How is a CAC used with other techniques?

An established CAC is a forum for many public involvement techniques. A CAC leader can use brainstorming to establish consensus on a project. (See Brainstorming.) Facilitation by an outside specialist is used within a CAC to establish or resolve a particular or pressing problem. (See Facilitation.) A CAC uses the visioning technique to establish long-range policy goals. (See Visioning.) A CAC should be able to consider the special issues of Americans with disabilities. (See Americans with Disabilities.) Video techniques can illustrate specific points. (See Video Techniques.)

What are the drawbacks?

A CAC can seem to be manipulated by an agency unless information from governmental sources is fully shared. The CAC may feel it is outclassed or overwhelmed by technical information if care is not taken by agencies to explain essential facts or features. In such cases, a CAC may become inactive.

A CAC is most useful on a project or regional scale. A statewide CAC or one for a very large region can be unwieldy when a large number of people are involved and travel is required of both staff and participants. A CAC's effectiveness depends on being able to hear and decide on the issues in an efficient and fair manner. Thus, effective leadership is essential.

A CAC does not encompass all points of view. By virtue of being representative, it is never all-inclusive. A CAC's voice may be skewed if it does not represent all stakeholders and the general public. It may be difficult to represent minority interests.

Opponents may refuse to consider each other's ideas. People who feel they are being controlled or patronized may withdraw from full participation. Agency staff members who feel that the process is leading nowhere may not respond appropriately to questions from participants.

For further information:

Chatham County-Savannah, Georgia, (912) 236-9523
E-W Gateway Coordinating Council, St. Louis, Missouri, (314) 421-4220
Metropolitan Transportation Commission, San Francisco Bay area, (510) 464-7700
Phoenix, Arizona, Regional Transportation Authority, (602) 262-7242
Portland, Maine, Area Comprehensive Transportation Committee, (207) 724-9891
San Francisco County Transit Authority, (415) 557-6850
Southwest Pennsylvania Regional Planning Commission, Pittsburgh, (412) 391-5590

CITIZENS ON DECISION AND POLICY BODIES

Who are citizens on decision and policy boards?

Community people serve on policy and decision-making committees and boards. They represent groups organized around civic, environmental, business, or community interests, or specific geographic areas, or they serve as individual experts in a field. They need not be elected officials or agency staff. The Connecticut Department of Transportation (ConnDOT) appointed a community committee to develop and recommend alternatives for reconstruction of a large I-95 bridge.

Some boards make decisions; others help formulate policy. Regional residents sit on the decision-making Great Falls City/County Planning Board in Montana, and on Washington's Puget Sound Regional Council. The head of Georgia's Chatham County-Savannah Metropolitan Planning Committee sits on the Metropolitan Planning Organizations's Project Committee. Citizens on such boards are distinct from purely advisory groups, such as civic advisory committees, that are often part of planning and project development. (See Civic Advisory Committees.)

These boards are established by statute, regulation, or political decision. Ad hoc committees are set up by legislative acts or executive decision to investigate specific subjects. They may be temporary or permanent. In Portland, Oregon, a committee of community members works with the Metropolitan Planning Organization (MPO) staff to develop scopes of service for projects and to review and select consultants. For the U.S. 301 corridor study, Maryland's Governor created a 76-member task force to address regional transportation issues, develop and evaluate possible transportation and land-use solutions, and recommend public policies. The majority of members were private citizens.

The composition of a board varies, depending on its assigned task. A board may include citizens and elected or appointed officials or be composed entirely of citizens. It may be assisted in its task by staff members assigned from elected officials or agency representatives. The Airport Policy Committee of the San Diego, California, MPO has a mixed representation of citizens and professionals. The Metro Council, MPO for Minneapolis-St. Paul, Minnesota, has both citizens and elected officials on its 30-member Transportation Board, including 10 municipal elected officials, 7 elected county officials, 9 private citizens (including the chair), and 4 representatives of State or regional agencies.

People are appointed to boards in a variety of ways. They are nominated or appointed to these positions by public officials, or they volunteer or are elected by their peers. The ways they come to serve depend on the rules and nature of the policy body.

The board's role establishes the amount of influence these citizens wield. The 76-member task force overseeing the U.S. 301 Corridor Planning Study in Maryland has virtually total decision-making power. Composed entirely of citizens appointed by the Governor, Arizona DOT's Transportation Board has final say on the State's five-year plan, the transportation improvement program, and State transportation planning projects.

Why are they useful?

Community people bring new points of view, new ideas, and a community perspective directly into the decision-making process. Little Rock, Arkansas, MPO found that people were able to integrate political and technical engineering issues in solving problems. They focused on whether an idea made sense to them, their neighbors, and the people most affected by the decision.

Ad hoc committees help local people participate in decision-making. For the Albuquerque, New Mexico, MPO's Urban Area Truck Route Task Group, membership was solicited through more than 300 letters to neighborhood, advocacy, and business groups. Volunteers worked with technical staff from the city and a neighboring county to develop a commercial vehicle network plan processed as though it were an agency-prepared plan.

Decisions have greater legitimacy if residents are involved. Including local people in decision-making demonstrates an agency's commitment to participatory planning. At the contaminated U.S. Department of Energy site in Rocky Flats, Colorado, a community committee directed the planning of an off-site hazardous waste sampling program. In essence, such empowerment validates the principle that people want--and should be able--to decide what is best for their community.

Do they have special uses?

Citizen committees oversee specific aspects of complicated programs. For the Hudson River Waterfront Alternatives Analysis/Draft Environmental Impact Statement in New Jersey, local residents directed agency staff in implementing air quality monitoring.

Community representatives work directly with project design consultants. For proposed construction of I-70 through Glenwood Canyon in Colorado, the Governor appointed area residents to work with the State's highway planners and the principal design consultants to address public concerns from the beginning of preliminary engineering and highway design. Along with frequent public hearings, local representation served to satisfy public demand for a greater voice in the project.

Local people facilitate communication between decision-making bodies. The Airport Policy Committee of the San Diego, California, MPO worked with officials to forge consensus on several controversial issues. These people provided a free flow of ideas, unconstrained by concerns for existing policies, and were able to help overcome political deadlock.

Community representatives serve as informed spokespersons for an agency's programs. Individuals from the Boise, Idaho, MPO citizen committee host public meetings, speak to other organizations, and attend neighborhood events. They use non-technical language to make citizens more comfortable and willing to participate in discussion.

Residents help achieve an agency's goals. For the Dade County, Florida, rail system, a decision-making committee was appointed, composed of elected officials and neighborhood representatives. These citizens subsequently provided leadership on two referenda supporting funding for the new rail system.

Civic outreach committees assist with public involvement programs and provide advice based on what they hear in their own discussions with the public. Seattle's Central Puget Sound Regional Transit Authority (RTA) appointed a group of people to assist in developing a ballot proposal for regional transit.

Who participates on these boards?

People who serve on policy boards are drawn from many sources. They include community and business leaders, leaders from special interest groups, and interested individuals. Length of tenure varies, depending on tasks, but is generally one to five years.

It is important to recognize special interests. The Hartford, Connecticut, MPO agency-wide technical committee includes representatives of four private groups: the American Lung Association, the Chamber of Commerce, a construction industry association, and a ridesharing corporation. The board of the Port Authority of Allegheny County, Pennsylvania, has long included representatives from the Sierra Club and the League of Women Voters.

What are the costs?

Monetary costs are usually nominal. Local people appointed to policy boards are seldom paid. Costs to support their participation include agency staff time, postage, transportation, and occasional meals. Many agencies economize by sending the same information packages to both elected officials and boards that include citizens. Costs of including community people on existing boards are likely to be lower than those of forming an entirely new board or committee such as a collaborative task force.

Staffing requirements may be very small. A 1995 nationwide survey of transit agency policy committees showed that staff support to the committees averaged 12.4 hours per month. Full-time staff members with assignments including support to these committees averaged 1.2 people. However, even modest requirements of staff time may pose a challenge to small MPOs.

How is this organized?

The first step is to determine the need for local representation. Agencies may be aware of the need because of comment or criticism from local people. The media sometimes call for local representation when an agency undertakes a specific task. An agency also becomes aware through discussions with peers in other areas.

Another step is to research legal requirements. State laws may specify whether individuals may sit on MPO boards. Participation may be limited by an organization's by-laws.

An agency devises a strategy for local representation, designing community positions to suit the board's functions and objectives. The Albany, New York, Capital District Transportation Committee (CDTC)--all elected officials--puts local people on many task forces, along with local agency representatives and institutional and business leaders.

An agency solicits local interest in a variety of ways. The media help by opening the issue to public discussion. A letter soliciting interest in participation on boards or committees might be sent in a general mailing. For a long-range planning effort, the Albany CDTC took a sample survey of local people to determine potential interests in participating on planning and policy committees.

An agency seeks a balance of various viewpoints. The nature of a task may draw volunteers who represent only one side of an issue, yet a board should encompass many stances.

A formal appointment process is established. A simple letter or a more formal event lends legitimacy to the process and gives satisfaction and encouragement to an appointee. A written document formalizes the time frame, responsibilities, and the expected products. It is also important to point out the extent of the powers that accompany the appointment and how the results of the task will affect further agency actions.

Agencies involve elected officials and keep them informed. Officials are often able to provide helpful insight. They may also want to be apprised of the board's progress.

Agencies determine the nature of their involvement on boards. It may take the form of representation, usually in an ad hoc and non-voting capacity. It may involve board support, in the form of staff services, meeting space, and use of equipment for presentations and recording of proceedings. In some instances, agencies supply meals, especially if participants travel long distances or a meeting is held during a conventional meal hour.

A method of selecting a committee chair is determined. Often a board selects its own chair, or the chair is appointed. If elections are to take place, introductions of board member candidates are appropriate, so that an informed selection is made. Introductions can be informal or take a more formal approach, such as written position papers that define an individual's expectations and goals for the processes and products.

Meeting frequency is derived from the size of the task and its deadlines. In order to accomplish an assignment, a board may need to meet frequently. Many citizen committees meet monthly, but specific projects or responsibilities may dictate different schedules. Board members should play a major role in determining meeting frequency.

Communication is maintained between meetings. Minutes of each meeting are kept for the record and distributed to remind participants of past events and decisions. Issue papers are distributed prior to meetings to help people prepare and to aid discussions. Many agencies keep local representatives informed with periodic status reports.

Decision-making bodies need time to adjust to the dynamics of public involvement. In some cases, important informal communication occurs during breaks or outside formal meeting hours. For effective communication among policy board members, the sponsoring agency may take time to foster a positive atmosphere or use familiar procedures. For guidance, many MPOs, such as those in Portland, San Diego, and Phoenix, employ the commonly-understood meeting procedures outlined in Robert's Rules of Order.

Ethical issues must be considered. Public agencies frequently have established rules of professional ethics, and these rules extend to community participants. For example, potential conflicts of interest need to be identified and addressed immediately.

How is this used with other techniques?

Community representatives are important components of a public involvement program and complement almost any other technique. However, local representation cannot be the sole method an agency uses to involve the public in the planning process. Community representatives are most effective if they relate continuously with their constituent groups and participate in an agency's other public involvement outreach techniques.

Local representatives are ideal speakers. They are generally well-informed and usually have extensive experience and exposure to issues. They are good candidates for a speakers' bureau, but agencies must remain considerate of demands placed on their time. (See Speakers' Bureaus and Public Involvement Volunteers.)

What are the drawbacks?

The selection and appointment process may be criticized, especially if the appointee's qualifications are questioned or if the process is seen as closed or unfair. To counter such charges, an agency can develop a strategy for the process that is comprehensive and well-understood.

Board members may not be fully representative. Selected representatives may not share the prevailing opinions of the communities they represent. An agency sometimes needs to expand the number of representatives to bring in underrepresented interests.

Balanced representation of interest groups is crucial in avoiding controversy. Disputes over representation require skillful diplomacy to maintain the legitimacy of the process.

Agency culture sometimes presents barriers. Agencies that perceive themselves as empowered with sole decision-making responsibility are reluctant to share authority with non-elected citizens. An agency's traditional organization or decision-making style may block efforts to increase the influence of private citizens on decision or policy bodies.

For further information:

Alaska Department of Transportation, Juneau, Alaska, (907) 465-2171
Capital District Transportation Committee, Albany, New York, (518) 458-2161
Central Puget Sound Regional Transit Authority, Seattle, Washington, (206) 684-1357
Connecticut Department of Transportation, Newington, Connecticut, (860) 594-2939
Little Rock Metropolitan Planning Organization--Metroplan, Little Rock, Arkansas, (501) 372-3300
Maryland State Highway Administration, Baltimore, Maryland, (410) 333-6431
Portland, Maine, Area Comprehensive Transportation Study, (207) 774-9891
San Diego Association of Governments, San Diego, California, (619) 595-5300

COLLABORATIVE TASK FORCES

What is a collaborative task force?

A collaborative task force is a group assigned a specific task, with a time limit for reaching a conclusion and resolving a difficult issue, subject to ratification by official decision-makers. Its membership usually includes local people or representatives from interest groups, appointed by elected officials or agency executives. Agency staff people are frequently assigned to provide technical support. Collaborative task forces have been used on a project level and for resolving issues within a project.

A collaborative task force differs from a civic advisory committee and citizens on decision and policy bodies. While they focus on similar issues, each plays a different role in the decision-making process. A civic advisory committee acts primarily in an advisory role, studying issues and presenting a mosaic of opinion to the agency; consensus is not required. (See Civic Advisory Committees.) Citizens on decision and policy bodies are local community people appointed, along with other representatives, to boards or agencies that make decisions or propose recommendations to elected officials. (See Citizens on Decision and Policy Bodies.) By contrast, a collaborative task force usually helps solve a specific problem, working strenuously toward consensus and presenting a strong and unified voice.

A collaborative task force has these basic features:

Why is it useful?

A collaborative task force can extend community input for decision-making and enhance self-governance. Task force discussions help agencies understand participants' qualitative values and reactions to proposals. They can aid in development of policies, programs, and services and in allocation of resources. A collaborative task force was used to explore alternatives for the Charles River crossing of Boston's proposed depressed Central Artery and to recommend a preference to the Massachusetts Highway Department..

A collaborative task force helps resolve impasses through a participatory process. Following a difficult process or unsettled controversy, it involves people in solving a problem. In Fort Worth, Texas, the issue of a controversial widening of a downtown interstate freeway was assigned to a collaborative task force.

Decisions can be expected to have broad (although not universal) community support. Task force members represent a broad cross-section of interests. This helps legitimate the process and decisions. The views expressed are typically exhaustive. Often the group begins by making small and specific decisions early in the process; later group decisions become somewhat easier.

Does it have special uses?

A collaborative task force deals with high-profile issues that have generated significant public or media attention and community polarization. It can be used productively at any time in a complex project or planning study, but because of time and cost commitments it is often used to resolve an impasse. If some participants or the agency itself take intractable positions, consensus is very difficult or impossible to achieve. (See Facilitation; Negotiation and Mediation.)

It can bring together a wide range of opinions to assist in exploring issues. The breadth of representation is accompanied by depth of probing. In a collaborative task force, a great depth of discussion is expected and can be accommodated. For example, in Maine a group of 58 community people and agencies worked together to explore Turnpike widening and alternative modes of transit in implementing an initiative approved by the voters.

Who participates? and how?

Participant groups are invited by the sponsor, with the groups selecting their representatives. Representatives are selected from affected interests, but the collaborative task force may add new representatives to round out its membership.

A broad cross-section of interests is desirable and may include local governments, transportation or environmental groups, civic or business groups, and consumer organizations. Other people are involved through outreach and participation programs, including open house presentations or newsletters. (See Public Information Materials.)

People participate by engaging in the discussion. Members of the group react to each other's opinions and bring up alternative ideas. The facilitator guides discussion to cover all agenda items that the group determines it wants to cover. Coaching and training of participants in the process and in conflict resolution is sometimes necessary.

How do agencies use the output?

A collaborative task force helps resolve a difficult issue or problem. Such a group is used primarily when an agency can seriously commit to incorporating the group's decision into ongoing work. Because of the important role of a collaborative task force, the sponsor may agree to ratify its findings, if not too costly or unimplementable. For example, the Connecticut Department of Transportation (ConnDOT) formed a collaborative task force to deal with the difficult issues of rebuilding an interstate highway bridge and its approaches in downtown New Haven and agreed to accept the task force's consensus recommendations among alternatives if technically feasible and within the budget.

The sponsor sets broad limits on issues to be explored. A mission statement for the task force is clearly identified before it begins its work. The schedule reflects the complexity of the issue and the time required to come to a resolution within the task force.

Many sponsors observe groups in a non-participatory role without assuming any leadership function. Representatives of the sponsor respond to questions from the group and provide technical assistance while retaining a neutral position. Expressions of support for the process from high-level agency leaders also help sustain commitment and progress, especially when a task force is wrestling with difficult issues.

Who leads a collaborative task force?

A collaborative task force needs a facilitator to maintain the agenda and schedule and assure that all participants are heard. The facilitator assists participants in verbalizing or crafting positions and in developing a constructive process for group decision-making, problem-solving, and conflict resolution.

The facilitator plays a special role in the task force. Feedback and encouragement to the group are required to maintain progress in the development of issues and steps toward resolution. Facilitators need to tell the group when the process is doing well and warn them if a dead end or irresolvable conflict is approaching. They may need to coach and instruct task force members in methods of conflict resolution.

The facilitator must be viewed as neutral to the process but supportive of the goals and outcomes determined by the group. The chosen person may be from inside an agency but is typically an outsider provided by the sponsor. The group can dismiss the facilitator if it perceives that the person is not serving their interests.

What does a collaborative task force cost?

Significant resources are required. A facilitator experienced in group processes and conflict resolution is mandatory, and staff technical support required. Graphics--and in some cases, presentations by technical experts in language geared to lay people--are necessary to understand technical issues. Modeling of anticipated impacts, structural and engineering issues, and traffic simulations need to be explained. Each meeting can consume several hours.

Specialized consultants may be needed to provide a neutral facilitator or technical support for complex projects. Schedules are tailored to fit the needs of participants and the sponsor. Meetings may be held in the evening to allow participants to attend without interfering with daytime jobs. The time required for preparation is substantial, because each meeting must be tailored to the agenda determined by the group.

Policy support within an agency is required. Staff follow the course of discussions and respond to the need for information. A neutral meeting site not associated with the agency or any stakeholder must be selected. Staff work is essential for preparation of meeting minutes, notices of upcoming meetings, correspondence, newsletters, press releases, or advertisements about outreach events.

How is it used with other techniques?

A collaborative task force uses other techniques as needed. Brainstorming or a charrette can be integral to a task force's work as it seeks solutions to difficult problems. (See Brainstorming; Charrettes.) Visioning may establish a desirable goal to work towards. (See Visioning.) Facilitation is essential early in the process, when goal-setting helps establish a means to measure progress. (See Facilitation.)

A task force can sponsor its own events to apprise the community of issues and potential solutions. These events are useful ways to elicit and review community comments and to find responses as appropriate.

How is it organized?

The sponsor determines the interests to be represented on the task force and selects a facilitator. Typically, a cross-section of organizations is invited to participate, and each selects its representative to the group. The task force then identifies additional participants essential for broad representation. On two rapid transit lines in Boston, task forces were assembled for design of each individual station. The Federal Transit Administration has a current project to develop collaborative decision-making processes.

A collaborative task force has a target date determined by the sponsor to provide a framework for and guide scheduling. For example, in Canada a task force of 24 interest groups met over an extended period to plan a light-rail transit facility for Calgary, Alberta. A task force's mission may be defined by the sponsor in broad terms, but the group usually determines its own approach to problem-solving. It is self-governing, and its work is usually based on a consensus process rather than voting.

The sponsor sets an overall schedule, leaving detailed scheduling to the task force itself. The sponsor provides technical support, either from within the agency or from consultants familiar with the topic. To retain neutrality, the technical staff should not be co-workers of the facilitator.

The task force determines the need for a chairperson. The group develops its own norms or rules to guide the process over time. These may be explicit or implicit; in some instances they are prepared in written form to remind participants of their expressed intent.

The task force monitors its own progress. Where appropriate, the facilitator reminds the group of the agenda and schedule and makes suggestions to keep the work moving toward resolution.

What are the drawbacks?

The process is long and expensive. To achieve a full understanding of all issues, an extensive number of meetings and presentations is required. This long process demands patience, good will, and a commitment of continued funding. Participants must make an extensive commitment to the process. Staying with the program over a long period of time may be difficult for many individuals. Similarly, agency commitment is critical; the process can be long and wrenching.

A high degree of facilitation skill is required to keep the task force on course. Technical support is needed to respond to questions and prepare responses to unforeseen work that may be requested.

For further information:

Calgary, Alberta (Canada) (Light-rail study), (403) 268-1612
Connecticut Department of Transportation, Environmental Planning Division (Q Bridge Study), (860) 594-2939
Federal Transit Administration Collaborative Decision-Making, (202) 366-4060
Massachusetts Highway Department (Charles River Crossing Design Review Committee), (617) 973-7000
Texas Department of Transportation (Ft. Worth study), (871) 370-6542

Chapter 1. INFORMING PEOPLE THROUGH OUTREACH AND ORGANIZATION

B. INCLUDING PEOPLE WHO ARE UNDERSERVED BY TRANSPORTATION

Public involvement needs to encompass the full range of community interests, yet people underserved by transportation often do not participate. They not only have greater difficulty getting to jobs, schools, recreation, and shopping than the population at large, but often they are also unaware of transportation proposals that could dramatically change their lives. Many lack experience with public involvement, even though they have important, unspoken issues that should be heard.

Underserved people include those with special cultural, racial, or ethnic characteristics. Cultural differences sometimes hinder full participation in transportation planning and project development. People with disabilities find access to transportation more difficult and their ability to participate in public involvement efforts more constrained. People with low incomes often lack both access and time to participate. Poorly educated people may not be fully aware either of what transportation services are available or of opportunities to help improve them.

These groups are a rich source of ideas that can improve transportation not only for themselves but also for the entire community. Agencies must assume responsibility for reaching out and including them in the decision-making process--which requires strategic thinking and tailoring public involvement efforts to these communities and their needs. Techniques to reach the underserved are grouped here under two headings:

What does this mean?

Individuals from minority and ethnic groups and low-income households, women, children, and uneducated people often find participation difficult and are also traditionally underserved by transportation. While these groups form a growing portion of the population, particularly in urban areas, historically they have experienced barriers to participation in the public decision-making process and are therefore underrepresented. These barriers arise both from the nature of the system and from cultural, linguistic, and economic differences. Recent efforts to include many different cultural or disadvantaged groups in this process have been designed to assure basic, equitable access to the system rather than to favor one group over another.

Although America prides itself on being a melting pot of many peoples, deep differences in culture or income often impede participation. Language differences are only the most immediate hurdle to overcome in order to work effectively with various cultural groups. Economic barriers such as the costs of child care or transportation to meetings also hinder participation. More importantly, understanding and accommodating the deeper psychological and cultural differences--such as the various ways people interact with one another to make decisions, or their belief in their own power to do so--is the major challenge of getting people to work together successfully toward common goals. A starting point in effective interaction is calling people by the names they want to be called at the time. For example, at the time of this publication, American Indians prefer to be called that rather than native Americans, a term that includes non-Indian native Americans. Preferences change over time.

Today, agencies work to empower people to help define the kinds of processes they need to participate effectively. Thoughtful consultation with minority, ethnic, and low-income people enables agencies to identify specific barriers and find effective ways to overcome them. In Orange County, California, attendance at a series of introductory open houses for a major investment study was high for all sectors of the affected population except Mexican-Americans. In subsequent meetings with leaders from this community, county planners learned that these constituents were uncomfortable with the open-house format and intimidated by one-to-one interaction. Supplementary, informal, small-group meetings in Latino neighborhoods eventually brought increased participation.

Governments at various levels have played a significant role in protecting the rights of underserved populations. Presidential Executive Order 12898 of 1994 requires Federal agencies to identify programs, policies, and regulations with a disproportionately high and adverse effect on minority and low-income populations. The order directs Federal agencies to conduct their programs, policies, and activities so as to ensure that they do not have the effect of excluding persons from participation in or benefits of the programs. This can usually be done by modifying existing participatory programs.

The Intermodal Surface Transportation Efficiency Act (ISTEA) requires transportation plans to avoid a disproportionate impact of transportation policies or investments on traditionally-underserved communities. The Final Rule on Metropolitan and Statewide Planning requires MPOs and states to "seek out and consider" the needs of the transportation-disadvantaged.

Outreach to minorities and ethnic groups has several objectives in addition to the basic aims of public involvement:

These efforts widen the basis of consensus on an implementable plan or project. The greater the consensus among all community members, the more likely a plan or project will succeed.

Agencies can address issues specific to minority, ethnic, or other underserved groups. At the inception of its long-range plan, the Georgia Department of Transportation (DOT) had special forums for minorities so the planning process could address their concerns from the outset.

Local leadership may become more active. For the past fifteen years, the Houston, Texas, transit agency has had a good working relationship with all segments of the community, especially underserved populations. As a result, their leaders have been very active in the decision-making process, and controversy about transportation proposals is minimal.

Participation establishes trust and openness in the decision-making process. The St. Louis, Missouri, MPO works in close collaboration with minority, ethnic, and low-income groups from the beginning of planning and throughout the process, fostering a sense of ownership of the outcome.

How do underrepresented groups participate?

