDOT
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Foundation Principles of Public Participation
 What are the Core Values of Public Participation
 Based on the beliefs that those are affected by
decisions have right to be involved in the decisionmaking process
 Includes the promise that the public’s contribution
will influence the decision
 Promotes sustainable decisions by recognizing and
communicating the needs and interests of all
participants, including decision makers
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Foundation Principles of Public Participation
 What are the Core Values of Public Participation
 Seeks out and facilitates the involvement of those
potentially affected by or interested in a decision
 Seeks input from participants in designing how they
participate
 Provides participants with the information they need
to participate in a meaningful way
 Communicates to participants how their input
affected the decision
http://iap2.affiniscape.com/associations/4748/files/CoreValues.pdf
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Foundation Principles of Public Participation
 What are the Principles of Public Participation
 Make the participation process responsible and
reasonable
 Refuse illegitimate demand
 Provided the problem is important, accept the losses
and hardship
 Problem addressed by proper agency
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Foundation Principles of Public Participation
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Foundation Principles of Public Participation
 What are the Benefits of Public Participation
Public participation, which is done in a meaningful way,
can result in two significant benefits:
 Helps agencies to make better and easily
implementable decisions that reflects public interest
and values better understood by the public
 Communities develop long-term capacity to solve
and manage challenging social issues, often
overcoming longstanding differences and
misunderstandings
http://www.epa.gov/oia/public-participation-guide/ppguide-english.pdf
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Foundation Principles of Public Participation
 What are the Difficulties of Public Participation
 Professional’s misconception of knowing the problem
better than the public
 Disagreement about solutions to problem
 Conflict between private interests.
 Education is not observed as a major goal of citizen
participation
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Foundation Principles of Public Participation
 What are the guidelines of Public Participation?
 Participation plans should be developed and tailored
to the complexities of the project
 Solicit public involvement as early as possible
 MnDOT employees will plan for small informal
meetings whenever possible and appropriate
 Mailing lists, including known neighborhood
associations, civic and cultural groups, environmental
organizations, civic advisory committees
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Foundation Principles of Public Participation
 What are the guidelines of Public Participation?
(cont’d)
 Make an effort to go where people are
 Two-way, continuing and consistent communications
 Should be clear about the process and how it ties to
the decision-making
 Innovative tools and media to communicate
 Incentives base on type of project/ plan and the
people invited to the meeting
Hear Every Voice: MnDOT
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Foundation Principles of Public Participation
Sherry Arnstein, in her article ‘A Ladder of Citizen
Participation’ , has described 8 levels of participation
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Citizen Control
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Delegated Power
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Partnership
5
Placation
4
Consultation
3
Informing
2
Therapy
1
Manipulation
Degree of Citizen Power
Degree of Tokenism
Non- participation
http://www.planning.org/pas/memo/2007/mar/pdf/JAPA35No4.pdf
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Foundation Principles of Public Participation
 1 Manipulation and 2 Therapy
 Non participative, aim is to educate participants
 To achieve public support by public relations
 3 Informing
 One-way flow of information, no feedback
 4 Consultation
 Neighborhood meetings and public enquiries
 Just a window dressing ritual according to the author
 5 Placation
 Retains the power holders’ right to judge the
legitimacy or feasibility of the advice
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Foundation Principles of Public Participation
 6 Partnership
 Power is redistributed through negotiation between
citizens and power holders
 Planning and decision-making are shared
 7 Delegated Power
 Holds majority of seats on committees with delegated
power to make decision
 Has power to assure accountability of program to them
 8 Citizen Control
 Handles the entire job of planning, policy making and
managing a program
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Continuum from Informing through Participation
 The success of Participation depends on successful
planning of the entire participation process
 5 steps of the continuum of the planning process1.
2.
3.
4.
5.
Organize for participation
Identify and get to know the stakeholders
Pick an appropriate level of participation
Integrate public participation in the decision process
Match the participation tools to objectives throughout
the process
http://www.epa.gov/international/public-participation-guide/Intro/Process/index.html
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Continuum from Informing through Participation
1. Organize for participation




Ensure that public input is possible
Ensure that sponsor organization is able to involve public
Identify where public input is desired and possible
Assess and assemble needed skills- Communication,
Facilitation and Conflict Management
 Identify and commit needed resources
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Continuum from Informing through Participation
1. Identify and get to know the Stakeholders
 Identify range of stakeholder perspective to be
involved
 Identify specific stakeholders
 Build relationship and contact
2. Select an appropriate level of Participation
 IAP2’s spectrum of public participation helps to
select the level of participation
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Continuum from Informing through Participation
There is specific public input we seek and intend to take into account
as we make our decision
No
Inform
Yes
We are seeking to engage stakeholders early and throughout the
process rather than just get public comment at one or two points?
No
Consult
Yes
We intend to bring together a diverse group of stakeholders to work
on the problem and potentially seek consensus?
No
Involve
Yes
We intend to bring together a diverse group of stakeholders to work
on the problem and potentially seek consensus?
No
Yes
Collaborate
Empower
http://www.fermilabcommunity.org/pdfs/spectrum.pdf
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Continuum from Informing through Participation
4. Organize for participation
 Necessary arrangements to make the stakeholders
(internal and external) understand the decision process
 Key points to describe decision process