Community organizations and their leaders are invaluable in building communication between agencies and underrepresented groups. Often low-income people, for instance, are so busy eking out a living by working several jobs that they do not have time for grass roots participation; they rely on their community leaders to represent them in the process. The Albany, New York, MPO uses the Albany Service Corps (a job-training program for disadvantaged youth that is part of the national Americorps group) to distribute information to low-income communities. In many cases, agency staff can easily identify and reach out to community leaders as a first point of contact. The Virginia DOT distributes materials through the National Association for the Advancement of Colored People (NAACP) to reach minorities. Working with leaders also increases the credibility of the participatory planning process. Respecting ethnic tradition, the Alaska DOT has found it helpful to meet first with Alaskan native elders to establish a rapport prior to presenting projects to whole communities.

Community groups provide access to individuals and can serve as forums for participation. Agencies sometimes focus initial attention on active community groups to prepare for later approaches to the general public. MPOs in Portland, Oregon, and in the Twin Cities, Minnesota, work through established neighborhood organizations. Often, community organizations reflect community-wide concerns and can advise an agency on useful strategies for interaction. In Arizona, Tucson's MPO involved several Mexican-American neighborhood associations in updating its long-range transportation plan. In Chicago, Illinois, the Center for Neighborhood Technology brought minority groups into the existing regional citizen coalitions. Cooperation with community groups follows the "if it ain't broke, don't fix it" principle. If working through an established organization serves the purpose, an agency wastes effort by creating a new forum that probably will not work as well. Agencies need to be cautious, however, about presuming that any one group represents an entire community.

Religious organizations in particular are an effective way to reach minority and ethnic groups. Most of them have civic as well as religious activities and interests, along with a strong geographic base. They have broad constituencies and often have a strong ethnic or cultural focus. They are particularly good avenues for reaching people who are not active in the community in other ways. The Los Angeles Metropolitan Transportation Authority (MTA) has established communication links with African-American, Latino, and Asian religious institutions in order to increase participation of underrepresented groups. The Little Rock, Arkansas, MPO, works to establish good relations with, among others, the African-American Ministerial Alliance in its region.

Agencies need to make special efforts to communicate with people who use languages other than English. For example, of the approximately 2.5 million households in Los Angeles County, 40 percent speak a language other than English as their first language, and 13 percent speak no English. Thus, translations and bilingual speakers are often necessary. The Alaska DOT has produced radio spots in indigenous languages. In addition, translations to other languages, logos, and project terminology need to be carefully reviewed from a cultural perspective. A leading car manufacturer found that although a particular model sold well among the general population, it did not sell well among Latinos, because "no va" in Spanish means "doesn't go."

Understanding a culture is often critical. The Dallas, Texas, transit agency (DART) finds it helpful to research an ethnic group's customs and language. Changing demographics in East Dallas led DART to accommodate the language needs of Vietnamese, Korean, Japanese, Arab, Iranian, Ethiopian, and Nigerian communities. This outreach identified a need to provide training in several English-as-a-second-language programs on how to use the transit system. The custom of bus travel was unfamiliar to some participants and practiced very differently by others.

Agencies also need to recognize varied styles of communication derived from ethnic or minority cultures. In some cultures, for example, it is considered improper to disagree with authority. As a result, agency staff people attempting to assess community response to different alternatives have found it difficult to move beyond polite agreement with all alternatives. In other cultures, discussion with the entire community precedes decisions by its leaders, and elders may have a particular role in decision-making. In some groups, speaking up is interpreted as "making trouble." Agency staff members can learn about traditions and behavioral patterns by careful observation or by tactfully and privately asking group members what is going on. Group members familiar with mainstream culture are particularly good sources of such information. The Arkansas State Highway and Transportation Department reports getting a cool reception to its initial attempts at outreach through local churches. Research discovered that this was because its spokesperson addressed local congregations from the main pulpit--a place of honor reserved for the ministry. In subsequent visits, the representative moved to the regular platform, the audience relaxed, and constructive dialogue took place. In communities where there is reluctance to disagree or criticize, opinions may only be expressed after prolonged consideration or in very indirect ways.

American Indian tribal governments are considered domestic sovereign nations; i.e., they have a direct and special relationship with the Federal government as a result of treaties and are independent of individual States. For example, tribes deal directly with the Federal government in securing funding for Indian reservation roads if they are tribes on a reservation, even within an MPO. Agencies need to identify issues regarding American Indians and transportation needs, plans, projects, and outreach early in the process. Expert guidance (for example, from members of the Governor's Interstate Indian Council) should be sought in developing relationships with tribes, reservations, and individuals. Since tribes are eligible to apply for and be awarded separate funding, transportation practitioners need to consult with both Federal transportation agencies and local tribes to coordinate plans and projects.

How do agencies use the output?

Understanding the full range of a community's needs enables an agency to create more responsive and even innovative plans. Interacting with community members yields insight into the reasons why they support or disagree with proposed plans or projects. The perspective of traditionally-underrepresented groups casts a whole new light on the goals and outcomes of planning and project development--and one that is often at variance with the thinking of the majority and even of the agency itself. Ethnic and minority group members suggest fresh approaches to transportation issues that otherwise would not be raised. However, input from underserved groups is not "separate" from other input or given more weight; rather, to be most useful, it is integrated with and balanced by the needs and concerns of all interests.

Agencies may discern new or improved transportation options. Input from predominantly Mexican-American communities led to a hybrid option for transit in the Los Angeles Metro Red Line Eastside Corridor. In a mid-range of cost, the new option has the highest potential ridership and offers significant service advantages. The region's leadership and project planners agree that the new alternative is the best solution and readily admit it would not have been identified without the help of ethnic constituents.

Agencies also use community input to assure equity in the distribution of services and impacts. In order to do this, they must use a variety of techniques to solicit public input from the traditionally underrepresented population--particularly minority and low-income groups as identified in the Executive Order on Environmental Justice. Typical meeting announcements in newspapers and on radio, for example, may not reach these populations. Agencies need to understand how these populations get information. This could be, for example, in church bulletins, on grocery store or laundromat bulletin boards, and in community meeting places. (See Public Information Materials; Media Strategies.)

Who leads outreach to these groups?

Existing staff may lead, provided they have the appropriate skills or training. To be successful, they need to have an open-minded attitude, process skills, and sensitivity to cultural differences. They also must be committed to encouraging minority and ethnic group participation, not only because it takes persistence and creative thinking to foster inclusion of people who have historically been outsiders, but also because lack of such commitment is easily perceived and undermines trust and credibility.

To enhance the effectiveness of interaction, staff should come from a variety of backgrounds. As the Oregon-based Sensible Transportation Options for People (STOP) suggests, "Don't use all white men in suits" to interact with traditionally-underserved communities.

Special outreach coordinators can provide particularly strong leadership and demonstrate an agency's sincere commitment to responding to ethnic and minority concerns. A number of agencies hire staff specifically charged with outreach to the traditionally underserved. MPOs in Madison, Wisconsin, Seattle, Washington, Twin Cities, Minnesota, and Dane County, Wisconsin, all have a minority affairs coordinator. The Cape Cod, Massachusetts, Commission has two positions for minorities and one for American Indians. To enhance communication, Pennsylvania DOT uses an intermediary when addressing Amish communities, because this is their traditional way of dealing with outsiders. Only elders are allowed to speak with an intermediary. By communicating with an intermediary, DOT staff better understands the community's culture, dress code, language, and beliefs, as well as their specific transportation needs and concerns.

Consultants with special expertise or skills can also enhance the process. For a major investment study in transit, South Sacramento, California, utilized consultants with experience working in the affected ethnic neighborhoods. The St. Louis, Missouri, MPO regularly contracts with the Urban League for focus groups and information dissemination.

Translators or interpreters are essential to reach non-English-speaking groups. Many agencies now provide interpreters when needed, as well as translations of some or all of their information materials. Florida DOT has a bilingual affairs staff and a bilingual newsletter. The Los Angeles, California, MPO has "foreign language teams" for its region. The transit agency in Houston, Texas, prints information in up to five languages. For large meetings, the University of Massachusetts has tear-off pads saying "I need an interpreter" and provides translators in six different languages. In California, Orange County transit agency staff members wear blue dots on their name tags at open houses if they are bilingual. Alaska DOT has local residents volunteer to interpret for Eskimo communities.

Translations must take into account the fact that often minority people who do not speak English well also do not speak literary or standard forms of their native languages. Agencies need to make sure that translations are clear, easily understandable, and in an idiom native to the group to be reached. A Portuguese translation, for instance, must recognize that people from Portugal have difficulty understanding Brazilian Portuguese speakers, and vice versa.

What are the costs?

Costs are linked to the complexity of an issue. A large minority or ethnic community can be reached in traditional ways, through news media, literature, and informal meetings. However, when an issue is highly controversial, the need for participation intensifies, and agencies may need to use more varied and innovative techniques--resulting in higher costs in staff time and funding. Eliciting participation may involve translations and interpreters, advertising, and other special efforts.

Costs climb when a large number of underrepresented people needs to be reached. Encouraging disadvantaged groups to participate is time- and energy-consuming for agency staff. Some groups are typically more difficult to draw into transportation planning processes than mainstream participants. For the Miami East-West Corridor Major Investment Study, Florida DOT held an average of 30 meetings per month over a two-year period to reach the varied populations within the 22-mile study area. Communities, particularly the ethnic communities, continuously requested meetings and invited project staff to attend numerous meetings sponsored by neighborhood organizations. The agency estimates that staff participated in approximately 1,000 meetings on the project, ranging from one-on-one discussions to larger meetings.

How is such outreach organized?

A basic task is to identify which minority and ethnic groups require special attention for a transportation plan or project because of its impact on them. This can be accomplished through careful research about the communities potentially affected by a plan or project. (See Key Person Interviews.)

Agencies draw from the full array of formal techniques to involve minority and ethnic groups, along with others. Formal techniques are inclusion on committees, task forces, and other official advisory and/or decision bodies; participation in meetings and conferences; focus groups; surveys; and working through recognized neighborhood groups. In San Francisco, California, the MPO created a special Minority Citizen Advisory Committee as a result of a lawsuit in the mid-70s. It includes African-Americans, Latinos, and Asian-Americans. The Wisconsin DOT created focus groups for American Indians, African-Americans, and Latinos. As part of its long-range planning effort, the Nevada DOT sponsored meetings in which surveys were used to make initial contacts. These contacts were used to identify representatives of American Indian nations and to administer a more comprehensive survey of transportation needs and concerns in the reservations. The questions covered the condition of roads and access to public transportation, as well as services for the elderly and handicapped. Representatives from each of the 24 Indian nations in Nevada responded, as did the executive director of the Nevada Association of Nations.

Informal techniques are especially useful. They include developing relationships with underrepresented groups and networking within communities. During a corridor study in East Los Angeles, the transit agency's Spanish-speaking staff walked through the neighborhood, personally inviting people to attend --which resulted in high turnout. Creating partnerships between DOT staff and community members helps increase access and familiarity on both sides. Working together, they can develop strategies for outreach, anticipate the issues and concerns people are likely to raise, identify appropriate locations for meetings, and jointly sponsor ways for the community to get transportation information.

Many minority, ethnic, and low-income groups prefer small meetings. They are less intimidating and more conducive to interaction. Agencies that have turned to small groups for involving ethnic populations include DOTs in Alaska, Idaho, and Wisconsin. (See Small Group Techniques.)

Agencies can hold meetings where ethnic or minority groups cluster in the community. New Jersey Transit holds meetings in many unconventional places, including shopping malls, housing developments, senior centers, and work places. The Boise, Idaho, MPO reaches the underserved through group homes and head start centers. (See Non-traditional Meeting Places and Events; Media Strategies.)

Announcements in minority or ethnic news media can heighten interest in a process. In Seattle, Washington, the transit authority advertises in different languages in minority newspapers to obtain increased participation and greater trust in the agency's good will. The Twin Cities MPO in Minneapolis-St. Paul, Minnesota, interests the owners of minority media in an upcoming transportation process or project and, through them, the broader community. The MPO not only places advertisements but also receives much free public interest coverage from such personal contacts. The St. Louis MPO aggressively promotes public service announcements in minority media. Because radio is often preferred over newspapers, many agencies spend more funds and energy on this medium. The Sacramento, California, transit agency featured an interview and call-in show on a Spanish radio station. (See Improving Meeting Attendance; Focus Groups.)

Financial and other incentives may be used to improve attendance. The St. Louis MPO paid unemployed people to participate in focus groups. The Albany, New York, MPO provides scholarships for low-income people to participate in its conferences. The Alaska DOT paid airfare for some Alaska natives to attend meetings. In Montana, Blackfeet Community College offers American Indians college credits for attending community meetings. Agencies sometimes provide day care and/or transportation to help low-income people participate. The Portland, Oregon, MPO provides child care at large meetings, as does New Jersey Transit.

Outside financial assistance may be available. In connection with the New Mexico DOT's long- range planning, the Alliance for Transportation Research obtained a grant for a two-day conference for people not traditionally involved in transportation.

How is it used with other techniques?

Outreach to underrepresented groups is integral to an effective, overall public involvement program. The initial contact with minority, ethnic, or low-income communities not only helps reach a wider audience but also sets the tone for the subsequent process or project activities. Outreach promotes a spirit of inclusion for those communities that have been outside of the decision-making process.

Minority, ethnic, and low-income groups are empowered to help make transportation decisions. These groups can be invited to participate in civic advisory committees, task forces, and other policy bodies. (See Civic Advisory Committees; Citizens on Decision and Policy Bodies.) Such inclusion not only empowers these groups but also helps to "mainstream" them into the whole participatory effort. Many agencies have one or more seats for minority or ethnic members, including the Green Bay, Wisconsin, MPO; Portland, Oregon, Metro; and the Cleveland, Ohio, MPO.

What are the drawbacks?

Staff time and resources may be significant. One-to-one contact requires substantial staff time and energy. Administering an outreach program involves monitoring inquiries and responses, as well as documenting and answering numerous requests for meetings or briefings. Many ethnic groups lack a tradition of participation in government and require extra urging. For example, Miami's Cuban-Americans were reluctant to participate in planning for a new rail system in the mid-70s because public participation was not part of their cultural heritage. Planners turned to the Catholic church and the Latin chamber of commerce to obtain the perspectives of the public. Now assimilated, two decades later, this ethnic group participates vigorously. In fostering grass roots involvement, agencies need to assess carefully the cultures of each specific community, for there may be significant differences, even within an ethnic group.

Special efforts can encounter institutional resistance. Many innovative, creative techniques are different from past practices and may be initially uncomfortable for some agency staff. In some cases, this generates backlash. Local laws prohibiting expenditure of public funds to prepare material in languages other than English are one example. Planners who face misgivings about "special treatment" might note that techniques tailored to individual segments of the public such as business communities have long been common to effective public involvement programs.

Is such outreach flexible?

Outreach to minority, ethnic, and low-income groups needs to be inherently flexible. Agencies must constantly monitor and adjust their approaches to discover and capitalize on what works. During the project development phase of a new light rail transit system, the Denver, Colorado, transit agency disseminated information widely. One low-income neighborhood requested more information on the project. As a result, the agency established a neighborhood drop-in center both to provide more information to the community and to gather input about its concerns. (See Drop-in Centers.)

To be most effective, techniques may need to be altered or augmented, because styles of communication and behavioral patterns differ from culture to culture. Early, informal consultation with members of target groups about what barriers to participation exist and how to surmount them is essential. Often a more personal, direct dialogue is needed between agency staff members and individuals from ethnic or minority groups. When dealing with such groups, the Twin Cities MPO finds it useful to modify its meeting format to draw out the participants. It addresses the issues one-to-one by directly asking each participant his or her opinion. The Montana Native American Technology Transfer Technology Center phones individual members of the American Indian community to remind them that their attendance at an upcoming meeting is vital to assure a sound and responsive plan or program. For its project planning process, an Arkansas State Highway and Transportation Department representative attends as many as four different church services on Sunday mornings to invite people to participate. In rural areas, he goes to people working in the fields, before or after their shifts.

When is it used most effectively?

Outreach efforts to the underrepresented start early and extend throughout the process and are integrated with other public involvement efforts insofar as possible. Informing communities of events and providing status reports help to establish a good working relationship. This approach is also very effective in diffusing potentially controversial issues by addressing concerns early.

The advantages for early outreach in both project development and long-range planning include:

Public and staff education can begin even before a process or project planning effort is initiated. The Denver Transit Agency sends out meeting notices to schools for children to take to their parents. It also provides bilingual, educational coloring books as an incentive to attract children who, in turn, involve their parents. A key pre-initiation activity for agency staff is self-education about the culture of the affected communities. Reflecting his people's fear of vulnerability through public involvement, a participant at the National Congress of American Indians revealed, "Once I allow you to capture my concern that way, you can trade it off against other concerns, and I will lose." Clearly, transportation planners and project managers need to be aware of such issues as they attempt to establish good-faith communication and trust.

For further information:

Alaska Department of Transportation, Statewide Planning Chief, (907) 465-2171
Arkansas State Highway and Transportation Department, Environmental Division, (501) 569-2281
Florida Department Of Transportation, West Project Field Office, (305) 262-7033

Houston, Texas, Transit, Capital and Long-range Planning, (713) 739-4000
Los Angeles County Metropolitan Transportation Authority, Public Affairs Manager, (213) 244-6891
Nevada Department of Transportation, Carson City, Nevada, (702) 687-3463
New Jersey Transit, Executive Director of External Affairs, (201) 491-7130
Sacramento, California, Regional Transit District, Project Manager, (916) 261-4785
St. Louis, Missouri, MPO, Director of Policy and Programming, (314) 4241-4220

AMERICANS WITH DISABILITIES

What does this mean?

The Americans with Disabilities Act of 1990 (ADA) stipulates involving the community, particularly those with disabilities, in the development and improvement of services. For example, in rail transit planning, participation by the disability community is essential for a key station plan. In highway planning, it is essential in development of access at sidewalks and ramps, street crossings, and in parking or transit access facilities. Also, sites of public involvement activities as well as the information presented must be accessible to persons with disabilities.

ADA requires specific participation activities--particularly for paratransit plans. These include:

Why is it useful?

The disability community encompasses many people. As much as 14% of the population has hearing, vision, or mobility limitations. In addition, many other Americans are temporarily disabled during part of their lives--whether aged, infirm, or recuperating. In identifying and consulting with the disability community, agencies find a wide range of strikingly different needs. Ideas and input from people with disabilities provide insight about their needs in using the programs or facilities being developed. Additionally, people with disabilities participate as interested members of the community.

All events held for programs or projects with Federal aid and open to the general public must be made accessible to everyone, including the disability community. Special efforts are needed to comply with the statutory requirements of both the Intermodal Surface Transportation Efficiency Act (ISTEA) and ADA.

Who participates? and how?

People who have disabilities in sight, hearing, or mobility participate. People with sight impairments include those with visual impairment or total blindness. People with hearing impairments include those with partial hearing impairment or total hearing loss. People with mobility and self-care impairments include those in wheelchairs or on crutches, some elderly, people with children, and the temporarily disabled such as pregnant women or those recuperating from injuries. The Spokane, Washington, Transit Authority solicited disability community involvement through a "Rider Alert" program. Orange County, California, Transportation Authority scheduled one-on-one meetings with representatives of individual groups to obtain input to its planning effort. In Juneau, Alaska, public workshops were held to discuss compliance with ADA's transportation requirements.

Does it have special requirements?

Sign language interpreters may be required. They must be hired early, since they are in scarce supply. Two interpreters are necessary for meetings longer than one hour, to provide breaks for each other. Public notices for a meeting should state that sign language interpreters will be made available upon request, as was done by the Sacramento and San Mateo County, California, Regional Transit Districts and the Johnson City, Tennessee, Transit System. An individual who is both blind and deaf can be accommodated by a deaf/blind interpreter, who uses sign language in direct contact with that person's hands.

Listening assistance may be required, depending on the meeting place. For example, small machines are available to amplify speakers' voices via an FM transmitter and receiver system heard only by those with hearing disabilities. It is possible to rent or borrow them from a State commission for the deaf. In Massachusetts, the Guild for the Hard of Hearing offers them on loan. Many meeting rooms in newer buildings have embedded in the floor an FM loop to be used for transmission. A State commission for the deaf may have Computer-Aided Real Time (CART) reporting in which the reporter transcribes proceedings onto a screen during the meeting. Cable television stations at meetings may bring interpreters for deaf persons or may provide interpretation or captioning in rebroadcasting.

A telecommunications device for the deaf (TDD) is essential for communicating with people who are deaf or have communications impairment over the telephone. Under ADA, all public agencies should have this inexpensive, modem-like device connected with a telephone into which messages are typed rather than spoken. A small light-emitting diode (LED) screen on each machine shows the message. In some machines the message may also be recorded on paper tape.

Sight-impaired people require materials in accessible format. Prior to meetings, the Williamsport, Pennsylvania, Bureau of Transportation advertises the availability of its plan in large print, tape, Braille, and computer diskette formats. The Delaware Administration for Specialized Transportation certifies that plans are available in accessible formats, either in large print or on cassette tape. For people with sight impairments, documents are prepared in large (22 point) print in Fayetteville, North Carolina. Meeting announcements are prepared in large print in Wheeling, West Virginia. The Phoenix, Arizona, Regional Public Transportation Authority used large, bold, sans serif typefaces in its questionnaire on a plan update. Whichever formats are chosen, the person making the request must be able to use them.

How do agencies use the output?

Agencies' efforts are not fully inclusive of everyone's ideas until they include people with disabilities. This requires an expansive approach to accommodate the population that is disabled and that would not otherwise be accommodated in transportation plans or processes.

Who leads the process?

Every State and MPO should make events accessible to people with disabilities. Information on accessibility needs is offered by State commissions dealing with disabilities, deafness, rehabilitation, or blindness, as well as by local agencies or advocacy groups. Many of these groups assist in doing outreach for transportation processes.

Each State has been asked to help people with disabilities through formation of an Assistive Technology Partnership, which is Federally funded to provide information, research, and training on ways to assist such people. In some cases, State agencies are a central focus for assistance to individuals with disabilities. In Massachusetts, for example, the Commission on the Blind, the Association for the Blind, and the Vision Foundation provide telephone tapes to sight-impaired people. These three services receive information about dates or events and transfer that information to audio tapes.

What does it cost?

Assistance need not be expensive, but it requires special care and attention. Staff members need education to be mindful of the special needs that must be met in setting up public meetings and hearings. In some cases, it is appropriate to hire a staff person trained in dealing with these needs. In other instances, it is possible to use existing State or local agency services.

How is it organized?

An accessibility checklist for meetings and hearings:

1. Accessible meeting or hearing site:

How does it relate to other techniques?

All meetings or hearings must be accessible to comply with ADA, if they are open to the general public. (See Public Meetings/Hearings; Open Houses/Open Forum Hearings.) This includes most public meetings or hearings, as well as charrettes, brainstorming sessions, and visioning meetings. (See Brainstorming; Charrettes; Visioning.) Civic advisory committees can serve the interests of persons with disabilities with appropriate representation of them. (See Civic Advisory Committees.) Many committees and focus groups where participation is by agency selection of representatives may not need to be fully accessible, but special arrangements need to be made for the disability community or its representatives.

What are the drawbacks?

There are no drawbacks to involving the disabled community. The process is not fully inclusive of all community interests until they are represented. Efforts that relate only to people with disabilities isolate them from other parties. The goal of public involvement is to include everyone in the process. This can be done by making community participation accessible and by promoting integration of people with disabilities with many other people who want to have a voice in transportation.

When is it most effective?

All events may attract people with disabilities. Special efforts and events are useful to attract people with disabilities and to encourage their participation in the process. When the expertise of the disability community is used to make an event accessible, it is likely to be more effective. (See Non-traditional Meeting Places and Events.)

For further information:

American Association for Advancement of Science, Barrier Free in Brief, Voice/TDD (202) 326-6630
Capitol Transit, Juneau, Alaska, (907) 789-6901
Massachusetts Assistive Technology Partnership Center, Voice (617) 735-7820, TDD (617) 735-7301
Project ACTION, ADA Public Participation Handbook, (202) 347-3066, (800) 659-NIAT (Voice/TTY)
RESNA Technical Assistance Project, Technical Assistance Personnel Directory, (202) 857-1140

Chapter 1. INFORMING PEOPLE THROUGH OUTREACH AND ORGANIZATION

C. PROVIDING SUBSTANTIVE INFORMATION AND ESTABLISHING METHODS OF COMMUNICATION

Public involvement is a two-way street. In order to participate effectively in transportation project development and planning, people need ways to both get information from an agency and give information back to it.

On the one hand, then, agencies need to provide attractive, eye-catching materials that convey the appropriate "message." Desktop publishing and ever-changing communication technologies offer agencies new, faster, and more varied ways to capture the public's interest and give them the information they need to understand what is being proposed. This variety allows agencies to tailor public information pieces to specific purposes, media, audiences, projects, or plans and to update them quickly and easily.

On the other hand, agencies need to offer people effective, easy ways to communicate so that the ideas and concerns of the community are heard and attended to.

The following section describes some techniques that help agencies provide information and establish communication with the public:

MAILING LISTS

What are mailing lists?

Computer technology has revolutionized the process of compiling and updating mailing lists--a staple of most public involvement programs. Simplicity, ease, flexibility, and speed now characterize the once-cumbersome process of maintaining and using collections of names of those affected by or interested in a project or plan--including organizations, residents, media, elected officials, abutters, agency personnel, interest groups, and others. Agencies use mailing lists throughout planning and project development to keep a thumb on the pulse of the community and other key people. Lists include addresses but may also include telephone and FAX numbers or other information to aid in contacting people in a variety of ways. Using mailing lists, a transportation agency reaches an audience with announcements of upcoming events, meeting invitations, newsletters, summary reports, and other information about its activities.

List size is affected by a number of factors, including stakeholder population and the scope of the project, study, or plan for which names are being collected. The Atlanta Regional Commission's Family of Partners has 1,200 names. Some organizations maintain larger lists; Portland, Oregon, Metro's list comprises 60,000 names. The Central Puget Sound Regional Transit Authority (RTA) retains an outside list-management firm to handle its large master list, while smaller, more frequently used lists are maintained in-house.

Why are they useful?

Mailing lists help an agency organize its public communications, particularly when lists are kept up-to-date on computer. New Jersey Transit, with approximately 1,000 names on its Monmouth-Ocean-Middlesex Counties mailing list, identifies names and addresses, group affiliation, municipality, county, facsimile number, and committee membership. It can assemble a mailing to specific groups or committees by using computerized search and sort capabilities. The master mailing list of the Portland, Oregon, Metro includes names gathered by several of its divisions. These lists are combined and sorted by computer to avoid duplicates when the agency wishes to contact the entire group.

Mailing lists demonstrate an agency's outreach efforts. A large mailing list shows that an agency has tried to reach many people. A list demonstrates that an agency has worked diligently to justify funding for a project or to involve or interest the public in its work.

Mailing lists allow agencies to provide updated information quickly. As agencies become more active in reaching out to communities, people expect to receive continual updates on meetings.

Mailing lists can focus on a targeted group of people. Those most affected by a proposal want to receive information on an agency's intentions and on the progress of the work. Special efforts should be made to include names of those who should be interested in what the agency is doing.

Computerization maximizes the flexibility and usefulness of mailing lists. From a database list, computers can generate mailing labels or customize the greeting in form letters. This "merging" of names with form letters allows personalization of each letter, rather than addressing a generic "Resident" or "To Whom it May Concern." Computers generate lists and sort according to specific criteria, such as zip codes. They also facilitate updates of information.

Computerized mailing lists form records of persons an agency has contacted. They can contain information gleaned from sign-in sheets, phone-call logs, and correspondence. New Jersey Transit uses its list as a record of meetings and events attended by individuals, as well as of their individual issues and concerns.

Agencies analyze mailing list information to evaluate programs. Agencies examine the effectiveness of a public involvement program by comparing the names on its mailing list with the names of people who have responded or participated. Areas where the population has not responded can be targeted for special attention.

Do they have special uses?

Mailing lists provide an off-the-shelf pool of potential committee and task force members, particularly if they comprise names of people who have signed in at meetings, called in to a hotline, or expressed interest in an issue--in other words, people who may want to serve in an advisory capacity. (See Civic Advisory Committees; Collaborative Task Forces; Citizens on Decision and Policy Bodies; Hotlines.) In Georgia, the Atlanta Regional Commission (ARC)--a Metropolitan Planning Organization (MPO)--developed a Transportation Resource Bank of over 1,200 names of people who signed in at its planning meetings. For a subsequent major investment study, ARC contacted people on the list to develop a set of committee representatives with a variety of perspectives.

Agencies can reach all property owners who are affected by a project or program. New York State Department of Transportation (NYSDOT) uses tax maps to identify holders of property within a certain distance of a project. The DOT then sends them mailings about the project and associated hearings.

Mailing lists are used as a basis for surveys. Larger lists are better in this respect, since they take a larger sample of a population. Lists comprising registered voters provide a random sample, while lists of people who are interested in a project define a self-selected group. A survey to this type of group is still useful, since the respondents are more likely to be well-informed. However, such a survey should not be regarded as statistically valid (i.e., it does not represent the opinion of a representative sample of the population). (See Public Opinion Surveys.)

How are mailing lists compiled?

Agency staff develops a list of people who want to receive information. A small, active list of people begins the process and then grows over time as more people become involved. Additions to a list are often keyed into agency actions or specific milestones in a project or planning effort.

People get on a list by signing in at a meeting. People also participate when they phone in comments or suggestions to an agency, if the agency makes a record of the caller's name and address. Agencies offer mail-in coupons in newsletters or local newspapers to encourage people to get information by joining the mailing list.

Mailing lists can and should be shared among offices within an agency and perhaps with other agencies and organizations. Outreach is enhanced as the number of names increases, and sharing information helps keep the costs of list maintenance reasonable. The Capital District Transportation Committee (CDTC)--the Albany, New York, MPO--has assembled lists from other groups, including New York State DOT, New York State Thruway Authority, freight industry organizations, the Women's Transportation Seminar (WTS), the Institute of Transportation Engineers (ITE), the American Planning Association (APA), and Delta Nu Alpha (a fraternal organization of transportation professionals). For 10 projects along San Francisco's waterfront, the City established a shared mailing list of more than 3,000 participants with interests of individuals coded by project.

How are they organized and maintained?

The most basic task is to assess needs and expectations for the list. What information does an agency want to distribute? What methods will be used to package the information? How frequently will the list be used? How much effort can be put into its maintenance? What resources are available?

A second step is to structure the information to be maintained. On computer, each individual's information constitutes a separate record, which is organized in categories called fields. A basic set of fields might include:

Name
Street number
Street name
Post office
State
Zip code
Municipality (often different from Post Office)
County
Phone number
Facsimile number
Optional information could include:
E-mail address

Occupation
Household size
Adults in household
Affiliation (government official, interest group, etc.)
Meetings attended
Mailings sent
Statements or other responses made
Membership on committees
Source of information if names are an assemblage of other mailing lists

Some fields may remain blank for some individuals. Most records include only names and addresses. A new field may be added at any time when a mailing list is used for a specific purpose, such as keeping track of attendance at a particular meeting.

A third step is to gather names and addresses. A variety of information-gathering methods allows an agency to reach a large portion of the population. Organizations use hotlines to build their mailing lists by having callers leave names, addresses, phone numbers, and other useful pieces of information. (See Hotlines.) Agencies might work with an organization that reaches most or all of the population via services such as motor vehicle registration, voter registration, tax returns, or utility billing. The Minnesota DOT cooperates with utilities to send mailings out via utility bills. Albany's CDTC used the local phone book to identify stakeholders and interest groups for a survey of the freight community. The Portland, Oregon, Metro linked tax assessor's information and addresses for all property owners in the region to its geographic information system (GIS). Metro uses this program to inform people within a specific geographic area, municipality, street, or census tract.

A fourth step is to enter the data onto the list. This is a continuous process as new people attend meetings or use hotlines, addresses change, or an agency takes steps to broaden its constituency. Again, computerization greatly facilitates this process. Albany's CDTC and the San Diego Association of Governments send out return-mail postcards to people on its list. Recipients are asked to return the cards, updating the information if they wish to remain on the list. Those who do not return the card are dropped from the list, thus making it more cost-effective.

A fifth step is to use the list for mailings. A list can be printed out directly on envelopes or on labels for newsletters, announcements, and flyers. It can be merged with a form letter for personalized contact. Specialized lists may be developed from a master list by sorting the records according to a parameter within a single field. To conserve expenditures in agency staff time and energy, private services such as mailing houses can handle large mailings.

These steps constitute an ongoing process. As the list expands and changes, it can be reassessed for its value to the agency. New names and information are added to keep a list up-to-date. The Alaska DOT has kept a mailing list for 30 years. It includes members of the public but changes over time to reflect new elected officials and representatives from neighborhood and Alaskan native groups.

How are they used by agencies?

Agencies send out information in a variety of ways. General information, such as newsletters, meeting announcements, or invitations, can go out to an entire list. (See Public Information Materials.) When sending specialized reports and other documents, the Central Puget Sound RTA, the Southwest Pennsylvania Regional Planning Commission, the Atlanta Regional Commission, and Albany's CDTC all sort their lists to target specific stakeholders. For a transportation improvement program, an agency may send a summary to an entire mailing list, along with a notice that the complete report is available, while sending the full document to a selected group.

Agencies disseminate information and keep a record of interested parties. Agencies can keep records of comments received as well as personal profiles. Records of comments give agencies access to the opinions of a segment of their constituents. The San Diego, California, Association of Governments uses its mailing lists to keep track of the memberships of over 40 committees.

Agencies maintain a master list, with subsets to contact on specific issues. Agencies add names collected during all outreach activities and sort the list for people interested in a particular issue for a targeted mailing. In Washington State, the Central Puget Sound RTA maintains a master list of all names and a priority list of people with a greater level of responsibility. If an agency is about to make a presentation to the governing body of a town, people from that town can be selected to receive notices or invitations.

Who leads?

Agency staff leads in setting up a mailing list. The effort of building and maintaining mailing lists is often significant and requires the support and commitment of an agency's senior management.

Mailing lists need an organizer and caretaker to determine the fields to be included and to keep the list up-to-date. A skilled and creative clerical person with good computer skills and attention to detail can easily execute the work. Organizers of meetings and other public events can be enlisted to collect names and addresses of participants.

What are the costs?

Building and maintaining a large mailing list is a labor-intensive process that can be fairly expensive. Albany's CDTC allocates about 5 hours per week to maintenance of its database (approximately 900 names). Additional time is needed during peak periods when a large number of names is received or if a large mailing is underway. The San Diego Association of Governments dedicates approximately 10-15 staff hours per week to administration of its list (approximately 11,000 names). A Portland Metro staff person dedicates virtually all of her time to maintaining its 60,000-name mailing list.

Mailing lists are labor-saving devices, particularly if computerized. They allow an agency to contact many people at one time with individualized letters or other materials. They save staff time on phone calls. A well-organized, computerized list simplifies clerical tasks related to correspondence, which can lead to a reduced clerical workload and an associated cost reduction.

Equipment requirements are fairly modest. Most data management software packages can run on a desktop computer and are available for under $300. Data storage is an issue if a list becomes especially large, but a large list can be stored on a computer's hard drive or cartridge and backed up on floppy disks. Mailing labels or envelopes can be printed out on most standard printers.

Large lists incur significant mailing and printing costs, but there are economies of scale. A typical newsletter is cheaper to print after the first 1,000 copies. Bulk mail costs vary, depending on the number of pieces sent to each zip code. If an agency wants to blanket a community, newspaper inserts are a good alternative to bulk mailings. New Jersey Transit recently used newspaper inserts to distribute 50,000 newsletters to key communities in the Burlington-Gloucester major investment study area and 25,000 newsletters to its Monmouth-Ocean-Middlesex major investment study corridor. For smaller mailing lists, other options may be more attractive. Bulletins from San Francisco's Bay Area Rapid Transit District (BART) reach a list of about 500-600 businesses via facsimile machines.

How are mailing lists used with other techniques?

A mailing list is a basic building block of a good public involvement program. It allows an agency to stay in direct touch with people who have an interest in its planning and projects. Used periodically throughout a process to distribute information, mailing lists require and contribute to a record of people interested in transportation.

Mailing lists are used to structure information from other techniques for gathering names. These include hotlines, other telephone logs, and communications logs. (See Hotlines.)

Mailing lists are used to send out newsletters or other publications. Newsletters, pamphlets, or other printed matter update people on the progress and major milestones of a project or planning process. Announcements of public meetings, open houses, and other events are facilitated by a well-maintained mailing list. (See Public Information Materials.)

Mailing lists are a basis for on-line contacts with participants. Kansas City, Missouri's MPO, the Mid-America Regional Council, is developing its mailing list into a civic advisory network to reach people on the Internet as well as through postal services. (See On-line Services.)

Mailing lists help set up civic advisory committees or other groups. The New Jersey DOT, the Atlanta Regional Commission, and the Southwestern Pennsylvania Regional Planning Commission in Pittsburgh use mailing lists to look for potential members of Community Advisory Committees, focus groups, or ad hoc task forces. (See Civic Advisory Committees; Collaborative Task Forces; Focus Groups; Citizens on Decision and Policy Bodies.)

Mailing lists help in administering community surveys. Washington State DOT has used its mailing lists to distribute surveys. The Portland, Oregon, Metro mailed a survey to 400,000 people (60 percent of households in the metro area) and received 20,000 returns, a 5-percent response rate. As part of its Transportation Policy Plan Study, Pennsylvania DOT sent out a survey attached to its newsletter and received approximately 400 responses. It should be noted that mailing lists are usually not a statistically valid method of surveying. (See Public Opinion Surveys.)

Mailing lists help in setting up speakers' bureaus. The Atlanta Regional Commission has used its mailing list to develop a speakers' bureau that consists of a number of volunteers who meet with interested groups to discuss transportation issues. This "Family of Partners" (a concept also being explored by Georgia DOT) was developed using ARC's list of meeting sign-ins. (See Speakers' Bureaus and Public Involvement Volunteers.)

What are the drawbacks?

The principal drawback is the amount of time needed to set up a list. This time commitment entails a significant labor cost. Postage and printing costs for large lists also put great strain on a budget.

To be cost-effective, mailing lists must be kept current. Albany's CDTC and the San Diego Association of Governments send return postcards to help weed out names of people who are not interested in being kept on the lists.

Mailing lists can exclude a segment of the population. Traditionally-underserved populations, such as immigrants or poor people, are particularly vulnerable to being excluded. These people frequently do not come into contact with an agency until a direct impact becomes an issue. Special efforts can broaden the reach of an agency's mailing list. (See Ethnic, Minority, and Low-income Groups; Americans with Disabilities.)

Trading names and addresses with other agencies is an issue. Some people are concerned about their privacy when agencies trade their addresses. Agencies need to inform people that lists will not be used for commercial purposes but for keeping people abreast of recent developments.

Mailing lists are not a statistically-valid basis for surveys. Agencies should be cautious when using data received from surveys, particularly those from small lists. A list built from sign-in sheets and committee memberships represents a self-selected group, not a methodically-selected random sample of the population. (See Public Opinion Surveys.)

Sometimes agencies rely excessively on mailing lists to maintain contact with the public. Often, the public treats bulk mailings as junk mail and ignores them. Agencies need to remember that mailings cannot replace direct contact through meetings, focus groups, drop-in centers, etc.

Are mailing lists flexible?

Mailing lists are applied to a multitude of tasks, including the building of committees, focus groups, and task forces, distribution of surveys, and of course the distribution of notices, newsletters, and reports. They can be tailored to contain virtually any informational category. Lists can be sorted to make sub-lists of people based on location, occupation, issues, interests, or other criteria.

When are they used most effectively?

Mailing lists are used throughout a process and for many purposes, but they should be linked to other public involvement activities. A mailing list is meaningless unless an agency has newsletters, announcements, invitations, or other printed materials to send to the public. (See Public Information Materials.)

For further information:

Alaska Department of Transportation, Juneau, Alaska, (907) 465-6971
Atlanta Regional Commission, Atlanta, Georgia, (404) 364-2575
City of San Francisco Chief Administrative Office, (415) 554-5782
Mid-America Regional Council, Kansas City, Missouri, (816) 474-4240
New Jersey Transit, Newark, New Jersey, (201) 491-8077
San Diego Association of Governments, San Diego, California, (619) 595-5300
Washington State Department of Transportation, Olympia, Washington, (206) 705-7958

PUBLIC INFORMATION MATERIALS

What are public information materials?

Public information materials are materials that provide information about a transportation investment that is underway or in the planning stage. They are usually printed but sometimes are video or tactile. Public information materials are an essential form of communication in any public involvement process. The substance of the materials can be factual, present a point of view, or in some instances be legally required and thus need special drafting.

Public information materials communicate quickly. They are often visually appealing, and many need not include a great deal of detail. Some materials are quite small and contain a single item of information, like a logo for a metropolitan planning effort or a telephone number for more information. Some are geared to individual recipients, while others such as billboards reach out to a mass audience. Public information materials can summarize large amounts of information simply and in straightforward fashion. A sample range of public information materials includes:

advertisements--display and legal notices
badges and buttons
billboards
brochures
display boards
electronic media
fact sheets
fast-food placemats
fliers
grocery bags
magnets
models
news articles

newsletters
newspaper inserts and articles
notices
on-line home page
posters
press releases
progress bulletins
public service announcements (paper, video, radio)
slides and overheads
summaries of reports
utility bill stuffers
videotapes

Why are they useful?

Public information materials provide basic information about a process, project, or document in a fast, concise, and clear way. They often summarize or capsulize the overall thrust of a process. They provide information on what to do to respond, comment, get more involved, or get on a mailing list for a project or study. (See Mailing Lists.)

Public information materials are an easy way to update information periodically for people who aren't actively involved in an issue but who are curious or interested about its status. Often this is a very large group with fewer information needs than those who are intensely involved and need information frequently and in more depth.

Public information materials make it easy for people to find information. They are widely distributed to many people for maximum effect. Public information materials increase the chances that people actually get the information, because distribution can be extensive and less reliance is placed on press releases, word of mouth, or memory.

Information can be presented in graphic, non-technical, and non-verbal ways. Renderings, simplified diagrams, models, and cartoons communicate information different ways. An Idaho Department of Transportation (DOT) poster featured a cartoon map of a construction project. San Francisco's Municipal Transit System (MUNI) used models to show how key stations would be adapted to accommodate disabled people.

Public information materials target a broad public beyond those who attend meetings. They expand the number and geographic distribution of those who can become informed and participate. (See Media Strategies; Improving Meeting Attendance.) The city of Worcester, Massachusetts, distributed pin-on buttons saying "Route 146 and a Piker, too!" to promote a new turnpike interchange and highway expansion project; the pins were distributed throughout the region. As part of its "Open Market Plan," the Rochester, New York, Telephone Company inserted information and a survey with a billing to all of its 340,000 residential customers.

Public information materials can be tailored to a specific aspect of a project or plan. They can focus on a geographic area, a particular mode of transportation, or one element of a plan, such as evaluation criteria. The Sioux Falls, South Dakota, Council of Governments produced brochures on specific transportation modes, including one on bicycle access.

Public information materials can be fun, interesting, and attention-getting. They engage people casually. Under its "One Percent for the Arts" program, the Regional Transit Project in Seattle, Washington, used a host of amusing, non-technical materials during its planning process, including posters, badges, public service announcements based on interesting conversations, transit music, and video art performances. TV and newspaper ads highlighted the transit planning activities underway by using a character called "avoidance man," an everyday citizen who attempted to ignore messages about the worsening state of transportation in the Puget Sound Region.

Do they have special uses?

Public information materials help people decide to participate. Attractive, well-illustrated, easy-to-understand materials make it easy for people to comprehend a process or a proposal. If they highlight ways for people to participate, community members may decide to get involved.

Public information materials get children involved. Games, placemats, and posters have been used to attract children to transportation projects. The Denver, Colorado, Regional Transit District created coloring books to teach children about light rail and safety. Amtrak and the Chicago Rapid Transit Authority prepared paper engineer's hats for children. Amtrak distributed placemats with drawings that challenged children to find an engineer and other rail personnel hidden in a crowd. The Federal Aviation Administration prepared a connect-the-dots game and an activities book highlighting the life of the first black airplane captain, August Martin. For Portland, Maine, Comprehensive Transportation Study, materials were sent home with elementary and junior high school children.

Public information materials can be multilingual. Extensive or even moderate use of multilingual materials can create goodwill and demonstrate that an agency is trying to reach out to all groups. (See Ethnic, Minority, and Low-income Groups.) In Denver, Colorado, billboards in English and Spanish were used to inform people about an upcoming light rail project.

Public information materials encourage people to seek more information. The design of a piece can attract attention and encourage questioning. It can become a symbol of a process or project.

Who participates?

Nearly everyone can use public information materials. An emphasis on visual presentations makes it possible to reach people who are busy and have only a few moments to catch the message; they appreciate concise informative messages. The visual element makes it possible to reach people who may have difficulties in reading, such as the elderly and children. Visual information should be supplemented by materials designed to reach those with sight impairments. (See Americans with Disabilities.)

Even technical and planning staff can benefit from the brevity of public information materials. In the New England Transportation Initiative (NETI) regional study, a newsletter describing alternative investment scenarios was often used and cited by the Policy Committee. Although the full document of the scenarios was relatively short, the two-page description had icons for visual cues, making it easier to read and comprehend.

And how?

People read or view public information materials in a variety of locations. They read it in print, see it on television, or hear it on radio. They review brochures or other printed material at home. They view displays in public buildings or at meetings. Libraries, state DOT offices, transit stations, or city halls are good locations to lend videotapes, provide summaries of reports, and distribute other public information materials. In San Francisco, information on transit service and joint development activities was placed in prominent locations on turnstiles.

People request information materials. In instances where wide distribution is impractical, agencies can make materials available on request. This is particularly true of reports, report summaries, slide shows, or videos. Pennsylvania DOT produced several videotapes to lend to residents on request. (See Video Techniques.)

Community residents can participate in preparing public information materials. Members of the Citizen Planning Committee of the San Francisco, California, Bay Area Rapid Transit District (BART) wrote articles for a newsletter for a joint development planning study newsletter.

Public information materials reach people at restaurants and stores. Restaurant or fast-food placemats with information about a project are seen by people who may not read news articles about transportation projects or listen to public service announcements. The Portland, Oregon, Tri-Met combined grocery shopping with information about transit. Working with a grocery vendor, Tri-Met printed messages on grocery bags, printed its logo on grocery advertisements, stuffed a flier in each grocery bag, and handed out magnets printed with a logo at the cash register.

Public information materials show that an agency understands and values communication with people other than technicians and bureaucrats. For the Central Artery North Area project in Boston's Charlestown neighborhood, the Massachusetts Highway Department produced a two-sided color poster, "Charlestown in 1999." The poster described community development goals, illustrated by an artist's view of neighborhood development after the highway was depressed. This poster touched lightly upon the engineering feats needed to depress the highway, reflecting the interests and concerns of the community about the future.

Who leads production of public information materials?

Experienced staff with communication, public involvement, desktop publishing, graphics, and writing skills lead the production process. Staff members need knowledge of community issues. The leader must be able to translate technical information into terms that lay people can easily understand. Denver, Colorado's transit district uses non-engineering personnel to direct the public information process to be certain that technical issues are stated in simple, easy-to-understand language.

Other agency staff get involved, including the public relations staff. Policy staff members review material for consistency with an agency's mission and other activities. People skilled in graphic design and production are key to well-prepared information materials. To save money, people skilled in desktop publishing can make changes and updates quickly and efficiently. A desktop-published product usually is more effective than a simple, word-processed piece, because it incorporates graphics, columns, and illustrations in an attractive and easy-to-comprehend way.

Private companies and institutions can assist in the production process. This may involve donating billboard or exhibit space, paying for printing, producing public service announcements (PSAs), or helping get editorials printed or aired. During the Atlanta, Georgia, Regional Commission's Vision 2020, local business and civic leaders wrote seven guest editorials for the area's biggest newspaper.

How do agencies use public information materials?

Public information materials can test concepts or policies for agencies. A fact sheet on a proposed policy position generates comments and objections. Agencies use public information materials to explain a policy position or invite public comments. By presenting information in an uncluttered way, without a great deal of detail and technical information about options and alternatives, an agency's message becomes clearer. The NETI Policy Committee issued a newsletter asking people to comment on potential policy shifts in transportation infrastructure investment, airport planning, and growth management planning, among other issues, before it voted to adopt any new policies.

Public information materials can focus on issues that affect a given area or subarea, highlighting concerns about alignment, noise, travel time, etc. For Boston's Central Artery/Tunnel project, a project-wide newsletter included neighborhood-specific news bulletins to keep people up-to-date with local happenings.

Public information materials improves awareness of a planning process. They provide information on how to get involved. The Texas State Department of Highways and Public Transportation updates people on the North Central Expressway reconstruction project through a quarterly newsletter.

Public information materials offer opportunities for private-sector involvement. Public-private partnerships are forged through donations of billboard spaces, newspaper inserts, or utility bill stuffers to help reach more people with information about a process.

Agencies form useful links with the media. Newspapers, especially those in local communities, are not as constrained for space as radio and television and are thus more likely to print articles, graphics, newspaper inserts, and calendar listings. Progress bulletins and press releases give reporters ideas and factual information for articles about a project. (See Media Strategies.) In Boston, a neighborhood newspaper periodically printed articles and graphics submitted by the Massachusetts Highway Department to prepare people for upcoming meetings.

What do they cost?

The cost of public information materials varies widely, depending on complexity and volume. Small ones, such as brochures, fliers, or newsletters, are relatively inexpensive to produce, even on a large scale. Materials are expensive to produce if they require four-color printing, large display panels, models, or billboards. Costs are less per unit in volume printings: not counting staff time, printing 1,500 copies of a newsletter might cost 35 cents each, while 5,000 copies might cost less than 20 cents each.

Desktop publishing produces public information materials relatively inexpensively. Brochures, one-page progress bulletins, and fact sheets with simple graphics can be produced on a personal computer. Use of color grabs attention and enhances the attractiveness of a public information piece but also increases the costs to produce it. The Maryland DOT produced a five-page booklet describing the State's approach to a program of transportation enhancements. In a simple, straightforward way, the booklet provides details on a relatively new and unknown program, along with telephone numbers for more information. The Iowa DOT's "Need Answers?" pamphlet has staff names and telephone numbers accompanied by a map of districts.

Private-sector donations cut costs, as do cooperative efforts with other agencies. Private organizations may distribute printed information materials in grocery bags or utility bill inserts. Media organizations may run meeting notices and PSAs free. Transit agencies may display free advertisements in transit vehicles. Literature might be distributed at toll booths. Billing agencies might include information materials with their mailings.

Costs are incurred for staff time spent in production. Written information, such as PSAs and news articles, takes time to produce. Designing and developing graphics can be expensive, and the process from concept to development to camera-ready can be lengthy. Outside consultants are sometimes needed for major items such as displays or models.

Costs are closely related to the visual quality of public information materials, but quality is crucial. A piece that is visually bland, cluttered, dull to read, or otherwise unattractive obscures the message. As in advertising, attracting people and getting them to read or look at materials requires eye-catching, good-looking designs. The Arizona DOT's Mt. Lemmon highway reconstruction project in Tucson used the slogan "Lemmon Aid" in bright yellow on black in its eye-catching brochures and posters.

Costs are incurred in distribution. Bulk rates are available to help reduce mailing costs. An alternative is door-to-door distribution by volunteers. (See Speakers' Bureaus and Public Involvement Volunteers; Drop-in Centers.) The Houston, Texas, transit agency reaches apartment dwellers by hanging materials on their doorknobs.