Key steps and timing in the process
Point at which public input will be obtained and used
Extent of keeping public informed
Way to establish decision criteria
Way to develop alternatives
Way to make the final decision
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Continuum from Informing through Participation
5. Match the participation tools to objectives
throughout the process
 Tools have to be selected after goals and objectives are
established
 Required tools includes Tools to inform
 Tools for generating input
 Tools for consensus-building and agreement seeking
Details on the tools are discussed in Module 301
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Standard Format for Public Engagement
• Demographic Scan
• Branding
• Tools and Communication Methods
• Planning to Manage Conflict
• Assessing the Public Engagement
Process
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Demographic Scan
 Preliminary Participant IdentificationDemographics Worksheet
 Consider people and organizations that have interest
in, or will be affected by the project
 Plot them on the orbits by the distance from center
on the basis of perceiving their motivation
 Higher degree of participation from those who will gain
or lose most.
 Examples- Economically, Politically, Personal quality
of life, Environmentally, Culturally, Physically
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Demographic Scan
Demographics Worksheet Six levels of public participation can be achieved
when the are defined by the human energy needed
to sustain them
 The closer an activity to the orbit’s center, greater
the opportunity of public engagement
http://www.iwr.usace.army.mil/docs/iwrreports/82-R-1.pdf
Page-189
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Demographic Scan
Co-decision
Makers
Creators
Reviewers
Advisors
Observers
Unsurprised
Apathetics
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Demographic Scan
 Orbit No. 6- Unsurprised Apathetics
 People who are disinterested and has been evaluated
as having no particular impact on them
 Orbit No. 5- Observers
 People who say nothing or little to the project staff
 Reports their observations to other units of
government, public interest groups, and special
interest organizations
 Orbit No. 4- Reviewers
 Reacts to the project question and proposal at their
own convenient time
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Demographic Scan
 Orbit No. 3- Advisors
 Project agency organizes committees, meetings,
presentations etc. for further involvement
 May be salaried staff
 Orbit No. 2- Creators
 Their interest and knowledge leads to ideas and
ideas to reality
 Orbit No. 1- Decision Makers
 Has actual control on decision
 Deals effectively in politically sensitive environment
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Branding
 Video
 Videos serve as visual aid at meetings for branding
the project
 Introductory video for each project helps people
understand project or proposal
 Video may include:





Project history
Brief description
Alternatives
Problem areas
Remaining work to be done
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Tools & Communication Methods
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Tools & Communication Methods
 4 stages to use Tools and Communications in are1. Informing people through outreach and
organizations
2. Involving people face-to-face through meetings
3. Getting feedbacks from participants
4. Using special techniques to enhance participation
Details in Module 301
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Planning to Manage Conflict
 4 Steps of Conflict Scoping Process1. Identify Conflict Scoping Process team members
and their roles
2. Discuss & proceed through Clouds 1-7, completing
forms
3. Attain comfort level within the team for tracking
issues with CSP Tracker
4. Establish communication procedures & meeting
schedule of conflict project team
Details on Conflict Scoping are described in Module 302
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Assessing the Public Engagement Process
 By Thomas E. Borton, Katherine P. Warner, and J.
William Wenrich
 Their technique includes both pre and post
questionnaires and interview technique. It includes
 Advance identification of objectives
 Identification of measurement criteria
 Use of interviews
 Forms of analysis how the objectives were achieved
 Cost-benefit analysis (by Paul Munch)
 External factors that may affect the project
http://www.iwr.usace.army.mil/docs/iwrreports/82-R-1.pdf
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Assessing the Public Engagement Process
 The 20-year Minnesota State Highway Investment Plan
evaluates Public Engagement Process based on Quantitative
and Qualitative factors Quantitative How many people attended the stakeholder forums/ open
houses?
 How many additional meetings (local stakeholder meetings,
presentations by the PMT) have taken place?
 What was the attendance?
 How many people have signed up for project updates via email?
 How many hits on the website?
http://www.dot.state.mn.us/planning/statehighwayinvestmentplan/pdf/MnSHIP_Public_In
volvement_Plan_08%2015%2012.pdf
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Assessing the Public Engagement Process
 Qualitative What kind of feedback was
received on the stakeholder
forums/public open houses?
 Were the locations of the
meetings appropriate?
 Have stakeholders expressed any
particular challenges regarding
their participation in the process?
 Have multiple modes/geographic
areas been represented?
MnSHIP Meeting Evaluation Form
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Tools & Communication Methods
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The Tools We Explored Today
 What are the foundation principles of public
participation
 What are the continuum from informing
through full participation
 What is the standard format for public
engagement
37
Sources and Resources
 Hear Every Voice
A guide to Public Involvement at Mn/DOT- June 1999
 International Association for Public Participation
http://iap2.affiniscape.com/associations/4748/files/CoreValues.pdf
http://www.fermilabcommunity.org/pdfs/spectrum.pdf
 Environmental Protection Agency: Public Participation Guide
http://www.epa.gov/oia/public-participation-guide/ppguide-english.pdf
http://www.epa.gov/international/public-participation-guide/Intro/Process/index.html
 A ladder of Citizen Participation- Sherry Arnstein
http://www.planning.org/pas/memo/2007/mar/pdf/JAPA35No4.pdf
 Institute for Water Resources: Public Involvement Technique
http://www.iwr.usace.army.mil/docs/iwrreports/82-R-1.pdf
 MN Go- 20 year State Highway Investment Plan
http://www.dot.state.mn.us/planning/statehighwayinvestmentplan/pdf/MnSHIP
_Public_Involvement_Plan_08%2015%2012.pdf

Smita Rakshit for the Urban and Regional Studies Institute at Minnesota State
University, Mankato
http://sbs.mnsu.edu/ursi/
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