How is production organized?

Public information materials are conceived at the beginning of a plan or project. They can be oriented to support key goals and milestones of the participation and technical planning processes. A time line for production and distribution is prepared. Materials are planned to coincide with major events and give periodic updates throughout the program. It is often a good idea to schedule periodic communication throughout the process for general updating or "keeping in touch" with people in the community. Scheduled dissemination helps remind agencies of activities that should be communicated to the public.

The target audience is identified. In most cases, the general public will be the recipient. However, an agency may need to target and customize materials to different groups. A local community heavily affected by a proposed project may need special publications or explanations to address its concerns. Soliciting funding for specific purposes requires materials targeted to business or industrial interests.

General information about a process or project is made available. Information that will remain constant throughout a process or project is made available for repeated use. Pennsylvania DOT videotapes illustrating the planning process are shown at meetings to newcomers who need to know the overall background before they know the details.

Public information materials highlight an event or milestone, such as the start-up of process, a major meeting, the release of a report, the start of a new phase, or the conclusion of a project. The Wisconsin DOT's first newsletter at the start of long-range planning introduced the in-depth study process and the people involved. The Puget Sound Regional Council in Seattle, Washington, mails a newsletter several times a year to review events and announce upcoming dates of meetings.

Public information materials can survey a wide audience. Typically used in printed materials, survey materials describe facts and include a tear-off sheet to be sent to an agency. They also may list a toll-free or local telephone number to call with comments or a FAX number to encourage immediate response. (See Public Opinion Surveys; Media Strategies.) The Little Rock, Arkansas, Metroplan MPO issued its report summary as a newspaper insert and included a tear-off form for reactions and comments through phone, mail, or FAX. Dallas, Texas, Area Rapid Transit mails comment cards to people in the community to solicit input on how DART is doing in a number of areas.

Updates and progress bulletins can be disseminated periodically. The Little Rock, Arkansas, Metroplan used progress bulletins to keep people informed of current issues. San Francisco's BART periodically sent FAXes to 500 to 600 businesses to keep them abreast of happenings in its joint development planning process. The Orange County, California, transit district sent "Fast FAXes" to 100 companies for immediate information. New Mexico's Middle Rio Grande Council of Governments updates information in an annual report it distributes to the public.

Press releases serve as input to future media coverage. Reporters who are following the process may use each new detail of a proposal as the basis of a story. Basic facts are provided to help reporters assemble articles and avoid mistakes or misleading information that could cause difficulty or awkwardness for an agency. (See Media Strategies.)

How are they used with other techniques?

Public information materials are used with almost any other technique of public involvement. They give basic information for open houses and open hearings, media strategies, on-line services, drop-in centers, and briefings. (See Open Houses/Open Forum Hearings; Media Strategies; On-line Services; Drop-in Centers; Briefings.) They are used to announce meetings, charrettes, conferences, workshops, and retreats. (See Charrettes; Public Meetings/Hearings; Conferences, Workshops, and Retreats.) They contribute names for mailing lists by soliciting interest from community residents. The Seattle area's Puget Sound Regional Council produced a videotape that was made into a public service announcement and shown repeatedly. (See Video Techniques.)

Transportation fairs are excellent places to distribute public information materials, particularly fun items such as buttons, magnets, posters, and literature. (See Transportation Fairs.) A Washington, D.C., ridesharing organization supplied many giveaways at its transportation fair.

Games and contests mesh with public information in creative ways. The Federal Aviation Administration (FAA) held an art contest for children on the theme of "Flying Saves Lives." The FAA also published a bilingual book, "A Visit to the Airport--Un Viaje al Aeropuerto," that included several games, some also in two languages. (See Games and Contests.)

Public information materials reach out to minority, ethnic, and low-income groups. Reaching out with basic information and facts presented with visuals brings people into the process who might otherwise feel uncomfortable participating. (See Ethnic, Minority, and Low-income Groups.) The Southwestern Pennsylvania Regional Planning Commission prepared illustrated glossaries of transportation terms to help people understand the planning process. Boston's Massachusetts Bay Transportation Authority prepared a transit design kit that showed drawings of different transit vehicles, answered basic questions about the study, and was printed in Spanish and English.

What are the drawbacks?

Public information materials require wide distribution to reach a maximum number of people. They are an essential part of any public involvement program. Failure to provide periodic basic information can severely hurt a public involvement program and could cripple a project.

Finding ways to get information out takes creativity. Demand on staff time and resources can be intensive. Staff members must know ways people can obtain information about a variety of topics. They should be skilled in examining needs and producing appropriate materials to meet them.

Published or written materials are not usually interactive. Public information materials cannot substitute for other forms of public involvement, because they are one-way communication, unless a mail-back coupon is included. People who see them must take further, individualized steps to get more information or to participate. An agency should make the steps simple to take, and respond promptly when community people call. (See On-line Services; Computer Presentations and Simulations; Interactive Video Displays and Kiosks.)

Events can overtake public information materials. Needs can be determined by default, even with prior planning. An agency might have to prepare public information materials to respond to editorial criticism, counter negative publicity, compensate for difficult-to-read technical reports, or respond to issues that have arisen naturally during the project. In Denver, Colorado, the transit agency broke its long-standing rule of not allowing advertising on shuttle buses in order to promote businesses affected by the transit line construction and inform people about the project.

Production time is significant if materials are to be done well. Production costs can be high, depending on levels of detail and numbers of illustrations to be included. Increased volume of printed matter also raises costs, but unit costs diminish as volume increases. Producing a small number of customized materials is expensive and labor-intensive.

Public information materials may be perceived as public relations and not public involvement. Materials that are too general and add no new substantial information are often regarded negatively or ignored. Public suspicions may also result from high-end advertising agency slickness. Many people feel it is inappropriate for public agencies to spend a lot of money on fancy public information material when other efforts or programs are being cut back. To gain optimal response, materials should be straightforward in design and content, especially if input from participants is desired and if it needs to be made clear that plans or projects are not yet finished.

Public information materials may fall flat if the information is too technical and difficult for lay people to grasp. Where possible, agencies should avoid intimidating or technical language and formats. If materials are not comprehensible to an average person, good will is lost, and potential participants may become suspicions about an agency's motives. An outside person can be asked to review the piece to make sure it is understandable to the average person and not too technical or obscure.

Information is prepared in a form that will reach the target audience. Press releases might not reach the intended audience, because they have been placed in an inappropriate section of a newspaper or relegated to a "lame duck" spot on a newscast. Pamphlets containing technical material may not be read by local residents. Brochures or flyers that are discarded as litter could have a negative effect on the community's perception of an agency. To counter these problems, an agency designs materials for specific uses and audiences and chooses the appropriate distribution technique.

Are they flexible?

Public information materials can be sent through the mail to a project mailing list or an acquired list, or be inserted in another group's mailing. They can be included in bills sent out by public or private organizations. (See Mailing Lists.)

Public information materials can be sent electronically. They can be put on a home page to be available on-line. (See On-line Services.) Public service announcements provide information via radio or television. They can include announcements of meetings, due dates for comments, recent activities, upcoming events, and more. (See Media Strategies.) The Atlanta, Georgia, Regional Commission's Vision 2020 process used PSAs to inform people of the opportunity to voice their opinions through questionnaires inserted in Sunday newspapers.

Public information materials can be used in displays. They can be positioned to be seen from a sidewalk, highway, or rail line--for example, on a billboard. They can be illustrations on window cards. They can be posted in interiors of transit vehicles on car cards. The Houston, Texas, Transit Authority uses cards in its buses to announce upcoming events.

Public information materials can be distributed at meetings. They help get a meeting started or as a basis for a presentation or discussion. They can be exhibits, videos, fact sheets, slides and overheads, models, or progress bulletins. (See Video Techniques; Computer Presentations and Simulations.)

Timing is flexible for most public information materials, except meeting notices, newspaper deadlines, and materials relevant to public hearings and official comment periods, where exact timing is crucial. Staff commitments for producing public information materials is flexible except for deadlines for production, printing, mailing, or presentation.

The format for producing public information is flexible. Options relate to individual budgets, information dissemination needs, topics, and audiences. A variety of types of public information materials can be selected. Many public involvement programs mix and match materials.

When are they used most effectively?

An overall strategy for public information materials is developed early in a process, before beginning to involve community residents. At that point, an agency can strategize about what audiences need to be targeted, what types of materials are needed, and when they will be most effective. General materials on, for instance, the nature of the project serve as background information that remains relevant throughout the process. Materials can highlight important events or decisions. Timing must be carefully considered, and materials scheduled so they are available in advance of an event, meeting, close of comment period, or articles in the media. (See Media Strategies.)

For further information:

Arizona Department of Transportation, Phoenix, Arizona, (602) 255-8143
Atlanta Regional Commission, Atlanta, Georgia (404) 364-2575
Boston Central Artery/Tunnel project, Boston, Massachusetts (617) 973-7000
Denver Transit Authority, Denver, Colorado, (303) 299-2401
Iowa Department of Transportation, Ames, Iowa, (515) 239-1137
Maryland Department of Transportation, Baltimore, Maryland, (410) 859-7367

Puget Sound Regional Council, Seattle, Washington, (206) 464-7090
Southwestern Pennsylvania Regional Planning Commission, Pittsburgh, Pennsylvania, (412) 391-5591

KEY PERSON INTERVIEWS

What is a key person interview?

A key person interview is a one-on-one talk about a specific topic or issue with an individual recognized or designated as a community leader. A key person might be an opinion leader, a spokesperson for the community, an elected official, the head of an organization, or a representative of local media.

The main purpose is to obtain information. While basic information is provided to set the stage for discussion, interviews are designed primarily to elicit the interviewee's reactions and suggestions. The goal is to learn about the person's views and constituency, and his/her perceptions of the agency, the planning or development process, and the political setting in which work is being done. Key individuals are likely to have knowledge, wisdom, and insight that can help an agency. In Texas, during the South Oak Cliff study by Dallas Area Rapid Transit (DART), key person interviews led to a delineation of significant issues within the community. A bond issue that had major support was being implemented slowly. Though not directly related to DART's work on the transit proposal, it was clearly identifiable as an issue.

Interviews start early in the process to learn about the area and the issues and concerns to be addressed. An agency may ask for names of other individuals who should be contacted for interviews or be involved in the participation process. It may want guidance on organizing a public involvement process that includes essential, interested people, and that reaches out and includes people traditionally underrepresented.

Key person interviews also are held just prior to decision-making. The Maryland Transit Administration found that positions evolved from beginning to end of a study and thus began to hold interviews near the end of a process but before decisions were made.

Customarily, interviews are face-to-face events. Frequently, a key person feels more comfortable if an interview takes place on "home turf" such as his/her office or neighborhood. Although usually conducted in person, key person interviews are also done on the telephone. (See Telephone Techniques.)

Why are such interviews useful?

Information is transmitted informally outside of a larger meeting that may be inhibiting. Key people often provide more detail on political or emotional aspects of an issue that are difficult to discuss in a public meeting. Liaison staff for a master plan study in Boston's South End interviewed community and business leaders to learn about potential developments that would not have been revealed in a large public setting. Interviews also elicited input about ongoing concerns to help create a vision of the character of redevelopment for the area.

Interviews help identify issues, concerns, and desired agendas. They are helpful in rapidly getting details on the community and in understanding residents' priorities. They also help establish points that must be covered in meetings.

Key person interviews help target potential participants in the process. They identify stakeholders who may be involved and interested in a project or proposal.

Interviews elicit ideas for structuring a public involvement program. They help set a framework for discussion by identifying potential members for an advisory committee or meeting places perceived as neutral. (See Civic Advisory Committees.) The Atlanta, Georgia, Regional Commission received advice on structuring its public involvement program from its key person interviews. For a Newark subway rehabilitation project, interviews led New Jersey Transit to set up several station task forces rather than a single advisory committee, as originally proposed. The Newark interviews also identified safety as the overwhelming issue of community concern, which led to changes in the work undertaken by consultants.

Key person interviews enhance an agency's credibility. They show interest in the community and in understanding the concerns of a leader's constituents. Conducting interviews sets a positive tone for subsequent public involvement activities.

Do they have special uses?

Key person interviews are useful when a project affects a small group in a unique way--for example, a block of businesses, a neighborhood, or a specific institution. The group may be concerned about impacts of a proposal and welcome early contact. (See Ethnic, Minority, and Low-income Groups.)

Interviews are a good way to introduce agency personnel to the community before beginning a public participation process.

One-on-one interviews can defuse a potentially confrontational situation. Parties to disagreements want to be heard. Listening to key individuals' views is rewarding to both parties, as well as to the larger community. This is particularly important if the key person has been antagonistic in the past, since it enhances an agency's understanding of opposing viewpoints and gets them stated more clearly for the record.

Who participates? and how?

Key people are individuals who work with or represent other people. They are crucial in understanding a constituency. Key people include community group presidents, officers, former officers, and representatives. They can be elected officials, respected people involved in community activities, and officers or active members of clubs, agencies, organizations, and interest groups. Key people can be active business people and practicing professionals, or representatives of professional societies, such as chapters of the American Institute of Architects and the American Public Transportation Association. The Metropolitan Council in Minnesota interviewed the Minority Media Coalition by telephone to find out key issues in the minority community prior to a larger meeting to discuss overall media strategy. It is important to note, however, that in some areas such as minority communities, American Indian areas, small towns, and rural settings, opinion leaders are likely not to be office-holders. In these areas, an agency should pay special attention to finding out who the real leaders are. (See Ethnic, Minority, and Low-income Groups.)

A key person meets with an interviewer via telephone or face-to-face.

Usually, the key person chooses the interview site. This may be a home or office, or the location may be neutral to both parties. Informal interviews can be held over coffee or lunch. The choice of setting should reflect potential issues of security and confidentiality.

An on-site interview helps people point out specific issues. In the Massachusetts Bay Transportation Authority's (MBTA) Replacement/Transit Improvement Study, agency staff talked with key community people on-site in Dudley Square, a busy transit node and the focal point of the study. Community leaders pointed out specific locations of concern about traffic, pedestrian crossings, and land development. (See Site Visits.)

How do agencies use these interviews?

Interviews demonstrate that an agency wants to learn about the issues. This is particularly true if an agency seeks out key people early in a process. Credibility is also enhanced if an agency seeks advice on design of a public involvement program. For the State Route 15 Vision Study in San Diego, California, the City Heights Community Development Corporation conducted interviews with agency officials, opinion leaders, residents, and others to help plan the highway's future. The interviews were useful not only for finding out about the issues but also for broadening the list of potential contacts.

Key person interviews are a quick, personal way to learn a neighborhood's concerns. They help identify players such as elected officials, other agencies, opinion leaders, and other groups, as well as revealing issues and interests in a project or plan.

Interviews help identify the "real" actors in a process. Often, they are the fastest way to find out who in the community is perceived as credible, who is difficult to communicate with, and who is a potential ally.

Through interviews, an agency finds out what key people think of its policies. The Little Rock, Arkansas, Metropolitan Planning Organization (MPO) used interviews to discover the degree to which past policies were out of favor. As a result, its Vision 2020 plan reflected the need to replace past policies with proposed new strategies.

Key people help develop a list of contacts who can distribute information. Interviews help build a network of critical people to contact. (See Mailing Lists.) They even assist in locating the best bulletin boards for advertising meetings and opportunities for participation.

Interviews with key people establish lines of communication between community members and agencies. Local people contact their leaders to obtain information or to register opinions, concerns, and complaints. This may fit with traditional methods of quick and easy communication. (See Improving Meeting Attendance.)

Making one-to-one contact helps break down barriers that might prevent sharing information and opinions. The Dane County Regional Planning Agency in Madison, Wisconsin, learned about the concerns of many groups through individual key person interviews.

Who conducts key person interviews?

Staff members usually conduct key person interviews. The staff person conducting a meeting should be comfortable with one-on-one contact, personable, open, a good listener, good at probing for details, and able to respond to key questions.

Sometimes senior staff are more appropriate. On certain occasions, senior agency personnel need to meet with key people. For example, it might be more appropriate and effective for a senior official rather than a junior-level staffer to meet with the vice president of a major corporation. The head of the Atlanta, Georgia, Regional Commission talks with key business leaders on a regular basis. The director of the Pittsburgh, Pennsylvania, MPO holds regular visits with key people in the media.

Sometimes a well-briefed outsider is the appropriate person to contact ethnic or minority members or polarized groups. The interviewer must be well-briefed on issues important to the community and to the person being interviewed. (See Ethnic, Minority, & Low-income Groups; Negotiation & Mediation.)

What do they cost?

Costs vary, but interviews can be relatively cheap if the work is local. Staff time is intensive and the most expensive item. It is particularly significant if a large number of key people from various locations are involved and travel is extensive. Also, long-distance telephone calls add quickly to the costs.

Costs are closely tied to the number of interviews conducted. A sampling of 10-20 leaders is effective for certain purposes, while a more broad-based outreach may necessitate 100 or more interviews.

How are they organized?

An initial step is identifying the key people in a community. It is important to undertake a wide range of efforts to learn who the real leaders are, particularly in minority and ethnic communities. (See Ethnic, Minority, and Low-income Groups.) One approach is to use indirect methods; for example,

A more direct means to build a list of names is linked-chain research or personal contact and networking. In this approach, people are asked to name leaders, and the process continues until nominations repeat earlier names and the agency is reasonably confident most key participants have been found. Some initial ways to do this by telephone include:

Interviews are arranged in several ways. To set up an interview, an agency staffer can establish initial contact by telephone. Ideally, an interview is face-to-face and at a time convenient to the person. This may be after work hours, since many people find it difficult to meet during the normal work day. In Dallas, DART always conducts key person interviews as informally as possible so that the person feels comfortable. A letter of invitation may be sent if someone is particularly difficult to reach or if a formal tone is desired. Often, a follow-up confirmation call is useful and courteous.

It is often important to meet key people in their own community. Frequently, key people view their neighborhoods as neutral, comfortable, and non-threatening places. (See Non-traditional Meeting Places and Events.) The Portland, Maine, Area Comprehensive Transportation Study (PACTS) conducted interviews in key people's offices on the impacts of a proposed connector on a school and county jail along the alignment.

Many interviews are conducted by telephone. Phone interviews are very informal and immediate, but less personal. They sometimes are done while the key person is at work and can be very focused. (See Telephone Techniques.) Although phone interviews lack the personal contact of face-to-face talk, they are easier to do impromptu. They are often revealing, because the call seems more casual, immediate, and unrehearsed. A face-to-face meeting encourages better preparation, perhaps by consulting with others. During project development on the I-93/Route 1 interchange in Charlestown, Massachusetts, agency staff regularly called key people in the community to report project events, then to converse about their activities and reactions to the highway project's current status.

The purpose and topic of the interview is communicated in advance. The general topic is introduced immediately. The interviewer stresses the importance and goal of the interview and states that several key people are being interviewed. This lets the interviewee know that his/her ideas will be considered along with others. It is useful to explain that the agency wants to listen and learn rather than lecture on the proposed project or process. A short description of the planning effort with maps, drawings, or photos is useful, along with brief written materials.

An interview begins with stating a specific proposal or issue. Details should be available in case the interviewee requests them. A series of questions prepared by the agency might be the next step. An interview may be informal and free-form, with a brief statement of a proposal, followed by questions and answers that guide the interview. The interviewer makes it clear that the opinions expressed are primarily for the agency's internal use in planning and project development.

An interviewer should be able to piece together connections and links that make up the mosaic of relationships within the community. An agency should avoid alienating potential participants or people who have views that might not be fully understood.

The interviewer documents the interview in writing. Documentation frequently maintains the anonymity of the interviewee. At times, it is important to be able to cite the interview as authoritative, but permission should be obtained before quoting people who have been interviewed. To maintain anonymity, individual interviews can be summarized with other interviews. In summaries, the key people's names may be listed, but most comments are not attributed to specific individuals. Interviews for the Portland, Maine, I-295 Connector were summarized according to several themes: comments on transportation issues in general and pros and cons about the proposed connector. Only when it was essential to identify the person who made a statement--such as a concern about the alignment's effect on a specific property--were ideas attributed to individuals.

Telephone numbers are exchanged. The key person should be made aware of the desirability of frequent contact and an agency's willingness to respond to calls. To enhance contact, an agency can compile a list of interviewees' work and home phone numbers and FAX numbers, if available and if people are willing to take calls at home. The goal is to demonstrate accessibility and the need for key people to call when they want to deliver opinions and comments.

Follow-up is essential. Depending on the intensity of the planning process and schedule, weekly, monthly, or bi-monthly follow-up contacts, either by telephone or face-to-face, are critical. Follow-up keeps key people and agency staff up-to-date on what is happening. Follow-up can be based on initial interviews early in the process to create and maintain a channel of communication. In Dallas, the DART community affairs staff regularly contacts key people--by visiting, telephoning, or sending information--to keep them up-to-date and knowledgeable about the agency's work.

How are they used with other techniques?

Key person interviews help identify participants. Interviews with leaders help identify potential members of a neighborhood planning council. They help increase and improve outreach to traditionally underserved groups, ethnic groups, minorities, elderly, and children. (See Ethnic, Minority, and Low-income Groups.) A civic advisory committee or task force can grow from suggestions made in leader interviews. (See Civic Advisory Committees; Collaborative Task Forces.) In a transit study in Burlington, Vermont, representatives of a new civic advisory committee were identified through interviews.

Interviews can help set goals and objectives for a task. A civic planning committee working with San Francisco's Bay Area Rapid Transit (BART) on a joint development project conducted interviews with the heads of newly-formed groups to help determine the extent and goals of the organization and its constituency.

What are the drawbacks?

Key people may not represent the total range of community values. Interviews must be used with other techniques that help validate the information gleaned from the interviews. (See Public Opinion Surveys.)

A variety of methods to reach people is essential to obtain a full range of opinions. Heavy reliance on meeting notes and sign-in sheets from public meetings tell an agency who the visible public leaders are, but key people who work behind the scenes are easily missed.

Key person interviews do not replace direct talks with interested or affected groups. Such interviews do not substitute for direct public involvement.

Community members may be alienated if their key people are not interviewed. If some people are misidentified as key people, community residents may accuse the agency of ignorance or malice. In Portland, Maine, a school principal identified as a key person turned out not to be as knowledgeable and helpful as had been anticipated. In Dallas, certain community groups felt that the transit agency gave equal credence to comments from individuals and from their organizations. DART then encouraged the individuals who were outspoken to join others in forming a new organization or to join an existing group.

Interviews should include a full range of people, including opponents. The Sioux City, Iowa, MPO used its district directors to help identify people to interview. It was careful to include people who in the past had been critical of some of its activities or policies.

Many agencies interview only public officials such as the town manager, aldermen, or planners. Although these interviews represent one segment of key people to contact, they must be done in combination with interviews and talks with representatives of interest groups, opinion leaders, neighborhood associations, individual residents, users, and more.

Are key person interviews flexible?

Timing and structure of key person interviews are flexible. They can take place at any time, cover a variety of topics, and be structured or open-ended. However, it is best to do interviews before negative news gets out. Staffing is flexible, but interviewers must be good listeners, open rather than defensive, and knowledgeable about whom to probe and how.

When are they used most effectively?

Key person interviews are useful both at the start of a process and just prior to decision-making. Of course, it may be necessary and desirable to continue the contacts throughout the process. Follow-up interviews are done in the same manner as initial interviews. To save time and staff resources, follow-up may be done by phone. If an agency does not follow up the interviews or maintain contact with key people, credibility suffers.

Interviews help evaluate projects or proposals or the process itself. In many cases, key people are well aware of a former process that went awry. Their willingness to discuss it saves an agency many steps. In addition, they have a sense of how a project or proposal will be received within their community. This information aids an agency in modifying plans to be more responsive to community concerns and to present to the public.

For further information:

Atlanta Regional Commission, Atlanta, Georgia, (404) 364-2575
City Heights Community Development Corporation, (619) 584-1535
Dallas Area Rapid Transit Authority, Dallas, Texas, (214) 749-2581
Little Rock Metroplan, Little Rock, Arkansas, (501) 372-3300
Portland Area Comprehensive Transportation Study, Portland, Maine, (207) 774-9891
Sioux City Planning Department, Sioux City, Iowa, (712) 279-6344

BRIEFINGS

What are briefings?

Briefings are information meetings with a community group or leader. Elected officials, business leaders, the media, regional groups, or special interest groups can participate. Briefings usually involve issue-focused communication between agency administrators, project managers, board members, or other staff and a specific group or part of the community. They are organized in several ways:

Why are they useful?

Briefings provide immediate opportunities for focused communication. They can be scheduled quickly to allow project leaders to communicate with key community groups or leaders. Portland, Oregon, Metro tailors its presentations to the interest of the group at hand, whether students, a chamber of commerce, or a homeowners' association.

The community gets advance notice of an important event. By providing an opportunity for questions, briefings help allay doubts or fears. An agency can "test the waters" with a subset of the community concerning a specific issue. Within the narrow focus of a briefing, community residents give an agency the feedback and direction it needs to be fair and equitable. The Massachusetts Department of Environmental Protection held a series of briefings for companies to inform them how to comply with new employee trip reduction regulations. The three-hour meetings provided a range of information about requirements such as surveying employees and implementing ridesharing programs.

Briefings are a good way to establish communication links with affected groups. They help clarify issues and demonstrate an agency's sensitivity to local concerns. Because any project affects different segments of the public, an agency should discuss the impacts and services with the people most affected. The Portland, Oregon, Metro holds periodic briefings for geographic areas and neighborhoods that are affected by a specific alternative.

Briefings help get candid feedback from the community. Community people can comment off the record. Since they are not recorded, these comments are relatively unrestrained--and therefore may provide a truer picture of people's opinions.

Do they have special uses?

Briefings break through temporary barriers to full public participation. In circumstances where the communication process is difficult or complicated, they help an agency reach specific groups. In Wisconsin, the Dane County Regional Planning Commission held a series of briefings with representatives of each town to discuss the preparation of its 2020 Plan.

Briefings give critics a better understanding of a project. They also give critics a chance to respond in detail, away from larger meetings that dilute their participation.

Briefings repair damage. A misunderstood or misrepresented agency uses briefings to get back on track. Briefings on critical portions of a proposal are useful to open discussions. An agency may signal its need for advice from community groups on ways to build greater understanding or future cooperation. Poor communication is improved if agency staff talks briefly and then listens attentively to the responses.

They demonstrate agency initiative. Opening a process with a series of briefings shows that the agency is organized and eager to get the word out. When an agency targets specific groups, it shows that it both recognizes their existence and values their participation. To get more people involved, the Twin Cities Metropolitan Council in Minneapolis-St. Paul, Minnesota, recruited other agencies to serve as co-hosts during its series of briefings.

Briefings help establish trust and credibility between an agency and community groups. In Newark, New Jersey, elected officials attended the Newark Transit Agency briefings on rehabilitation of the light rail system to demonstrate their support.

Who participates? and how?

Briefings can involve any interested group--elected officials, organization heads, appointed officials, community groups or associations, business leaders, or professional associations. When an agency initiates a briefing, it asks for participation by specific individuals. When a community group requests a briefing, an agency should ascertain the group's interests and send appropriate, knowledgeable staff. Community groups may want a personalized presentation of a proposal in relation to their neighborhood.

A briefing is usually a simple gathering held around a small table, in an office, or in a conference room. Alternatively, it is a conference call between appropriate people to discuss a particular issue. Agency representatives should be well-informed about the issues to be addressed, particularly as they affect the participants.

Participants ask questions. The format should address their communications needs. Often, a briefing includes a presentation on a plan's status, followed by a discussion. Its design should facilitate communication between an agency and participants.

How do agencies use the output?

Briefings reveal whether an agency is effectively communicating with stakeholders. Agencies get feedback on the effectiveness of their public involvement program. Before formal announcement of an event, input from briefings helps agencies assess its potential effectiveness and adjust plans accordingly to better meet the needs of the community.

Briefings help prevent misunderstandings by the public by supplying accurate information and helping to get a message out. They also help prevent agencies from misunderstanding the viewpoints of the target groups.

Briefings allow an agency to convey a message to the community. By briefing a specific geographic, social, or professional group, an agency reiterates a message or clarifies an issue. Planners for New York's Long Island Expressway high-occupancy vehicle (HOV) lane held briefings with local businesses to assess different elements of the design.

Who leads briefings?

Well-informed, articulate agency staff people lead briefings. Since a briefing is an opportunity to improve communication, agencies send senior staff or others who know the project or program thoroughly and are aware of participants' interests or concerns. For discussion of technical aspects, experts may be needed as well.

Agency staff may share responsibility with a community leader. The agency need not lead a briefing alone. Community groups may participate more freely if a community leader leads the discussion. In such an instance, an agency representative participates both to satisfy the group's need for information and to get its input. Agency representatives should be prepared to lead a briefing if a community group has no designated leader. In some situations, elected officials or agency board members may take charge.

What do they cost?

A briefing is relatively inexpensive. The primary cost is preparation time, travel (if necessary), and the meeting itself. Research or presentation materials may be needed.

Special preparation costs may be limited. It is often possible to use pre-existing presentation materials. An agency may use project-specific presentation materials to maintain continuity. Staff may offer refreshments at a small meeting as an icebreaker.

How are they organized?

Arrangements for a briefing are initiated by either party. An agency offers a briefing to improve communication, or a community group requests a meeting with the agency.

An agency must respond quickly to a request for a briefing. Response time reflects an agency's commitment. Having to wait several months to meet with staff seriously damages a group's trust in the agency's sincerity. Every effort should be made to provide a timely response. If an agency has no time to organize a briefing, it may share documents, videotapes, or phone calls as a substitute strategy. (See Video Techniques; Telephone Techniques.)

Briefings are customized for each specific situation. The particular characteristics or concerns of a group suggest the best structure. An agency must be sensitive to the group's needs, nature, and purpose, and identify key people. (See Key Person Interviews.) As a sponsor of the briefing, an agency determines where the group would be most comfortable and what approach should govern the meeting. Any good public involvement program includes constant monitoring of the press, meeting feedback, and other sources of intelligence about the community. When an agency knows a community group well--why it exists and where its interests lie--it can prepare well for a briefing and organize it accordingly. New Jersey Department of Transportation (NJDOT) officials met with owners of local newspapers and broadcast stations to generate media interest in an HOV lane project.

An agency sends its best representatives to briefings--perhaps a team of people with complementary presentation skills. A high-ranking staff member or technical specialist can answer questions and demonstrate an agency's commitment to participation. An agency should exercise care in appointing briefing staff. Not all staff members make good public speakers, and good speakers may not function well in small discussion groups.

Agency leaders make certain that unanswered questions receive a response. Such records also help form the basis for subsequent meetings with other groups or the community at large. Massachusetts Bay Transportation Authority representatives met with municipal officials in each of eight cities and towns through which its proposed New Bedford/Fall River Commuter Rail Project would pass to inform them about the project and flag local concerns prior to holding a series of open public meetings.

Communication between an agency and the community is continuous. While either party initiates a briefing, an agency should continue the communication process beyond a single session. An agency may approach a briefing as the first in a potential series of meetings. The Portland, Oregon, Metro has a policy of returning periodically to neighborhoods to report on changes or findings since the initial briefing.

How are they used with other techniques?

Briefings are only one part of a larger public involvement program. They supplement official and public interaction between community groups and a public agency. Briefings should not be the only means of communication, nor should they result from a group's frustration due to lack of other opportunities for dialogue. Briefings are very important supplements to larger public meetings, but they cannot replace them. (See Public Meetings/Hearings.)

Briefings augment other public education efforts. Briefings are a good way to introduce a new program or delineate project principles to a community already familiar with an existing project. They also help assuage concerns about a project.

Briefings generate additional public involvement. After a briefing, a community group may be willing to work with an agency as the project or program advances. A community may want to participate in subsequent meetings to safeguard its own stake in an agency's proposals.

What are the drawbacks?

Over-reliance on briefings lends an appearance of "back-room deals" and therefore should be strenuously avoided. Holding small, seemingly controlled briefings only in times of crisis or when actions are critical to an agency may alienate a community.

Briefings may be viewed as an agency tool of little benefit to the community. Community people may perceive that agencies do not listen and do not absorb feedback.

Extensive use of briefings can consume agency staff time.

Are briefings flexible?

Briefings are held at nearly any time. Good timing helps make a briefing successful. Agency staff must be flexible, since community groups may request briefings on the spur of the moment. An agency may find it beneficial to hold briefings at specific points in a process of planning or project development; for example:

For further information:

Atlanta Regional Commission, Atlanta, Georgia, (404) 364-2575
Dane County Regional Planning Commission, Madison, Wisconsin, (608) 266-4317
Orange County Transportation Authority, Orange, California, (714) 560-5725
Portland Metro, Portland, Oregon, (503) 797-1746
Twin Cities Metropolitan Council, St. Paul, Minnesota, (612) 291-6423

VIDEO TECHNIQUES

What are video techniques?

Video techniques use recorded visual and oral messages to present information to the public, primarily via tapes or laser disks. Although many people now prefer video as a means of getting information, public agencies are just starting to tap its potential use. During preparation of its statewide transportation plan, the New Jersey Department of Transportation (NJDOT) opened its regional forums with introductory videos.

Why are they useful?

A video is worth a thousand words. An easily-understood video is more useful to some people than reading or hearing about transportation. With the nearly universal availability of television and the emphasis on visuals in today's society, videos have a role in transportation planning and project development that has yet to be fully explored.

Videotapes provide an additional medium for reaching people. Although videotapes are widely used in this country for entertainment, they are also used for education and the dissemination of information about transportation. Videos can describe the steps in a process. They are geared to a group or an individual, depending on an agency's purposes, and enliven the presentation of a potentially dull subject. The Connecticut DOT, for example, prepared videos to enhance public understanding of incident management on an interstate highway. Agencies make videos available through local television stations, public libraries, and video stores or distribute them door-to-door, as has been done in recent political campaigns. The Central Puget Sound Regional Transit Authority (RTA) produced a short video at each major milestone during development of its regional transit ballot proposal and sent it to public libraries as well as interest groups.

Videos are used to introduce people to meetings and hearings. Set to replay endlessly, videos present the same message each time without variation. Because these repeated messages are "canned," they should be presented in an informative, lively, and friendly manner. This may be extremely important when used with, say, a formal public hearing. (See Public Meetings/Hearings; Open Houses/Open Forum Meetings.) The Virginia DOT, for example, used videotapes to introduce and describe an open house public hearing process.

Agencies use videos to document a planning process. They can document proceedings of events in a public participation process. Viewers are thus exposed to a wide range of participants and their concerns. Focus group proceedings are frequently recorded on video for later replay and analysis.

Videos illustrate different planning scenarios or project alternatives and help people visualize a situation before, during, and after construction. Many incorporate computer simulations, such as a ride on a transportation facility before it is built. (See Computer Presentations and Simulations) For example, a New York State DOT video illustrating the impacts of high-occupancy vehicle (HOV) lanes was shown to elected officials, the business community, and the general public. A separate video simulated the experience of driving a car on both 10- and 12-foot-wide HOV lanes.

Videos help ensure that a consistent message is conveyed during a series of meetings or other events, particularly when different staff members are in charge. San Francisco's Metropolitan Transportation Commission and Regional Planning Commission both produced videos on their long-range plans and showed them at meetings to make sure the same information was provided to all participants.

How do agencies use the output?

Videotapes reach a broad audience for participation. People who cannot be reached in any other way often respond to videotapes. Presentation software is now available to provide viewers with information they can play on their VCRs. Currently, this technique often uses stationary images similar to slides, but in the near future video presentations for television will include live action as well as stationary and animated material.

Dry runs of presentations are often videotaped. Presenters rehearse a presentation, review it on tape, critique elements such as substance, voice modulation, posture, body language, jargon, and use of visual materials, then make changes accordingly.

Agencies often distribute videotapes over a large geographic area and in more than one language. They frequently clarify a complex process to supplement an oral presentation. For example, Boston's Central Artery/Tunnel project uses videos to simulate driving through a tunnel and along a surface street during various stages of the project. Videos also update the community on construction staging plans and mitigation proposals.

What do video techniques cost?

Costs of producing videotapes vary. Simple videos produced in-house are inexpensive but may not be successful in reaching the target audience with the right message. An amateurish production may alienate people from an agency's approach or goals, because its unprofessional quality reflects on the caliber of the project itself. A more professional production is expensive initially but more cost-effective in the long run. Reproduction of tapes is relatively cheap.

Length varies in accordance with the message to be delivered: videotapes are prepared with a brief message or with more substantive content. For example, in Missoula, Montana, a four-minute videotape was used to introduce people to the principal issue of a meeting--the improvement of a single, complicated intersection.

Video production demands a high level of staff expertise. Even with donated video equipment, it is often difficult for agency staff to produce a good video. Staff may be available to record highway or transit rights-of-way, but these rudimentary skills fall short when a video must be credible and informative about complex issues. If the in-house staff does not have sophisticated production skills, outside assistance is required to produce a high-quality, cost-effective videotape.

Who develops these techniques?

Video usage requires a lead person within an agency--a creative and adventuresome person interested in trying new techniques for involving the public in transportation. This can be an existing staff person or a staffer hired for the purpose. Agency staff people are the best resource to draft a video script and ensure that it is consistent with written materials and the particular goals the agency is aiming to achieve.

Production frequently requires outside assistance. Although personal recorders are widely used, videotapes to portray public activities should be professionally and competently produced, using professional-quality equipment.

How do they relate to other techniques?

Video techniques are often part of a media strategy. A video can be released for use on television as camera-ready copy. An agency thus provides the news media with an accurate portrayal of a process or project to be shown as part of regular programming. Videos are a good means of providing information about meetings or ongoing planning processes. (See Media Strategies.) Seattle's Regional Transit Project, for example, used videotapes for 30-second advertising spots broadcast more than 300 times on five local television stations.

Videos reach people who would not otherwise participate in transportation processes, including people with disabilities. Special efforts should be made to accommodate hearing disabilities. TDD (Telephone Devices for the Deaf) phones are available with small screens and keyboards to aid people who are deaf or have hearing disabilities. (See Americans with Disabilities.)

A video is always part of a larger process and closely related to other techniques. Because a videotape is a one-way device, suitable for disseminating information, it has many potential applications. It can be an element for discussion in a focus group or charrette. (See Focus Groups; Charrettes.) It can record the points of view expressed at public meetings and hearings. (See Public Meetings/Hearings.) It can document positions established at civic advisory committee meetings. (See Civic Advisory Committees.) It can report on agency progress at a transportation fair. (See Transportation Fairs.) A video should not be used in isolation from other techniques. It cannot replace face-to-face encounters with other participants and agency staff. Public involvement participants should always be fully informed if they are being recorded.

Videotapes can substitute for field trips. A video can illustrate the characteristics of a region or a corridor, alternative modes of transportation, alignments and adjacent neighborhoods, potential impacts, mitigating measures, and methods of participation. (See Site Visits.)

How are they produced?

Videotapes incorporate a variety of technologies such as live action, computer images, graphics, maps, and charts. They can be produced incrementally. Slide shows can be augmented by scripts. Scripts can be recorded and slides shown at pre-determined intervals. A finished script and storyboard (picture sequence) can be developed and turned into a video. Special equipment and processes are required to transfer computer information onto tapes, and the level of quality varies.

Who participates? and how?

Any community member can use videotapes. The only requirements are a television set and a playback machine. Printed materials such as brochures often complement the information presented graphically in a video. It is also important to provide telephone contacts for access to agency personnel for further information.

What are the drawbacks?

Videotapes are not two-way. Unless special provision is made for an individual to respond, the viewer watches a message without being able to give feedback and without hearing opposing views. Thus, a tape should include a means of contacting staff or obtaining additional information. Some cable television stations use interactive techniques, including playing a video and allowing responses from viewers by telephone. (See Interactive Television; Interactive Video Displays and Kiosks.)

Video viewers are basically self-selected. Access is limited to viewers with a playback machine. Special attention should be given to the needs of people with disabilities. Interpreters may be needed to make the information available to individuals with hearing disabilities. Text must be sufficiently large so people with sight disabilities are able to read it. For the blind, narration should be sufficient to explain the material even though it cannot be seen.

Video techniques are rapidly changing. While videos are available now principally via home rentals or scheduled programming, in some localities it is already feasible for viewers to call in to view non-scheduled material immediately or at a viewer-chosen hour on a specific channel. Increasingly interactive techniques are being developed in the media. For example, in a few years, it will be possible for agencies to compose videotapes with information about specific processes to be broadcast on television, with community residents able to register opinions in a poll immediately following the presentation.

Agencies sometimes over-estimate viewers' attention spans, making videos too detailed or too long. A good norm is probably 5 to 15 minutes. Agencies should seek sound professional advice about how to define their message succinctly and with an appropriate level of detail. For easy comprehension and retention, a good video strikes a balance between substantive information and simplicity.

For further information:

Central Artery/Tunnel Project, Boston, Massachusetts, (617) 951-6448
Central Puget Sound Regional Transit Authority, Seattle, Washington, (206) 684-1357
Missoula, Montana, Department of Transportation, (406) 549-6491
New Jersey Department of Transportation Long-Range Plan, (609) 530-2866
New York Department of Transportation Region 10, (518) 360-6006
Puget Sound Regional Council, Seattle, Washington, (206) 464-7090

TELEPHONE TECHNIQUES

What are telephone techniques?

The telephone offers a unique, two-way medium for public involvement. It can be used to obtain information and to give opinions. Its use has entered a new era of potential applications to community participation, going beyond question-and-answer techniques toward the evolving new multi-media connections with television and computers.

Telephones have long been used for community involvement. However, innovations are available for expanding telephone use. For example, Iowa City, Iowa, offers telephone contact to an information television channel, which includes bus routes and transit information, a route finder to specific streets and points of interest, transportation for the elderly and persons with disabilities, and a "tow list" of all license plate numbers that have more than $15 in accumulated parking fees.

Potential telephone techniques for public involvement include:

Why are they useful?

Telephone techniques are basically interactive. The telephone is used to initiate a conversation or a query, and a response of some kind is made to advance the action. Responses can vary from pre-recorded messages to staff responses on specific topics. For example, a toll-free hotline number was provided for public information during the Washington, D.C., Bypass Study, which covered an area of 6,600 square miles in Maryland, Virginia, and the District of Columbia. (See Hotlines.)

Telephone techniques reach out to a broad variety of people who might not otherwise participate in transportation processes, including people with disabilities. (See Americans with Disabilities.) They are used in community surveys to reach a statistically viable sample of the general population. (See Public Opinion Surveys.) When combined with television, telephone techniques potentially open a new audience for public involvement. (See Interactive Television.) For example, in Savannah-Chatham County, Georgia, a local television station presented a VISION 2020 program, process, and critical issues, followed by an invitation to give opinions by telephone; results were tabulated and shown later on the same station like election night returns.

Do telephone techniques have special uses?

Agency use of telephones can cover many topics. An audiotext service can be programmed to give answers to many pieces of information, including times and dates of community meetings. For example, in Virginia Beach, Virginia, a municipal telephone service is capable of answering 700 commonly asked questions; after receiving information, people leave messages and respond to survey questions.

Agency use of telephones covers a large geographic area and shows a desire to communicate with the general public. Telephones can be available around the clock for messages and can be programmed to respond in more than one language. They can be used to poll community opinions. (See Public Opinion Surveys.)

Telephone techniques are easily understood. Special training for participants to get involved or express ideas is not required. For example, to introduce new users to its municipal service telephone information system, Colleyville, Texas, provides refrigerator magnets as a telephone directory to three-digit subcategories for guidance when calling about specific topics, including transportation.

Telephone techniques can combine several applications. For example, in Diamond Bar, California, an aggressive telecommunications project is enhancing public communications and reducing vehicle trips by combining an electronic bulletin board, optical imaging technology, geographic information systems, electronic and voice mail, and FAX systems.

A FAX-on-demand system can deliver documents in response to queries. These documents can be works-in-progress or final results of a process. Costs can be covered through use of a 900 number (the call is charged to the caller's phone bill) or a credit card billing. In Harrisburg, Pennsylvania, the State House of Representatives uses a FAX-modem system to provide documents to its members.

Who participates? and how?

Any community resident can participate in most telephone techniques--the exception being the structured telephone survey, which requires specific individuals as part of statistical sampling techniques. (See Public Opinion Surveys.) In using the telephone, it is important for an agency to provide background information to participants to bolster the ability to understand the subject matter and this method of participation. Agencies need to make special efforts to accommodate people who do not speak English. (See Ethnic, Minority, and Low-income Groups.)

People participate by phoning their queries or ideas to an agency. The agency is responsible for noting and recording ideas presented in this way and for informing inquirers of how their comments are being recorded and considered. Participation is further encouraged if results of telephone interactions can be displayed and distributed to participants.

How do agencies use the output?

Telephone survey results are especially useful in sampling public opinion. They demonstrate the degree of public support for an agency's proposals and thus shape the results. They show potential political difficulties, becoming useful in developing policy.

Hotlines help people reach the right staff person to give out information about a program. They help an agency receive and disseminate accurate information. (See Hotlines.) For example, Fort Collins, Colorado, offers a pothole hotline in its City-Line telephone service for people to report pothole locations. Fort Collins also offers information on right-of-way permits, highway access, excavations and construction activities, signal problems, bike lanes, and buses and carpools as well as city council and neighborhood meeting dates and subjects.

How are they organized?

Highly technical telephone techniques require outside assistance from specialized agencies or firms. The evolving relationships with cable television are likely to require expertise and specific programs or equipment.

Telephone techniques need a lead person within an agency--a person who is vitally interested in trying new techniques for reaching people. The Loveland, Colorado, interactive telephone/cable television service was initiated by the City Manager.

How do they relate to other techniques?

Telephone techniques can be part of a media strategy. They can provide information about meetings or ongoing planning processes. (See Media Strategies.) For example, nine cities in the Dayton, Ohio, area provide a community calendar of upcoming events, accessible by phoning a local cable television station.

Community surveys are sometimes made by phone. Telephone surveys or opinion polls are frequently used to obtain information that is not otherwise available to an agency. They are also used during a process when a specific piece of information is required. (See Public Opinion Surveys.)

Results of telephone polls are used in many other situations. They can be part of a focus group--as an element for discussion; they can be part of a charrette--to establish the points of view of the community at large; they can be used in civic advisory committees--to deal with community feedback on a program or project. (See Focus Groups; Charrettes; Civic Advisory Committees.)

Special efforts should be made to accommodate hearing disabilities. Text telephones such as TDD (Telephone Devices for the Deaf) phones are available with small screens and keyboards to aid people who have hearing disabilities. (See Americans with Disabilities.)

Telephone techniques are not used in isolation from other techniques such as public meetings or hearings. (See Public Meetings/Hearings.) They are especially useful in obtaining community reactions after programs or proposals have been adequately explained. They cannot replace face-to-face encounters with other participants and agency staff. (See Open Forum Hearings/Open Houses.)

What do telephone techniques cost?

Costs of telephone techniques depend on the extent of a program. Simple answering devices are inexpensive but not interactive. Staff assignments may be necessary in nearly all other techniques.

Telephone surveys are often inexpensive but in all cases involve a sampling technique that should be statistically valid for subsequent use and for credibility.

Basic interactive machines for cable television use are becoming less expensive, and some channels donate air time as a public service. The expense of producing a telethon or cable television program depends on the extent of information to be presented. Live action and animation are the most expensive portions of a presentation. (See Interactive Television.)

What are the drawbacks?

In recorded messages, participation is strictly limited unless a means of contacting staff or obtaining additional information is offered. Information is frequently disseminated without a means for people to offer opinions or to reach appropriate staff people for further queries.

Telephone techniques may not be democratic, if a large part of the population has no phone. This reduces the possibility of all participants having an equal status and an equal opportunity to participate.

Telephones do not always allow people to hear other opinions. A hotline provides agency information only. In telephone surveys, participants must wait until the results are posted for them to read. However, in electronic town meetings the results are posted shortly after polling is completed.

For further information:

Colleyville, Texas, (817) 281-4044
Diamond Bar, California, (909) 396-5689
Fort Collins, Colorado, (303) 221-6522
Miami Valley Cable Council, Dayton, Ohio, (513) 438-8887
Pennsylvania House of Representatives, (717) 783-6430
Virginia Beach, Virginia, City-Line, (804) 427-4068
Washington Bypass Study, Virginia Department of Transportation, (807) 786-2935

MEDIA STRATEGIES

What are media strategies?

Media strategies inform customers about projects and programs through newspapers, radio, television and videos, billboards, posters and variable message signs, mass mailings of brochures or newsletters, and distribution of fliers. Working with the media, an agency takes an active role in disseminating information. For example, the San Francisco area's annual "Beat the Backup" program during California Rideshare Week promotes ridesharing in partnership with a full range of the media.

Media strategies take a variety of forms. The simplest examples are fliers about projects within a corridor (a targeted market area) or variable message signs on highways that inform motorists (a targeted market) of delays ahead or of alternate routes. (See Public Information Materials.) Promotional brochures are used in direct mail campaigns or--as in Portland, Maine--through a full-size newspaper supplement explaining the regional transportation plan. Briefing reporters and editorial boards of both newspaper and broadcast media with in-depth background on a project or program prepares them to analyze an agency's approach and report on aspects of an issue in an even-handed way. (See Briefings.) In New Jersey, media executives were briefed on high-occupancy vehicle HOV lane proposals at the outset of planning for the project.

Why are they useful?

An agency proactively frames the message, rather than allowing the media to do it. Framing the message takes thought and attention about all aspects of a program or process. Media strategies are routinely incorporated into projects that need public focus, consensus, and understanding in order to move forward. In Idaho, the Department of Transportation uses video to introduce programs to the public and to provide news stories accompanying press releases.

Effective media strategies deliver a uniform message to alleviate the spread of misinformation that often becomes a barrier to understanding or implementation. Strategies can be styled to meet varying levels of interest. For Seattle's regional transit plan, a detailed program of media coverage was integrated with other forms of community outreach.

Many people rely heavily on the media for information about events, plans, or projects that affect them. The media are an important resource for people who have little time to attend meetings or participate in public involvement activities.

Do they have special uses?

Media coverage helps generate interest in a project or program. In any program, the critical first step is to develop a central message addressing such questions as: What is the plan or project? What does the public need to know in order to participate effectively? Who is the audience? Once these questions have been addressed, the specific media to carry the message are defined--the kinds of media that will best serve the need of encouraging public participation.

The media disseminate information widely. This includes informing and educating the public via major articles and profiles on television and in print as well as eye-catching ads to supplement the more formal, required legal notices. Specific transportation projects typically reach out to community residents along the affected corridor, to interest groups, and to municipal officials. A media strategy for these kinds of projects involves many activities. For example, in Washington, D.C., a media program to encourage ridesharing ranges from mall banners and decals for shop windows to an education program in elementary schools called "It's Cool to Pool."

Cable television is particularly useful as a tool for getting the word out. It is much cheaper than paid network advertising and has a more local flavor. Public access channels often videotape public meetings and other forums and play them repeatedly over a period of time. (See Video Techniques.) In addition, local cable channels have news programs, guest editorials, and interviews where project issues can be highlighted. For assurance of broad outreach to people who do not watch cable channels, programming on regular stations and networks is an effective alternative.

Who participates? and how?

Stakeholders and agencies often cooperate in a media program for a project. Civic advisory committees or other community representatives help identify the best way to get the word out. (See Civic Advisory Committees.) As individuals directly affected by a particular project or program, or through past experience, they may know the best way to reach the public. Agencies use community residents as part of speakers' bureaus that send representatives out to promote a project at meetings of organizations such as Rotary or Lions' Clubs and chambers of commerce.

How do agencies use the output?

Agencies monitor reactions to a media plan. Random surveys test market penetration and determine whether the message is meeting a targeted population.

A media plan elicits community responses. Mass mailings can include simple questionnaires to be returned to the agency. (See Public Opinion Surveys.) A television presentation can suggest that reactions be mailed to the agency. On two-way talk shows, agency staff interact with community callers to answer questions directly. As programs and projects evolve and progress, media activities are adjusted to reflect their status and to introduce new information.

The key is to put together a plan that informs and educates the public by delivering the central message, no matter which type or types of media strategies are identified.

Who leads media strategies?

Media strategies are led by agency staff, either the staff members most closely identified with the project or the public affairs officer. The involvement of local people is particularly important to a successful media campaign. Community input and feedback help to "take the pulse" of a program to be sure the media chosen are appropriate and effective.

What do media strategies cost?

Because media strategies are often expensive, they must be used carefully and efficiently. A minimum strategy includes a central message, perhaps contained in a basic press kit with maps, fact sheets, and other background information, supplemented by a media tour of the project site. Complex projects call for a more elaborate strategy. For example, in New Jersey a strategic media plan was developed for outreach to print and electronic media to support the long-range transportation plan.

Time involved is often substantial over the life of a project or program. Some strategies are relatively low-cost. Briefings with editorial boards of both print and electronic media, as well as regular low-key contact with reporters and other media staff, are low-cost ways to deliver a message. (See Briefings.) A public service announcement is usually a low-cost activity.

Costs rise with the kind of media used. A television/radio or newspaper campaign can be costly, involving air time and production/printing costs. Costs vary by project complexity and length. There are low, moderate, and high levels of investment for utilizing the media. Depending on the needs of the project, a media strategy ranges from relatively simple placards or videos to a high-profile media campaign involving radio and television ads in prime time.

Although costs of a paid media campaign are high, the investment pays off , particularly when:

How are they organized?

Media strategies should be comprehensive. Strategies need to be evaluated as they are being assembled and after implementation. Questions to ask include:

How do they relate to other techniques?

Media strategies are used in conjunction with other techniques. For example, televising civic advisory committee meetings enhances the participation process by giving it a wider audience. (See Civic Advisory Committees.) Results of brainstorming, visioning, charrettes, and community surveys can be reported in the media. (See Brainstorming; Visioning; Charrettes; Public Opinion Surveys.) News stories can promote a telephone hot line for answering questions. (See Hotlines.) A visioning process in Atlanta included televised town hall meetings, newspaper editorials, and a six-newspaper survey of public opinion that produced 10,000 responses.

Are they flexible?

Media strategies are extremely flexible. A wide range of techniques is used, depending on the project, its budget, and the complexity of the message. In Los Angeles, a commuter newsletter bulletin was prepared for widespread distribution to inform commuters about ride options and programs.

Preparation and monitoring is crucial. Advance work is essential for staff to prepare the overall program and central message and to identify the targeted audience. In New York, for example, a range of media has been designed to promote the new HOV lane on the Long Island Expressway: a video on ridesharing for businesses to use at their companies; posters in the workplace on carpools and vanpools; local cable channels for advertising spots; and variable message signs along the corridor. All these target a specific audience--either residents or employers in the corridor or daily expressway users.

What are the drawbacks?

Media outlets may outpace an agency by looking for a scoop and framing the message without agency or community input. Public agencies have little control over stories before publication or broadcast. Agencies frequently spend valuable resources to explain a message or to try to reshape public opinion rather than framing the message in the first place.

Media strategies take a high level of commitment sustained over time to be successful. Strategic planning starts at the outset of a project with the development of a detailed central message.

When are they most effective?

Media strategies should be developed early and sustained over time. In this way, the public is well-informed and aware from the beginning, thus enhancing the public participation process and creating greater opportunity for successful implementation of the project or program.

For further information:

Central Puget Sound Regional Transit Authority, Seattle, Washington, (206) 684-1730
Idaho Department of Transportation, (208) 334-4444
New Jersey Department of Transportation, Communications, (609) 530-4280
Rides (Commuter Services), San Francisco, California, (415) 861-7665
Washington, D.C., Council of Governments Ride-finders Network, (202) 962-3327

SPEAKERS' BUREAUS AND PUBLIC INVOLVEMENT VOLUNTEERS

What are speakers' bureaus and public involvement volunteers?

Speakers' bureaus are groups of specially-trained representatives who can speak about a process or program. They can be community people or agency staff. Bureau members meet with public and private organizations and groups on behalf of a project, program, or planning activity. Members of a speakers' bureau provide information about planning or project activities, listen to people's concerns, answer questions, and seek continued participation and input from the public. Agencies sometimes call them "listeners' bureaus" to emphasize two-way communication and the intention to listen to the public.

Public involvement volunteers are people from the community temporarily enlisted to assist an agency in developing and implementing a public involvement program. In Georgia, the Atlanta Regional Commission's Family of Partners' nearly 800 volunteers work with the commission on designing and implementing its public involvement program. The Family of Partners trains its volunteers to run meetings with local groups and neighborhoods and to move agency planning information down to the grass roots level.

Public involvement volunteers add to the capabilities of a speakers' bureau. Volunteer programs and speakers' bureaus may be used together or separately. Speakers can be either community volunteers or agency staff.

Why are they useful?

Speakers' bureaus and public involvement volunteers serve a variety of community groups. Speakers can be organized to address civic groups, social clubs, professional organizations, neighborhood associations, and other groups, but they have other uses as well. The Maryland State Highway Administration created a speakers' bureau to cover the five-county U.S. 301 corridor project study area. Speakers addressed county chambers of commerce, county commissioners, local Rotary clubs, neighborhood associations, building industry associations, churches, political clubs, city councils, local planning commissions, the regional delegation of the State legislature, the regional council of governments, the State association of counties, the regional transportation association, the professional engineering society, and real estate firms.

They expand possibilities for community participation. Speaking to community groups at a place of their choice increases the number of participants in a planning process. (See Improving Meeting Attendance.) Local groups involving people on their own terms and issues enhances interest and thus helps broaden participation. Groups such as business or professional organizations welcome community issues to the table at their own meetings, where they focus on specific issues and concerns.

They help the agency understand community viewpoints. Community representatives value the opportunity to present their concerns directly to an agency representative who has come to speak with and listen to them. They expect the representative to carry their comments back to the agency for incorporation into plans or programs.

They help the community understand an agency and its work. Speakers and volunteers help an agency establish closer relationships with various organizations, facilitating communication and involvement in its planning efforts. Working with several groups, they help develop a base of support for implementation of the agency's efforts. The League of Women Voters worked with the Port Authority of Allegheny County on the Pittsburgh, Pennsylvania, Light Rail Transit project.

They add vigor to the public involvement process. Speakers and public involvement volunteers help agencies respond quickly to requests from local organizations for an agency representative to attend a community meeting. The Missouri Highway and Transportation Department established a public involvement strategy team made up of mayors, Metropolitan Planning Organization (MPO) heads, and other local leaders for speaking in transportation districts throughout the State. This arrangement stimulated many creative efforts, including school curricula on transportation, writing contests, information tents at football games, and a variety of open houses. (See Games and Contests; Open Forum Hearings/Open Houses.)

Do they have special uses?

Public involvement volunteers can help assemble a community perspective on a project or program. Volunteers who live in the community offer special insight into a process or project. They understand its potential benefits and impacts and have a well-defined perspective an agency staff member might lack.

Speakers' bureau presentations can be tailored to address specific concerns. Presentations can address the special interests of business, environment, or local neighborhood groups. An agency can receive details of the concerns and amplify its understanding of the perspectives of different constituencies. An improved understanding helps an agency incorporate community points of view into its products.

Public involvement speakers and volunteers are useful at events like open houses, where person-to-person communication is a focus. (See Open Forum Hearings/Open Houses.) They also represent agencies at transportation fairs or events sponsored by other agencies. (See Transportation Fairs.) For the New Haven, Connecticut, Q Bridge project, members of the project advisory committee staffed an open house.

Public involvement volunteers can distribute information in meetings or door-to-door. In Boise, Idaho, the highway district pays groups to distribute materials such as reports and other documents. These public involvement volunteers disseminate information on the streets or in other public places; in some cases, they are prepared to answer simple questions as well. (See Public Information Materials.)

Public involvement speakers and volunteers help bridge communication gaps. Multi-lingual speakers serve as interpreters at events with a sizable non-English-speaking representation. During its statewide planning process, the Alaska Department of Transportation (DOT) used community volunteers as Inuit interpreters for meetings in rural areas. When DOT planners were on the agenda at traditional council meetings, where many elders do not speak English, they took along Inuit interpreters to translate their long-range plan presentations and facilitate question-and-answer sessions.

Public involvement volunteers serve functions in addition to speaking. As part of an agency's public involvement program, volunteers serve as assistants and auxiliary staff, or they may actually lead or assist in organizing large events such as transportation fairs or agency open houses. (See Transportation Fairs; Open Forum Hearings/Open Houses.)

Who participates?

A variety of people serve as speakers or volunteers--members of partnership agencies, consultants, agency board members, elected officials, or community residents. Speakers from civic and technical advisory committees have the advantage of being already familiar with a planning effort. (See Civic Advisory Committees.) Agency representatives (including public involvement and technical specialists) serve as a nucleus to help in training. The Maryland State Highway Administration called on people from its staff, the consultant team, and a State-appointed civic task force to create a speakers' bureau for the U.S. 301 corridor project.

Many groups of people are reached by speakers, including homeowner organizations and neighborhood associations, chambers of commerce, regional environmental and civic organizations, labor unions, professional associations, religious groups, fraternal and philanthropic organizations, and educational institutions.

How do agencies use speakers' bureaus and public involvement volunteers?

A speakers' bureau functions as an on-call service. Once a public agency selects and trains speakers, it relies on them as an on-call resource to respond to requests by community groups for agency presentations. The Puget Sound Regional Council in Washington State has established a speakers' bureau to improve understanding of freight movement as the circulatory system of its economy. The Council works with volunteers from the private sector's Regional Freight Mobility Roundtable to set up its speakers' bureau calendar.

Public involvement volunteers have an advantage in eliciting concerns and issues. Community volunteers genuinely portray themselves as part of the general public. They are often seen as more neutral than agency staff.

Speakers and public involvement volunteers contribute to an agency's written communications. The San Francisco, California, Bay Area Rapid Transit District (BART) encourages its speakers and public involvement volunteers to write newsletter articles. People who have served as members of the agency outreach team can help establish a rounded perspective in the agency's written communications. (See Public Information Materials; Media Strategies.)

A public involvement volunteer program helps identify people for leadership positions. Volunteers frequently include interested individuals or stakeholders. If they are effective speakers with well-developed interpersonal skills, they may be candidates for further leadership in the community. (See Civic Advisory Committees; Collaborative Task Forces; Citizens on Decision and Policy Bodies.)

Who leads?

An agency appoints a staff person to coordinate speakers and volunteers. Project managers often control staffing for their projects, and they may be equipped to select and manage speakers and volunteers. Alternatively, an agency's speakers' bureau can coordinate the speakers or public involvement volunteers for all projects and programs of the agency.

Agency staff must provide training to help speakers and volunteers be most effective. For speakers and volunteers, training should be simple and continuous. Volunteers with public speaking experience may need instruction on technical issues or a political context. Other volunteers and agency staff may need coaching in the art of speaking. Training should be available to speakers from the beginning of their involvement, and periodic refresher sessions should be worked into the program.

Leadership is sometimes found outside an agency. As speakers and volunteers address organizations and associations, people are drawn into the process. This widening pool of individuals may include many dynamic and influential people who, as they become interested in an agency's work, may be tapped for additional outreach efforts. If they are community group leaders, they may become key players in mobilizing their organizations to assist an agency with its program or a specific project.

What are the costs?

Speakers' bureaus are relatively inexpensive. Basic costs are incurred in sending speakers to a public meeting, whether they are volunteers or not, including travel, handout materials, feedback cards, presentation equipment, and (possibly) refreshments. Some agencies reimburse volunteers for travel costs, including meals.

Public involvement volunteers can stretch a limited outreach budget. An agency keeps public involvement costs down by making efficient use of volunteers. Volunteers also enable an agency to greatly expand the scope and intensity of its outreach program. Volunteer speakers provide assistance to agency staff that lets the agency hold more meetings and reach more people on a limited budget.

Even volunteer bureaus have a cost to the agency. Start-up costs are associated with organizing the bureau and recruiting and training speakers. Staff time costs are associated with debriefing speakers after their meetings and with necessary record-keeping and meeting follow-up. The Atlanta, Georgia, Regional Commission trains volunteers to be speakers and sends a junior staff person to every meeting led by a public involvement volunteer to take notes and ensure agency follow-up.

Public involvement volunteers and speakers are sometimes paid for temporary work. For special events, projects, or programs, it is useful for an agency to pay its volunteers and speakers a nominal sum for their efforts. The use of speakers and volunteers extends staff capabilities for a brief period or for an extended period of planning or development.

How are speakers' bureaus and volunteers organized?

Speakers' bureaus are initiated before or after community requests. Agencies that are pro-active create a speakers' bureaus first, then solicit invitations for speakers to come to meetings of community groups.

Agencies recruit representative candidates for their speakers' bureaus. Since speakers are perceived as representatives of an agency, it is imperative that the agency recruit people qualified and willing to do the job. Speakers function as ambassadors, and their work should represent an agency's best efforts.

Agencies train and equip the speakers for their work. People frequently need help preparing for the role. Basic training includes tips on posture, elocution, diction, and timing. While practice sessions and role playing help in training, new speakers can attend presentations by veteran speakers to see what the work entails.

Speakers need adequate materials and preparation. A core presentation can be devised for speakers to use, including handouts, maps, videos, or presentation boards. Prior to meetings, agency staff can assist a speaker in tailoring the presentation to the host group's special interests. Many speakers' bureaus also distribute questionnaires to the host groups and prepare a list of specific questions to be discussed at meetings. Speakers should be given an easy method of reporting back to the agency.

Speakers rely on agency staff for support and assistance. Junior staff people accompany speakers to meetings to take notes, help with materials or equipment, and assist with follow-up and reporting. Written records of all meetings are prepared, with special attention given to major comments, perspectives, and concerns. Agency staff helps speakers follow through on responses to questions or requests that cannot be immediately addressed at a meeting.

Speakers and public involvement volunteers are matched to community group needs so their particular backgrounds and skills are effectively employed. In a large-scale project, many organizations learn of the agency's efforts and seek additional information. The agency speaker/helper coordinator then works to assign appropriate speakers to the various host groups.

Agencies offer the speakers' bureau as a special public service. The initial task is to let groups and organizations know such services are available. An agency contacts the prominent civic and social organizations within a study area and offer speakers for future meetings. This arrangement allows the agency to distribute meetings over time to make the best use of time available to its speakers.

Speakers and volunteers focus on communication and follow-up. Within a speakers' bureau, the essential functions of communication and follow-up must be stressed throughout. Speakers and volunteers facilitate communication between an agency and its constituency and get the right information out to people who request it.

How are they used with other techniques?

Speakers' bureaus are used in conjunction with written material or videos and other graphic information pieces. They are also used to follow up mailings of brochures or fliers. (See Public Information Materials.) Rochester, New York's Genesee Transportation Committee includes in its basic outreach materials a brochure about its well-established speakers' bureau.

Speakers' bureaus and public involvement volunteers are integrated into a larger effort with a variety of other public involvement techniques. Although they are useful and relatively inexpensive, they cannot substitute for other methods of reaching and involving the public.

Civic Advisory Committee members are ideal candidates for speakers' bureaus. Since they are already actively involved in an agency's efforts, they can speak comfortably about the agency's project or program. (See Civic Advisory Committees.) The Governor of Maryland appointed 76 people to a task force to study the U.S. 301 corridor. Several qualified speakers from this task force volunteered to speak to community groups and to make presentations to their own organizations or societies.

At open houses, speakers and volunteers help explain an agency's work. Open houses can be labor-intensive, with many simultaneous one-on-one discussions. The support of volunteers makes the effort easier for an agency with limited full-time staff. Public involvement volunteers also assist staff in the variety of tasks involved in preparation and implementation of an open house. (See Open Forum Hearings/Open Houses.)

Public involvement volunteers staff drop-in centers or booths at transportation fairs. They direct people to displays or written literature and answer questions. If they cannot answer specific questions, they take names and addresses for follow-up by an appropriate agency staff member. (See Transportation Fairs; Drop-in Centers.)

Trained public involvement volunteers offer advice on program elements. With speaking experience and exposure to community groups, volunteers have useful perspectives on an agency's public involvement program. The League of Women Voters helped the Metro Transit Authority in Seattle, Washington, improve its public involvement program. The Austin, Texas, MPO enlisted community volunteers to help monitor and evaluate the effectiveness of an entire public involvement program for an alternatives analysis/draft environmental impact statement.

What are the drawbacks?

An agency has less control over unpaid volunteers. Unpaid volunteers, acting as speakers or volunteers, are not employees and are not entirely under the control of the agency. An agency may design the speaking program, but it cannot completely control the message the speakers give out. To minimize this difficulty, the leader of the speakers' bureau needs to select speakers carefully to match speaker with audience.

These techniques do not substitute for staff involvement. Speakers' bureaus volunteers are not shields between the public and agency officials. Agency heads, project managers, program coordinators, and technical staff still need some exposure to the community during the public involvement process. Speakers and volunteers play an important role in the outreach process, but they must not be "fronts" for a distant agency.

An agency has a responsibility to volunteers and is aware of their best interests. An agency does not expect volunteers to put in the same hours or travel the same distance as paid staff. While an agency may not be able to pay its volunteers, it acknowledges their contributions and guards against demanding too much from them.

Volunteers loses credibility and standing in the community if things go awry. At a critical stage in a project, especially if there is a potential for confrontation, it is best to avoid using volunteers for presentations. They have more to lose in the local community than an agency does. Agency staff, however, may be seen as "only doing their jobs" during tough going.

Are speakers' bureaus and volunteer programs flexible?

Speakers and volunteer programs are shaped and modified as conditions change and requests come in for agency presentations at group meetings.

These techniques make an overall program more flexible. By creating a speakers' bureau or organizing volunteers, an agency adds flexibility to its outreach. Speakers and volunteers bring a variety of additional skills, contacts, and personal qualities to an agency's program or project that might otherwise not be found among agency staff.

When are they used most effectively?

Speakers' bureaus are effective when approaching a milestone event, a critical decision, or a program review. Getting the right speaker before the right group at the right time is very effective. Some speakers are considered "big guns@Cpeople of high stature within the community. In addition to political influence, some individuals or groups may command greater respect within the community, and a well-timed endorsement or sign of support helps an agency's project.

For labor-intensive events, it is cost-effective to use volunteers (paid or unpaid) to augment staff or stand in for staff. A group of trained, informed volunteers helps agency staff do more in the time available. Volunteers staff information tables, collect names and addresses, and forward inquiries to staff for response.

For further information:

Alaska Department of Transportation, Juneau, Alaska, (907) 465-2171
Atlanta Regional Commission, Atlanta, Georgia, (404) 364-2500
Austin Urban Transportation Study, Austin, Texas, (512) 472-7483
Bay Area Rapid Transit, Oakland, California, (510) 464-6172
Connecticut Department of Transportation, (860) 594-2000
Genesee Transportation Committee, Rochester, New York, (716) 232-6240
Georgia Department of Transportation, Atlanta, Georgia, (404) 656-5267
Idaho Department of Transportation, Boise, Idaho, (208) 334-8300
League of Women Voters, Washington, D.C., (202) 429-1965
Maryland State Highway Administration, Baltimore, Maryland, (410) 333-6431
Metro-Dade Transit Agency, Miami, Florida, (305) 375-5675
Missouri Highway and Transportation Department, Jefferson City, Missouri, (314) 751-1685

Port Authority of Allegheny County, Pittsburgh, Pennsylvania, (412) 237-7000

Chapter 1. INFORMING PEOPLE THROUGH OUTREACH AND ORGANIZATION

D. TAKING INITIAL STEPS

Getting started in public involvement need not be difficult. Here are some steps an agency can take to organize a process that involves people in transportation planning and project development:

1. Determine what kinds of information are needed for and from the public, when, and why.

Clearly define the goals and objectives of the public involvement program--make them specific to the needs of the particular transportation project or plan. Ask: Who is the "public" for this venture? What information does the public need in order to understand it? What kinds of information does the agency need from the public? When in the process will this information be most timely? In what ways will it be used to develop the best possible project or plan?

2. Meet with community members and key people to further refine the goals and objectives.

Make initial contacts with people known to be interested in or directly affected by an agency's proposal or planning process. Include residents and businesses from the general area where improvements are proposed. Include a representative sample of stakeholders from throughout the planning region as well as the transportation underserved and other hard-to-reach groups. Solicit initial comments on the proposal itself, on who the appropriate target audience is, and on how best to involve them in the process. These might be individuals, community representatives, or special interest groups (such as business, freight, and environmental organizations). Document the input and note the reasons for specific approaches.

3. Scan for stakeholders and potential participants.

Identify potential participants from a list of people likely to be directly affected by a project or planning process. Include special interest groups, other agencies, freight interests, community leaders, the disability community, minorities and ethnic groups, low-income people, and the poorly educated. Ask people to recommend other potential participants or groups that represent the community or specific interests.

4. Build a contact list and mail introductory information.

Set up a contact list of potential participants that includes their affiliations and notes their particular concerns. Welcome them to the participation process. Describe the purposes and goals of the project or planning program, provide an overview of the ways people can become involved, and give date, time, and agenda for initial meetings. Establish personal contact with those who are unable to read a mailing.

5. Organize participants who are intensely interested into core groups, and establish means for others to participate as their input is needed.

Offer people ways to participate that match their level of commitment. Invite those who are highly involved to address specific tasks or issues on a regular basis. Offer an array of other participation options for people with less time or a lesser stake in the project or plan.

6. Set up a first meeting.

Choose a date or dates convenient to the most participants. Consult community leaders for best times and places for meetings. Notify the public and the media; send a mailing to everyone on the contact list.

7. Evaluate the approach with participant advisors.

Seek early feedback from community advisors to see if the public involvement approach is working. Identify needed changes. Determine the effectiveness of agency communication links.

Chapter 2. INVOLVING PEOPLE FACE-TO-FACE THROUGH MEETINGS

Meetings--formal and informal--are the backbone of a public participation program. People like and need firsthand opportunities to discuss agency programs and plans.

Why are meetings important?

Meetings provide a time and place for face-to-face contact and two-way communication--dynamic components of public involvement that help break down barriers between people and the agencies that serve them. Through meetings, people learn that an agency is not a faceless, uncaring bureaucracy and that the individuals in charge are real people. Meetings give agencies a chance to respond directly to comments and dispel rumors or misinformation.

Far from being passive gatherings, meetings are interactive occasions when people discuss issues of consequence to them and their neighbors, listen to opposing viewpoints on the issues, and work together for the common good. Agency staff people who handle public meetings need to be trained in skills that encourage interaction and also keep the process focused and productive.

Do agencies have options in organizing meetings?

The particular circumstances of a plan or project determine the type of meeting that is appropriate, when it is held, the way it is organized, and how it is conducted. Most meetings work best when they are adapted to a specific purpose--for instance, for stakeholders in a proposed project or plan to monitor its progress and effects, or for an agency to build consensus and support. Because they demand time and effort from all participants, meetings must be planned and implemented carefully. Options for organizing meetings are described on the following pages:

A. determining the type of meeting;
B. selecting an organizing feature for a meeting; and
C. taking initial action steps.

Chapter 2. INVOLVING PEOPLE FACE-TO-FACE THROUGH MEETINGS

A. DETERMINING THE TYPE OF MEETING

The type of meeting, its timing, and its level of formality are determined by its purpose in the overall public involvement effort. An effective strategy tailors meetings to the target audience, the corridor or region, or the types of stakeholder groups--and, in some instances such as public hearings, to the legal requirements.

Scheduling for a meeting depends on what information participants need and when they are likely to need it, as well as on when agencies need information from the public. Sometimes a series of meetings is appropriate:

Flexibility is crucial. Agencies may vary meeting types to grab attention or focus on specific elements of a plan or program. Near the completion of a process, if an agency is legally required to hold a public hearing, it may choose to prepare potential participants with further informational gatherings and discussions. In cases where time is insufficient, agencies might schedule another date when discussion can continue.

Agencies tailor the type of meeting to its substance and purpose, as outlined below:

PUBLIC MEETINGS/HEARINGS

How do meetings and hearings differ?

Public meetings present information to the public and obtain informal input from community residents. Held throughout the planning process, they are tailored to specific issues or community groups and are either informal or formal. Public meetings have been used for many years to disseminate information, provide a setting for public discussion, and get feedback from the community. Over 100 public meetings were used to develop a subway extension in Boston. While the technique itself is not innovative, some creative applications are being made. For example, Delaware used public "exhibits" in an informal open house format with one-on-one discussions as a focal point of each phase of a highway planning effort.

A public hearing is a more formal event than a public meeting. Held prior to a decision point, a public hearing gathers community comments and positions from all interested parties for public record and input into decisions. Public hearings are required by the Federal government for many transportation projects and are held in transportation planning at the discretion of the sponsoring organization. Public notices in a general circulation newspaper cite the time, date, and place of a hearing. The period between notice and hearing dates provides time for preparing comments for submission to an agency. During this period, the agency accepts questions and provides clarification. The Georgia Department of Transportation (DOT) expands the question-and-answer period by holding an open house in conjunction with a public hearing. (See Open Forum Hearings/Open Houses.)

Meetings and hearings have these basic features:

Why are they useful?

Meetings and hearings are forums for receiving community comments. Both are widely used to achieve a basic level of community input and to exchange information with a wide representation of community residents.

Public meetings are optional events and thus tailored to agency and community needs. Public hearings, by contrast, are frequently used to fulfill regulatory requirements. Meetings and hearings can, however, be linked. For example, Metropolitan Planning Organizations (MPOs) in both Atlanta, Georgia, and Bridgeport, Connecticut, held multiple meetings on a transportation improvement program (TIP) at local public review meetings, followed by a public hearing at the MPO level.

Public meetings are flexible and can be held as part of MPO or statewide planning or part of a single project. There can be multiple sessions on a single topic: the Kentucky DOT held community meetings on the State TIP over a three-month period. Meetings can be held in multiple locations, as can hearings.

A public hearing is a single opportunity for people to be heard. If held at the end of a process without other opportunities for involvement, it does not provide opportunity for early and continuing involvement as described in Federal regulations. More frequent community input is essential to agencies and more satisfying to people as a means of meeting participation requirements and goals. In Seattle, for example, the Central Puget Sound Regional Transit Authority (RTA) took part in more than 1,000 community meetings, forums, open houses, and hearings to provide information and receive public input on the Regional Transit Plan. As part of this effort, agency representatives participated as guest speakers in meetings of groups such as the MPO.

Do they have special uses?

Each meeting or hearing facilitates participation. Scheduling these opportunities demonstrates progress toward involving community residents in projects and programs. They provide a place to identify positions and report a consensus or divergence of opinion to an agency. In Brisbane, California, a "Have Your Say Day" was held to obtain individuals' ideas for the city's planning efforts.

A single meeting can address several related projects or community planning issues. This is more efficient for agencies, in terms of both staff time and mailing costs, and it helps avoid participant burnout, particularly when many of the same people are interested in several projects or plans. Joint meetings also help to place individual project issues and goals within a broader community context. For 10 projects along the San Francisco waterfront, the city created a Waterfront Transportation Projects Office that coordinated all the city agencies involved. The office used a common mailing list, coordinated newsletters, and joint meetings. Through this cooperative effort, participants saw their specific concerns in relation to the "big picture."

Who participates? and how?

All community people can participate in meetings or hearings. In some instances, participation is structured, either within larger meetings or for geographic areas. Both the Baltimore and Washington, D.C., MPOs provide time for formal public comment periods (15-20 minutes) at each of their meetings. In Portland, Maine, the MPO received input from neighborhood associations. The New Orleans MPO made special efforts to reach out to businesses by sponsoring two major conferences dealing with transportation issues of interest to businesses. The Mobile, Alabama, MPO brought in Chamber of Commerce representatives to review TIP projects and worked with them and others to forge a consensus. Meetings, but not hearings, can be focused on particular groups.

How do agencies use the output?

Meetings and hearings help monitor community reactions to agency policy, proposals, and progress. By observing reactions at periodic meetings or at a hearing, agencies and people are made aware of opinions and stances. If public meetings are held early in the process, these opinions may be analyzed and responded to before they become solidified or difficult to modify. Public hearings provide formal input to decisions.

Meetings can become a driving force for technical work. The MPO of Dane County (Madison), Wisconsin, devoted one year of a three-year, long-range planning process to responding to community input and comments brought up at a series of meetings scheduled throughout the period.

Who leads public meetings or hearings?

Meetings may be led by an agency staffer or a member of the public. In some instances, it may be appropriate to hire a professional facilitator to lead a meeting, especially if the issue to be discussed is highly divisive or controversial. A "discussion document" helps prepare people for participation if distributed prior to public meetings, as is done in Los Angeles.

By contrast, hearings are led by a public hearing officer, who is an agency representative. Agency staff helps disseminate information, particularly when a public hearing is combined with an open house. Virginia DOT publishes a step-by-step guide for open house public hearings, emphasizing that people can attend at a time of their own choosing and can present comments either formally or informally, as desired. The Georgia DOT reports that proportionally more citizens make comments at open forum public hearings.

What are the costs?

Resource and staff needs can be substantial, depending on the type of meeting. Delaware's exhibit meetings were heavily staffed--16 to 18 professionals were stationed throughout the room to answer questions and determine the concerns of the 300 to 500 people who attended each event. In a meeting or hearing preceded by an open house, displays of major elements of a plan or process are required for full explanations to community residents. Sketch overlays, notepads, or comment sheets are needed to record public comments at the meeting.

How are they organized?

An agency organizes a public meeting or hearing and prepares pre-meeting materials, including meeting announcements and agendas, displays, audio-visual materials, and any mailings or publicity that are necessary. The public should be made aware of the free access to these materials. (See Public Information Materials; Mailing Lists.) In San Diego, the MPO publishes an agenda and monthly digest of its meetings for public distribution. Agencies consider the needs of people with disabilities and transit access in selecting a convenient place and time.

An agency or community people may want to set up ground rules for meetings. These include:

For a public meeting, an agency provides meeting summaries in written form, describing areas of agreement and disagreement. All points of view must be clearly and fairly stated. A hearing transcript is formally prepared, based on a stenographic record or tape.

How are they used with other techniques?

A media strategy is always necessary for either a public meeting or a public hearing to attract the widest possible audience. (See Media Strategies.) For example, adequate advertising for public events always includes more than a single newspaper advertisement. During a public meeting, a brainstorming, visioning, or charrette technique may be used. (See Brainstorming; Visioning; Charrettes.) A facilitator may be appropriate. (See Facilitation.) Special provisions need to be made to comply with the needs of disabled people for access to the meeting. (See Americans with Disabilities.) Video or audio tapes of proceedings are important for analytic or other purposes. (See Video Techniques.)

An open house is similar to a transportation fair, for either a public meeting or a public hearing. Presentations, slide shows, and one-on-one discussions continue throughout the event. Exhibits are laid out as a series of stations: a reception area; a presentation area for slide shows or short talks; areas for one-on-one discussions between community people and agency staff members, and displays of background information, activities to date, work flow, anticipated next steps, and an array of primary subject panels. (See Transportation Fairs; Open Forum Hearings/Open Houses.)

What are the drawbacks?

A public hearing is an insufficient level of public involvement when held at the end of a process and not accompanied by other opportunities to participate. In such a case, community members feel their concerns cannot be addressed because they are heard too late and have little chance of being integrated into the final decision. At open house public hearings, although people may present views publicly, they are heard primarily by the agency and not by other participants. Such hearings in Delaware include time for speakers to talk in front of others who may have conflicting viewpoints.

Public meetings do not always allay community doubts about agency credibility. Although they improve the possibility of adequate public involvement, meetings must be frequent enough and well-focused enough on issues to demonstrate agency concern about public involvement. In addition, an agency needs to make clear the link between meeting input and decision-making. Public meetings must be held early in the process and reasonably frequently thereafter to dispel fears that they are perfunctory or that an agency is not listening to community concerns. Large meetings or formal hearings may intimidate people and restrain commenting.

A very small percentage of the public attends public meetings, so such meetings should be only one component of a more comprehensive public involvement program.

For further information:

Atlanta Regional Commission, (404) 364-2500
Central Puget Sound Regional Transit Authority, Seattle, Washington, (206) 684-1357
City of San Francisco Chief Administrative Office, (415) 554-5782

Dane County, (Madison), Wisconsin, (608) 266-4137
Delaware Department of Transportation, (302) 739-4348
Georgia Department of Transportation, (404) 986-1360
New Orleans Metropolitan Planning Organization, (504) 568-6611

OPEN FORUM HEARINGS/OPEN HOUSES

What are open houses and open forum hearings?

An open house is an informal setting in which people get information about a plan or project. It has no set, formal agenda. Unlike a meeting, no formal discussions and presentations take place, and there are no audience seats. Instead, people get information informally from exhibits and staff and are encouraged to give opinions, comments, and preferences to staff either orally or in writing.

An open forum hearing expands a public hearing to include elements of an open house. In addition, after reviewing exhibits and talking with staff, participants can comment on a proposal for the formal transcript of the public hearing. Open forum hearings require formal notice, even though the hearing itself is informal.

Open houses and open forum hearings have the following common characteristics:

In addition to having all the features of an open house, an open forum hearing has the following distinctive characteristics:

Why are they useful?

Open houses and open forum hearings provide an informal, casual, and friendly ambience. People drop by at their convenience, get the information that interests them, and stay as long as they wish. Informality encourages participants who are intimidated by formal meetings to attend and give input; often the quality of responses is higher. The short time required for participation attracts people who do not want to sit through long public meetings.

Participants have many opportunities for questions and for detailed answers. One-to-one conversations between agency staff and participants encourage information exchange and foster courtesy and attentiveness. Question periods have no strict time limits.

Participants have direct interaction with staff who might not otherwise be readily available. Making technical staff available shows an agency is open to community input. It allows for an informal exchange of information, with everyone learning from each other. People can receive immediate responses to questions about issues. Technical staff is available to reduce misinformation and rumor. The New Mexico Department of Transportation (DOT) includes a local district engineer in its open houses on planning topics to address immediate project concerns. The Arizona DOT used a series of open houses at various locations throughout the State to develop the statewide transportation plan.

The format focuses on issues rather than positions. This focus allows participants to consider strategies to help an agency identify issues and propose solutions. Participants may request information and comment on a proposal.

Open houses can be tailored to participants' specific needs. They are held as necessary to improve public understanding of a process or project. Graphics or other materials are prepared to directly address issues of public concern. The California and Nevada DOTs held a joint open house on the I-80 Rail Corridor Study, which included maps and displays with a video on potential new rail equipment for operation in the corridor.

Do they have special uses?

Open houses help get a community interested in programs, plans, or projects. The publicity and the procedure call attention to a process that is underway. For a Cleveland, Ohio, light rail transit project, open houses were scheduled to gain name recognition for the project and to call attention to the potential of the line.

Open houses are used when a project is complex. A project can be broken into smaller pieces to enhance understanding. Detailed information is presented graphically or in text. The format allows plenty of time for people to see displays and documents close-up. Agency staffers give oral information to supplement displays.

Open houses are held at an early stage in planning or project development to gather information from people. Further along in the process, they update this information or seek comments on the progress of a draft plan or a project. The Pennsylvania DOT used a combination of open houses with workshops to develop issues, goals, and specific policies for its long-range transportation plan.

Open forum hearings are used primarily with projects, although a State or a Metropolitan Planning Organization (MPO) may choose to call a public hearing for other purposes. During the environmental process for a project, the Nevada DOT uses the open forum format for an "informational hearing" at the beginning of the process and for a design public hearing at the end of the process. The Nebraska DOT holds formal public hearings at the location stage of a project and open forum hearings at the design stage. The Georgia DOT uses open forum hearings for virtually all of its projects. If attendance is large, the Department gives out numbers for those wanting to speak during the event and make their comments before court reporters.

Who participates? and how?

Anyone interested in a plan or project development can attend. New Jersey Transit used open houses as an integral part of its major investment study of a potential Monmouth-Ocean-Middlesex Commuter Rail Line.

Individuals with a specific stake in an issue are urged to attend. They are especially encouraged to attend open forum public hearings and make their opinions known.

Open houses or open forum hearings accommodate people who are reluctant to speak in front of an audience. Casual settings are not as intimidating as a public meeting with a large audience. Participants are encouraged to ask questions. The Orange County, California, transit agency provided bi-lingual staff at an open house in connection with a major investment study. Staffers were identified by blue dots on their name tags.

The media should be encouraged to attend. Information provided is generally comprehensive and may include useful visuals. Staff people involved in the project are available for details. People give their opinions of agency proposals or projects.

Stakeholders prepare visual and written materials to make their viewpoints known. Space can be made available for community viewpoints expressed in documents or graphics. At the invitation of the Tennessee DOT, American Indians and environmental groups teamed up to display their own materials at a table during an open forum hearing. People representing these groups were present to discuss their position.

People interact directly with staff. To get a "true" sense of a meeting, public hearing officers circulate around the room, listening to questions and answers. Circulating also gives staff members a chance to "relieve" others who are being monopolized by one person. The Tennessee DOT uses a court reporter and comment cards at hearings, along with a two-week period for further comments by letter, petition, or note.

How do agencies use the output?

Agencies use community comments for guidance in planning or project development. Comments help an agency take the pulse of the community, shape and modify plans, and monitor reactions of the individual stakeholders most affected by the proposal or project. Participants in the Orange County, California, transit agency's open house provided advice on how to best structure the subsequent public involvement program.

Agencies review comments and incorporate them into the work wherever possible. They also provide responses for the record to document and acknowledge receipt of public input. For open forum public hearings, comments and responses form the bulk of the formal transcript of a session, which also includes the agency brochure, summaries of agency displays, a transcription of oral comments, and copies of all written comments.

Who leads the process?

Agency staff members always take the lead for hearings and usually for open houses as well. They are responsible for organizing the session, setting up materials, getting staff to the session, recording the testimony, and documenting the process and community attendance. Staff members also respond to comments made at the session.

Agency representatives with expertise in the issues staff the tables at open house sessions. Technical experts or consultants may assist in the process. At open forum hearings, a public hearing officer is appointed by the agency to assure a session's smooth operation and the agency's response to comments.

What are the costs?

Open houses and open forum hearings involve significant staff time in preparation and reproduction of materials, such as displays, graphics, brochures, and other materials. (See Public Information Materials; Interactive Video Displays and Kiosks.) Significant staff work on publicity efforts is required to make a session successful. (See Media Strategies.) Staff can be briefed to assure that similar questions receive the same answer.

Open houses and open forum hearings are minimally expensive or more elaborate. Expenses increase with the complexity of the project and the scale of graphics or display materials required. Special large graphics dramatize the elements of a project. Expenses also increase as an agency makes extra effort to publicize the event.

Staff needs to be present at sessions held outside normal working hours. If consultants are involved, their contribution is helpful during complex projects or processes.

A hall is needed for the event, and rent may be required. A neutral space is desirable, depending on the level of controversy associated with the session.

How are they organized?

As an early step, an agency defines the issues to be presented. This process guides the choices and preparation of audio-visual materials (whatever graphics tell the story best). The process also guides the selection of written materials to be distributed.

Based on the issues, an agency designates an event coordinator. For example, the coordinator may be from the planning disciplines if the subject is long-range planning, or from the engineering disciplines if a project is to be announced or explored.

The agency coordinator sets a date and time for the event. Both date and time should be convenient for people who are employed during the day. The Regional Transit District in Sacramento, California, held evening and Saturday open houses to review alternatives for an extension of existing light rail into South Sacramento. In experimenting with alternative times for open forum hearings, the Georgia DOT determined that 4:00 to 7:00 p.m. met most community needs. The Michigan DOT has found that 3:30 p.m. to 5:00 p.m. and 7:00 p.m. to 8:30 p.m. work best, in part because rural communities often "respect" the dinner hour. Longer hours are essential for controversial or large-scale projects when many people want to participate. Alternatively, multiple sessions may be held at various times.

The coordinator finds space large enough to accommodate not only tables and displays but also traffic flow for people to move efficiently and comfortably between areas. At hearings, space should include a location for taking oral testimony, and the facility should be relatively quiet, comfortable, easy to find, free of conflicting events, and handicapped accessible. Places to sit and rest should be provided. Drinking water is essential.

Multiple locations are desirable for large geographical areas and for planning processes. To encourage people to attend meetings for its Statewide Transportation Improvement Program, the Oregon DOT held open house meetings in school cafeterias, libraries, senior centers, and a community theater. (See Non-traditional Meeting Places and Events.)

An agency gets the word out about the event. A media strategy helps an agency determine content and spacing of announcements. Media announcements dramatically enhance public awareness. Handouts are distributed in areas of potentially high interest. (See Media Strategies.)

The agency prepares illustrative materials for display. Presentation boards, copies of documents, maps, and videos are very helpful. (See Public Information Materials; Video Techniques.) Topics to be illustrated can include traffic, noise, specific sites, economics, design, neighborhood impacts, routes, goals, evaluation criteria, and policy issues. Fact sheets or maps can be provided for visitors to take home. The South Carolina DOT uses color coding on graphics intended for community review to emphasize and highlight the projected impacts of a project.

Tables are provided for specific purposes that allow people to address issues in depth. Each table should be clearly identified. During the feasibility study for the Los Angeles-Bakersfield High Speed Ground Transportation Project, tables were provided for the following: sign-in; orientation and video; routes and stations; environmental study; engineering; train technology; costs; statewide policy; and terminal station location.

The agency staffs the event. Staff people with specific areas of expertise are scheduled for each table. Reception staff people are essential to welcome new arrivals and to let them know how the open house works. The Georgia DOT uses a "greeter@Ca staffer who welcomes participants and helps them understand the process. Other staff members can aid in recording comments or in explaining issues to people. South Carolina DOT personnel wear name tags to identify themselves and encourage questions from participants.

A method for recording comments from the community is established. At open house sessions, an agency can provide cards for people to fill out, for either immediate or mail-back return. For mail-backs, pre-paid postage on the card or envelope speeds response.

For open forum hearings, an agency must provide a formal means of recording comments. The Georgia DOT uses a court reporter to record comments, while the South Carolina DOT provides a staff person to tape record them.

Long lines at stenographer or tape recording stations detract from the informality and convenience of this format for the public. Agencies may provide multiple stenographers or recording stations. The Georgia DOT used two stenographers for an open forum hearing attended by about 1,500 people. Another strategy is to use speaker time limits. At an open house on its statewide plan, the New York State DOT used a traffic signal as a device to let speakers know when their speaking time had expired. The Delaware DOT schedules its speakers in order of sign-up and adheres to a specified time limit. In other locations, however, time limits would be unacceptable. Agency staff in Michigan successfully rely on the rest of the audience to encourage brevity. Knowing when time limits are essential or appropriate requires a thorough knowledge of the community involved.

How are they used with other techniques?

Open houses can be combined with public meetings. Displays, brochures, documents, videos, and other materials can introduce a meeting and help people prepare for it. (See Public Meetings/Hearings.)

Open houses can be partly staffed with civic advisory committee members. For the New Haven, Connecticut, Q Bridge Study, committee members staffed open houses to help ConnDOT respond to questions about the study and the alternatives being considered. (See Civic Advisory Committees.)

Open houses often incorporate brainstorming or focus groups. The Delaware DOT allowed participants to write comments directly on maps. Other people could then review the comments and add their opinions. North Carolina's Triangle Transit Authority conducted mini-focus groups as part of open houses on long-range transit options for the region. (See Brainstorming; Focus Groups.)

Public information is essential, including press releases, briefings, speakers' bureaus, brochures, posters, mailings, and media announcements. All information must be timely to assure that public hearing notice requirements are met and to give people time to fit the event into their schedules. Reminders can be sent out a few days before the session. (See Public Information Materials; Media Strategies.)

Mailing lists are used to contact potentially interested people. An agency should make special efforts to solicit minority and ethnic participation and attendance at the session. (See Mailing Lists.)

An open house is a convenient place to conduct an informal survey. People can complete the survey right away or mail it back. In this fashion, an agency obtains responses quickly and analyzes the results to ascertain community interest and understanding. (See Public Opinion Surveys.) The Nevada DOT conducted a survey of interested parties in conjunction with an open forum hearing. As part of work on its long-range plan, New Jersey DOT recruited random participants for focus groups during open houses conducted at a shopping mall.

What are the drawbacks?

An open forum hearing without an audience session precludes debate on a proposal's merits. Parties do not hear opposing views first-hand--nor do they have an opportunity to clarify stances or raise questions about opposing viewpoints. Some critics charge that agencies use open forum hearings as a "divide-and-conquer" strategy. If differing views are not heard, the public may be surprised to find a controversy exists. When people hear one another, they develop an improved understanding of a proposal and its implications for other people. To assure that multiple viewpoints are presented at an open forum hearing, the Ohio DOT allows community groups to set up exhibition tables near the open meeting tables, labeled clearly to distinguish them from agency tables.

An open house/open forum hearing only reaches people willing to attend. Potential stakeholders who do not attend may not receive essential information, and their opinions are not heard. Translators, translations of summaries, and blue dots on name tags of bilingual staff, were used to supplement the Orange County, California, open house, because minority participants said they were ill at ease at such events. (See Ethnic, Minority, and Low-income Groups.)

Outreach is limited to a few days, even if hearings are held in different locations. A single event should not be the sole opportunity for people to be heard. It does not reach large numbers on a continuing basis--a key factor in successful public involvement.

Informal conversation does not replace written comment. In brief conversations with agency officials during an open house, people sometimes get lulled into a sense of being heard and fully understood. Agency staff cannot be expected to retain all opinions and may not have sufficient time to note each statement. Unless official recording is underway, people should be encouraged to present written comments, so their opinions or viewpoints are sure to be heard.

Constituents do not hear elected officials at an open forum hearing. At traditional public hearings, elected leaders announce their views. At open forum hearings, however, officials can speak to only a few people at a time.

Effective displays and materials may be expensive. Large-scale graphics and photographs are essential to promote rapid comprehension and understanding of a proposal. Video is often used as a method of explaining both the proposal and the process of public review. (See Video Techniques.)

When are they most effective?

An open house effectively disseminates information, either at an early stage or prior to decision-making. Input to decisions or plans is also collected. Additional events update information and obtain further public input. The Montana DOT uses an open house or walk-in session to disseminate information, frequently in tandem with a traditional hearing.

An open forum hearing is useful at the location or design stage for gathering information. The Montana DOT uses it when it is essential to register opinions from many subgroups.

For further information:

Connecticut Department of Transportation, (860) 594-2000
Georgia Department of Transportation, (404) 699-4406
Montana Department of Transportation, (406) 444-7205
Nebraska Department of Transportation, (402) 479-4871
Nevada Department of Transportation, (702) 687-3463
New Mexico Department of Transportation, (505) 827-3228
Pennsylvania Department of Transportation, (717) 772-2563
South Carolina Department of Transportation, (803) 737-1350
Tennessee Department of Transportation, (615) 741-2221

CONFERENCES, WORKSHOPS, AND RETREATS

What are conferences, workshops, and retreats?

Conferences, workshops, and retreats are special meetings to inform people and solicit input on specific policy issues, plans, or projects. In size and importance, they range from a subset of a larger meeting to a large multi-day event.

A conference is a highly-structured program of presentations and discussions. Conferences usually have an overall theme, with multiple related sessions throughout the day. They can have presentations or panel discussions followed by questions. Top officials or panels of recognized experts help boost interest in attendance. Conferences often have plenary sessions attended by all participants, followed by breakout sessions on various elements. Conferences are as short as half a day or as long as three days. The Kansas and Pennsylvania DOTs held all-day conferences on their long-range statewide transportation plans. Workshops dealt with specific issues of the plans.

A workshop is a task-oriented meeting organized around a particular topic or activity. Typically, it involves a relatively small group (20-40) and addresses aspects of a narrowly-defined topic. Workshops are usually one to three hours in duration for small groups to work on specific agenda. Because they are relatively short and task-focused, workshops can be part of a larger meeting, conference, or retreat. The Southwestern Pennsylvania Regional Planning Commission includes workshops at the beginning of every meeting to provide information and discussion on specific topics to be handled later in the meeting.

Retreats are workshops held in non-traditional settings without distractions. A retreat is especially useful to work on personal conflict resolution and communication. Participants give their undivided attention to specific issues without interruptions for phone calls or everyday distractions. Like workshops, retreats are typically task-oriented and work on focused topics. Because of the complexity of an issue or topic, a retreat may require one full day and sometimes longer.

Conferences, workshops, and retreats have several common characteristics. They:

Why are they useful?

Conferences, workshops, and retreats are useful at any stage of a process. As special meetings, they are used early to set the stage for formulating plans or projects. They are used mid-process to showcase and refine specific aspects of plans or projects, resolve conflicts, and work toward consensus. Near the end of a process, they demonstrate findings and conclusions of the work effort. The Albany, New York, MPO scheduled conferences at the beginning, mid-point, and end of development of its long-range plan.

Special meetings allow people to better understand a project or plan. They help individuals see the viewpoint of others. They give a "snapshot" of community concerns and reactions to proposals. The Portland, Oregon, Metro conducted mode and alignment workshops that generated good ideas from community residents. Participants worked on maps to illustrate their concerns and place proposed alignment options.

Special meetings offer a way to zero in on specific issues and concerns. They deal with a single topic and its ramifications, or focus on notable impacts of concern to individuals or groups. They provide an opportunity for detailed discussion on a wide variety of elements of a plan or a project. The Massachusetts Highway Department sponsored a series of conferences on the future of Route 128, Boston's beltway. One metropolitan-level conference included presentations by experts from around the country, while the other two focused on State and local concerns.

Do they have special uses?

A conference helps "kick off" a planning process or project development. Agency or elected officials add credibility to a process by being on the program to discuss their hopes for the project.

A conference provides a forum to discuss statutes and regulations. The Environmental Protection Agency (EPA) held a public conference called "The Right Route: Pollution Prevention and Transportation Planning in New England." National leaders from EPA and the Federal Highway Administration (FHWA) first addressed plenary sessions dealing with the implications of the Intermodal Surface Transportation Efficiency Act (ISTEA, ) the Energy Policy Act, and the Clean Air Act. Workshops were scheduled for late morning and afternoon to deal with issues and develop a list of potential outcomes to be reviewed by a panel of regional policy leaders at the closing plenary session.

Conferences are used to celebrate the successful completion of a process. Local residents and agency staff come together to review and evaluate a process and its product. Local officials and participants may officially bring closure to a successful process. Celebratory events reinforce the value of an inclusive planning process and give agencies an informal way to thank community members for their time and effort.

Workshops are particularly useful for smaller groups of people who want to participate intensively. A small number of participants gives each a way of being heard and registering thoughts and opinions. Small groups allow a greater appreciation of others' views through opportunities for more extensive interaction. Stanford University in Palo Alto, California, used workshops to ascertain local concerns and demonstrate how the concerns might be met, largely through urban design solutions.

Workshops and retreats are inherently participatory and encourage a "working together" atmosphere. The informality encourages discussion and give-and-take. By focusing on narrow topics, workshops allow time for every participant to express a viewpoint. They are easily integrated into a larger participatory process. The North Dakota Consensus Council, a public-private partnership, sponsors forums on issues ranging from education to local government services. Facilitators elicit diverse views, using consensus-building techniques to resolve conflicts and find common ground. (See Facilitation.)

Workshops and retreats make it easier to participate without "going on the record." Typically, participants can speak out without being quoted at a later time. Questions are asked to glean information. Participants raise and discuss points without formal attribution, and the "trial balloons" that are a positive feature of negotiation are floated. The Rochester, New York, Telephone Corporation held workshops to solicit concerns and views about potential deregulation of the telecommunications industry in that city.

Retreats are used to develop details of a transportation program. The Georgia DOT held a two-day retreat with 40 representatives of transportation users, operators, customers, and groups to "tell us what the public involvement process should be." The University of Georgia's Institute of Community and Area Development was retained to organize, conduct, and facilitate the meeting, resulting in short-term recommendations that have been implemented by the Georgia DOT.

Retreats can "clear the air" on contentious issues, bringing disputants together to hear all sides of an issue and work out differences. They can work on thorny problems and look for elements of agreement. With a neutral facilitator, retreats provide an off-the-record means of stating and working on issues between opponents. The process of addressing difficult issues helps loosen adversarial relationships and creates the possibility for compromise and consensus.

Who participates? and how?

Special meetings target specific stakeholders for presentations and discussions. Conferences, workshops, and retreats help deal with specific local concerns. They help garner suggestions and support by explaining a proposal thoroughly. The State of Washington's Western Area Power Administration used workshops to develop and select strategies of its plan for future power needs using customer preference exercises.

Conferences, workshops, and retreats can be tailored to subsets of groups or constituencies who do not normally participate. The level of impact on specific portions of a community may warrant establishing specific meetings for them. (See Ethnic, Minority, and Low-income Groups.) Over time, it may be appropriate to add workshop sessions to incorporate local concerns into planning or project development. Costa Mesa, California, organizations sponsored "living room dialogues" among small groups to air feelings and issues about day laborers gathering in a park and shopping center while waiting to be hired. Discussions resulted in establishment of a hiring center for day workers and a new human rights commission.

Conferences are customarily open to the public. Workshop and retreat participants come from the entire community or by invitation. Special efforts are needed to assure that all potential stakeholders are aware of the event. Invitations can be extended to business leaders and active members of civic clubs or organizations, along with agencies and interest groups. Inviting elected officials to special meetings is always appropriate. Certain conferences are attended by invitation only. The Minnesota Metropolitan Council invited key players in business, government, and education to a conference on regional economic strategies as part of a plan to build council identity.

Knowledgeable people should be part of each special meeting. For conferences, experts in specific fields serve as speakers or presenters of information. For workshops and retreats, resource people are essential for providing information and answering questions. Agency people ordinarily act as individuals in the meetings, unless specialized questions are asked. For breakout sessions, workshops, and retreats, a trained facilitator acts in the neutral, central role of leading the meeting and keeping it on course.

Workshops and retreats can target specific groups. The Edison Electric Institute held a two-day retreat to improve communication between industry and consumer groups. A group of 20 to 24 people were invited, chosen by their demonstrated ability to effectively present a position for their groups. Time was allowed for socialization to encourage personal relationships and dialogue among the participants.

During a special meeting, participants ask questions and add their points of view to the discussion. They challenge agency reasoning on projects or plans. They discuss alternative uses of resources.

Agencies hold meetings in local areas convenient for participants. Planning for the Central Valley water project in California included public workshops at disparate locations held every four or five months over a three-year period. The project involved four rounds of meetings throughout the valley.

Participants need preparatory information prior to a meeting. An agency sends information to potential participants in advance to let them choose whether or not to attend a special meeting. (See Mailing Lists.) A conference agenda or brochure displays topics, speakers, and opportunities for participation in discussion. A telephone number or agency contact helps participants find further information.

How do agencies use conferences, workshops, and retreats?

Special meetings send a message of agency commitment to public involvement and enhance agency credibility in a process of planning or project development. A conference held in Atlanta, Georgia, helped define new interagency approaches to fostering public participation of people affected by transportation investments. The conference was jointly sponsored by the Federal Highway, Transit, and Rail Administrations and the Environmental Justice Resource Center at Clark Atlanta University.

They give plans and projects a high profile and attract interest. By focusing events and presentations on a single proposal, an agency attracts many participants, including the media, to an event where they can be guided toward presentations or discussions that interest them.

Conferences give in-depth information about a project or plan. The complexity of a planning effort or project development can be portrayed at a conference where detailed information can be obtained. A conference includes sub-meetings and presentations on a variety of topics. A conference program has several topics presented at the same hour in separate rooms, allowing participants to choose among them.

Special meetings provide input to a plan or project. Agencies obtain new ideas in response to their proposals. Participants have an opportunity to offer suggestions for policy changes or for alterations in details of a project. Special meetings provide an opportunity for participants to debate the issues with one another.

Who leads them?

A conference may require specialized organization and leadership. The scope of a conference, involving many presentations and break-out sessions, may be challenging for existing staff to manage. An agency conference manager may be needed. Consultant staff may be required to manage the event.

A conference can be co-sponsored by more than one agency, thus broadening the range of concerns and attracting new participants. The Missouri Highway and Transportation Department has had successes with co-sponsored conferences.

Conferences with few speakers may be managed by a small staff. Organizing date, place, time, and speakers is manageable if the event is uncomplicated.

A workshop is led by an agency staffer or community volunteer, if the size of the group is manageable. A large workshop requires special skills to moderate the event and keep it on target. An agency project manager may attend a workshop but usually should not lead the session if issues are highly controversial, since that may compromise the objectivity of the process. Workshops may be led by citizens themselves. The Puget Sound Regional Transit Project has financially supported citizen-initiated workshops. This alleviates the issue of government control and promotes community leadership.

Retreats require a neutral moderator. Agency staff members may be able to lead the session but are seen as biased if they are involved in the process or project. A neutral moderator should remain unbiased in soliciting ideas and comments from all participants and should direct the proceedings toward the goals of the retreat. (See Facilitation.)

What are the costs?

Initial costs include renting meeting space and breakout rooms, if necessary. Conferences require staff for entrance and registration areas and preparation of individual rooms for specific presentations. They include arranging for speakers or presentations, including costs for hotels and food if out-of-town speakers are used. Costs frequently include refreshments for participants. For a full-day conference, it is wise to arrange for lunch for the speakers and the participants.

A few conference costs are offset by registration fees. The fee ordinarily covers only the costs of printing and refreshments. The Chesapeake Bay Foundation, a community organization, charged $15 for a conference to inform people about transportation issues, the importance of public involvement, and new opportunities for involvement. The conference included skills workshops dealing with gaining media exposure, influencing decision-makers, and building a coalition. The Albany, New York, MPO charged small fees to cover meals for its conferences but provided scholarships for low-income participants.

Workshops are less costly than conferences. A workshop usually requires only a room and a staff person to manage materials, welcome participants, and document the process. Fees for a workshop or retreat are usually not appropriate, because they can discourage people from attending.

A retreat requires a room and a facilitator. The facilitator must be neutral and not a proponent of an agency's agenda. Like a workshop, a retreat requires only a room and a staff person to serve the needs of both the facilitator and the participants. (See Facilitation.)

Finding rooms in publicly-owned sites helps keep costs down. Colleges or universities provide good locations for conferences, workshops, or retreats. These sites are usually neutral locations where participants feel welcome.

Supplementary funding sources may be available. The Pittsburgh, Pennsylvania, MPO received financial support from a local foundation to pay for all costs of a weekend retreat for a blue-ribbon panel reviewing the long-range plan.

How are they organized?

All special meetings are coordinated with the community, which provides input on what issues to cover and who from the community should be involved. Publicity is funneled through neighborhood channels. The community may suggest a place and date for the special meeting. (See Key Person Interviews; Civic Advisory Committees; Public Opinion Surveys.)

Conferences require a rigid structure and agenda for speakers, presentations, and break-out groups. Preparation for a conference requires a good deal of staff work to organize the content and publicize the event to the community.

Agency staff organize a conference, if resources are available. Agencies should be aware that the resources are significant. Specialized consultants may be necessary as conference assistants.

Workshops and retreats have a flexible structure. They can be organized more casually than a conference and are flexible in selection of date, place, and format. However, they require leadership to assure that they accomplish the assigned task or goal. Both workshops and retreats need an agenda, noting the time available for discussion of agenda elements, and information on what the agency intends to do with the information from the meeting.

How are they used with other techniques?

Brainstorming is an integral element of conferences, workshops, or retreats and a useful way to quickly involve many participants in the process. (See Brainstorming.)

Visioning is advanced by workshops and retreats. A special meeting can focus on establishing a vision for the future. With an allotted time period to explore varied aspects, the special meeting is well-adapted to this use. Oregon DOT used workshops on issues and visions at six locations along the Pacific Coast in developing a draft master plan. (See Visioning.)

Facilitation is an important element of special meetings, especially workshops and retreats. Participants need a facilitator's guidance on timing, focus, and reporting the events of a workshop or retreat. (See Facilitation.)

Small group techniques are used in workshops to open a meeting and gain participants' interest. They can then be used to set goals for the meeting and to guide the process. (See Small Group Techniques.)

Special meetings supplement regular meetings. Conferences, workshops, and retreats are high points of an overall program of public participation and cannot by themselves constitute a public participation program.

Are they flexible?

Workshops are used in a variety of ways--as a break-out of a conference or retreat or as special events on their own, to involve people in discussions and resolution of thorny issues. In Washington State, Seattle's Puget Sound Regional Council offered a series of community workshops at several points throughout its planning processes.

Conferences and retreats can include workshops on the agenda. Large special meetings can have break-out sessions for concurrent workshops focusing on specific issues.

Special meetings are held on any appropriate days and at convenient times. The timing of a special meeting is largely up to an agency, guided by community needs or requests.

The level of effort for a special meeting is flexible. A special meeting can be devised to meet community needs within the resources available to an agency. Conferences require the greatest output of resources, while workshops may expend few agency resources.

What are the drawbacks?

Special meetings require substantial publicity. Agencies need to be prepared to expend resources to make the community aware of the meetings.

All special meetings require extensive preparation by staff. Resources can be quickly expended during the preparation period.

Conferences are often expensive and may be viewed as exclusionary. Arrangements for space and speakers can be significant. Publicity must be extensive to attract media and community attention.

A retreat requires a skilled facilitator.

A workshop is ineffective if leadership is unable to keep it on track. It is not automatically a positive event, unless effort is expended to assure that staff or experienced personnel are present to guide its progress.

For further information:

Chesapeake Bay Foundation, (301) 261-2350
Environmental Justice Resource Center, Clark Atlanta University, (404) 880-8000
Kansas Department of Transportation, (913) 296-2252
Minnesota Metropolitan Council (Minneapolis/St. Paul), (612) 291-6423
North Dakota Consensus Council, (701) 328-2000
Rochester Telephone Company, (716) 777-1000
University of Georgia Institute of Community and Area Development, (706) 542-3350

Chapter 2. INVOLVING PEOPLE FACE-TO-FACE THROUGH MEETINGS

B. SELECTING AN ORGANIZING FEATURE FOR A MEETING

Nearly every meeting focuses on discussion, whether people are giving opinions, debating issues among themselves, or challenging an agency by questioning fundamental assumptions. Meetings can be exploratory (for instance, "design-ins" where participants draw on maps to illustrate community values or activity patterns) or consensus-building (including collaborative problem-solving).

Specific techniques for organizing meetings are useful in helping people think about and discuss issues, how they are personally affected, and how proposed solutions impact community life. They help make meetings more creative, stimulating, and engaging. Appropriate, well-organized meetings also enlighten people about an agency approach and its openness to community involvement.

Traditionally, meetings often begin with a presentation by one or several speakers, a slide show, or a simple video, followed by discussion. Some meetings focus on developing solutions to pending problems or suggesting alternatives to existing situations, and their productivity may be enhanced by the use of non-traditional meeting structures.

Organizing features, as described below, are tailored to participants' needs and interests, as well as to the specific goals of a meeting:

While the choice of meeting types and frequency lies principally with an agency, it often helps to work with participants or community leaders to determine the best times and formats. People feel more involved if asked for advice and if meetings fit their needs and their styles of communication.

BRAINSTORMING

What is brainstorming?

Participants "brainstorm" when they come together in a freethinking forum to generate ideas. As now used, brainstorming is no longer an unstructured method of eliciting ideas from a group. Used properly--either alone or in conjunction with other techniques--brainstorming can be a highly effective method of moving participants out of conflict and toward consensus. For example, the Cape Cod Commission in Massachusetts used brainstorming to develop goals and objectives to guide transportation planning.

Brainstorming has these basic components:

Experience suggests that each task can be further subdivided to improve understanding of the overall process and its results. For example, ideas may need clarification for the group to grasp and evaluate, or the role of brainstorming in issue resolution may need to be explained. As a basic means of involving people, it has few peers if carried out successfully.

Why is it useful?

Brainstorming brings new ideas to bear on a problem. The freethinking atmosphere encourages fresh approaches. Creativity is enhanced, because individuals are encouraged to bring up all ideas--even those that might appear outrageous. Even imperfectly developed thoughts may jog the thinking of other participants. In Atlanta, Georgia, a brainstorming effort produced future options in the Vision 2020 process.

Problems are defined better as questions arise. Alternatives appear in a new or different perspective. Novel approaches to an issue can arise during the process. Brainstorming gives participants a sense of progress and accomplishment and helps them move onto more difficult tasks.

Brainstorming helps reduce conflict. It helps participants see other points of view and possibly change their perspective on problems. It may not be useful in resolving deeply felt conflicts but can help set the stage for a different technique if an impasse has been reached. Civility is required of each participant. (See Negotiation and Mediation.)

Brainstorming is democratic. All participants have equal status and an equal opportunity to participate. No one person's ideas dominate a brainstorming session. Brainstorming heightens the awareness of community and sensitizes individuals to the behavior of the group and its participants. It helps mold participants into a working group.

Does brainstorming have special uses?

Brainstorming demonstrates an agency's openness to new ideas and its commitment to working with community participants. It leads to further study of unexplored ideas. It helps find common ground for consensus about a solution. Brainstorming has been used by the Connecticut Department of Transportation (DOT) in exploring multi-modal alternatives in an interstate bridge reconstruction project in New Haven.

Brainstorming is easily understood and implemented. No special training is required for participants to express their ideas. All sides expect open and frank exposition of points of view. Argumentative behavior is discouraged and creativity appreciated.

Who participates? and how?

Anyone can participate in a brainstorming session. It is useful to encourage participants from diverse backgrounds and interests in the issue to be discussed. Providing background information to participants bolsters the ability of each to contribute. Information should be distributed in advance of the session, if possible. Large groups can be divided into smaller subsets to promote full participation. (See Small Group Techniques; Public Information Materials.)

People participate by bringing their ideas to the table, working in groups of 6 to 10. All ideas are duly noted and recorded to reassure participants that their comments are being adequately considered. Participants can record ideas on newsprint or butcher paper, or the agency can supply staff to record their ideas. People can prioritize their ideas by using strips of colored adhesive dots (found in office supply stores). About seven dots per person works well. Working individually, participants use dots to indicate their preferences. The dots can be divided among several good ideas or concentrated on one idea that is very important. The sheets of paper with dots are an effective display of the prioritization and help identify the group's top priorities. Participation is furthered when notes of the meeting and subsequent events can be distributed to the participants.

How do agencies use the output?

Through brainstorming, agencies become aware of issues, problems, and detailed solutions that might not otherwise come to light. New ideas assist agencies in crafting compromise positions and in setting priorities by using input provided directly by stakeholders. Shelburne, Vermont, and Flathead County, Montana, used brainstorming sessions to clarify and prioritize issues for new area plans.

Who leads a brainstorming session?

Brainstorming needs a facilitator or moderator, who may be found within the group itself, agency staff, or an outside firm. Facilitators must be sensitive to group dynamics and be able to draw statements and positions from participants in an affable way. They must assure that all participants are heard and that civility is maintained. An agency staff person may be needed to assist groups that have difficulties with the process. (See Facilitation.)

What are the costs?

Brainstorming is inexpensive. The group leader can be an individual on an existing staff, but a person experienced in facilitating the technique is preferable. Depending on the issue to be discussed or the degree of anticipated conflict, an outside consultant may be a desirable addition.

Material needs are minimal. A quiet room is essential. Materials should be on hand to provide necessary data and background information. Although this information need not be overly detailed, questions are certain to arise, and it is preferable to be able to respond appropriately. Potential materials include:

How is brainstorming organized?

Careful management facilitates a brainstorming session best. Agency staff people organize and implement a brainstorming session. Staff needs are minimal but may include a facilitator and probably an assistant for physical management of charts and recording of ideas. Resource people should be present for responses to questions.

Initial efforts include planning the brainstorming session--defining the precise issue to be addressed, identifying potential participants, deciding on the process and schedule to be followed, and determining anticipated outcomes of the session so that players will know the scope and stakes involved. It is also important to detail for participants how the agency expects to use the results.

Effective brainstorming sessions are small (6 to 10 people). If the group is too small, participants are not stimulated to generate ideas; if it is too large, the more vocal few may dominate the meeting. At large meetings, participants are divided into groups. The Central Puget Sound Regional Transit Authority (RTA) held five subregional sessions at key milestones. Roundtables of 8 to 10 people at each event used brainstorming to generate regional plans that fit within given financial scenarios for future transit options.

A brainstorming session usually has a simple agenda:

How is it used with other techniques?

Brainstorming is always a stage of a larger process. It is frequently used when an agency is starting a lengthy or complex undertaking with a separate element for public involvement. It can be part of a focus group--to open discussion and introduce participants; it can be part of a charrette--to establish the points of view of participants; it can be used in civic advisory committees --to establish a consensus on a project; and it can be used in public meetings. (See Focus Groups; Charrettes; Civic Advisory Committees; Public Meetings/Hearings.) Brainstorming was used in conjunction with public opinion surveys to design a public involvement program for the Albany, New York, area. (See Public Opinion Surveys.) In Pennsylvania, community members used brainstorming to select representatives for a civic advisory committee.

What are the drawbacks?

Facilitation can pose unique challenges. A single questioner can disrupt proceedings by continuously raising questions and suspicions about the motivations of participants or sponsors. Unassertive participants may be neglected without active solicitation of their participation. Opponents may refuse to consider each other's ideas.

Unspoken attitudes may affect results. Individual participants who feel diverted from more apparently purposeful tasks become impatient if they feel the process is a waste of time. It is essential to focus brainstorming on issues that make sense to the participants and to clearly explain how the results will be used. People who feel they are being controlled or patronized often withdraw from full participation. Agency staff members who feel that the process is leading nowhere may not respond appropriately to questions from participants.

For further information:

Atlanta Regional Commission (Vision 2020), Atlanta, Georgia, (404) 364-2500
Cape Cod Commission (Cape Cod Regional Plan), (508) 362-3828
Capital District Transportation Committee, Albany, New York (public involvement program), (518) 458-2161
Central Puget Sound Regional Transit Authority, (206) 684-1357
Connecticut Department of Transportation, Environmental Planning Bureau (Q Bridge Study), (860) 594-2939
Pennsylvania Department of Transportation, Bureau of Environmental Quality, (717) 783-4580

CHARRETTES

What is a charrette?

A charrette is a meeting to resolve a problem or issue. Within a specified time limit, participants work together intensely to reach a resolution. The sponsoring agency usually sets the goals and time limit and announces them ahead of time. A leader's responsibility is to bring out all points of view from concerned local residents as well as agency representatives and experts.

Here are the usual components of a charrette:

Why is it useful?

A charrette is problem-oriented. The breadth of background of participants assures full discussion of issues, interrelationships, and impacts. Its time limits challenge people to rapidly, openly, and honestly examine the problem and help potential adversaries reach consensus on an appropriate solution. (See Negotiation & Mediation.) For example, charrettes were used to formulate alternatives to a controversial highway project in Knoxville, Tennessee, and a downtown plan for Jacksonville, Florida, by guiding business and civic leaders and neighborhood people to a recommended solution.

A charrette produces visible results. It is often used early in a planning process to provide useful ideas and perspectives from concerned interest groups. In mid-process, a charrette helps resolve sticky issues. Late in the process, it is useful to resolve an impasse between groups.

A charrette enlarges the degree of public involvement in transportation, reducing feelings of alienation from government. It offers people interaction with public agencies and allows questions to be asked before decisions are made. It supplements, but does not replace, other kinds of public involvement.

Does a charrette have special uses?

A charrette calls attention to an issue. It can dramatize:

Charrettes generate alternative solutions to problems. The setting encourages openness and creativity. All suggestions from the group--however outrageous--should be examined to encourage thinking about better approaches. (See Brainstorming.) In New Hampshire's Community Stewardship Program, for instance, volunteer experts are invited by towns to help assess strengths and weaknesses of town planning.

Who participates? and how?

Anyone can participate in a charrette. A wide range of people with differing interests should attend. Traditional participants represent organized groups, but individuals with any stake in the issue should be encouraged to attend. (See Minority, Ethnic, and Low-income Groups.)

How people participate depends on the charrette leader. An experienced leader assures that a range of views is heard. The leader invites people to take a stance and present their points of view. All participants are assured an opportunity to speak out, and the leader encourages even the most reticent participant to speak up without fear of rebuke or ridicule. The open, free-wheeling charrette format encourages enthusiasm and responses.

How do agencies use the output?

A charrette sharpens agency understanding of the perspectives of interest groups. Early in project formulation, a charrette offers a glimpse of potentially competing demands and can be a barometer of the potential for consensus. Thus it helps generate alternatives and identify issues. In Minnesota and Alabama, for example, State agencies respond to the needs of individual towns by providing experts for weekend charrettes.

Who leads a charrette?

A leader experienced in charrette techniques is a must. To avoid chaos in a charrette, a high level of discipline is required. The charrette leader should be familiar with group dynamics and the substantive issues the group faces. The leader tailors the setting, background materials, and issues to the goal of the charrette and elicits participation from all group members within the allotted time. One or two staff people should be available for support to the leader and to supply data and information.

A steering committee usually makes arrangements for a charrette. It may be composed of representatives of Federal and State transportation or other agencies, consultants, affected municipalities, and community groups. The steering committee should agree upon a leader for a charrette.

What are the costs?

A charrette involves significant resources. The chief items are sufficient space and background materials and an experienced leader. Graphics must be used so that participants quickly comprehend the problem and envision alternative solutions. Background materials must be available at the start of the charrette so that no time is lost in investigating the problem. Preparatory work leading to a charrette is intensive, whether done in-house or by an outside specialist.

Staffing should include:

Materials can include:

How is a charrette organized?

Organization depends on the issue's complexity and the intended length of the event. This work includes:

Is a charrette flexible?

A minimum of four hours is essential for a charrette focused on a modest problem. While the average ranges from one to several days, some agencies hold one- and two-week charrettes or organize them as multiple sessions over a period of time.

A charrette occurs at any time in a planning process, but preparation is crucial. Advance work can take a month or more, depending on the issue to be discussed. Charrette materials are flexible and should be tailored to the focus of the meeting.

How is it used with other techniques?

A charrette combines effectively with other techniques. When matched with a civic advisory committee, it focuses on solving a specific problem. (See Civic Advisory Committees.) Paired with the visioning process, it is an attractive means of eliciting ideas. (See Visioning.) A charrette also focuses on a single issue raised during a brainstorming session. (See Brainstorming.) In Portland, Maine, a two-day charrette on the long-range plan followed a transportation fair. (See Transportation Fairs.)

What are the drawbacks?

Because it focuses on a specific problem to be resolved or issue to be addressed, a charrette is usually a one-time event. Thus, the invitation list and timing must be thoroughly considered and discussed to maximize interaction through broad-based participation. Goals must be made clear so the expectations do not exceed possible results. The depth of analysis from a single short session can be disappointing. Follow-up work must be carefully considered both before and during a charrette.

When is a charrette most effective?

A charrette can resolve an impasse. During such a use, neutral participants should be involved to bring fresh ideas for consideration. When a problem is immediate, a charrette is effective because people are vitally interested in the outcome. For maximum effect, a charrette should have the approval of elected officials, agency heads, and community groups. A charrette is also useful:

For further information:

American Institute of Architects' Regional/Urban Assistance Team (R/UDAT), (202) 626-7358
American Society of Landscape Architects, Community Assistance Team, (202) 686-2752
Minnesota Design Team, Minnesota Department of Trade & Economic Development, (612) 297-1291
New Hampshire Community Stewardship Program, (603) 271-2155
Portland, Maine, Area Comprehensive Transportation Committee, (207) 724-9891
Urban Land Institute's Panel Advisory Service, (202) 624-7133

VISIONING

What is visioning?

Visioning leads to a goals statement. Typically, it consists of a series of meetings focused on long-range issues. Visioning results in a long-range plan. With a 20- or 30-year horizon, visioning also sets a strategy for achieving the goals. Visioning has been used to set a long-range statewide transportation plan in Ohio, a statewide comprehensive plan in New Jersey, and a regional land-use and transportation plan in the Seattle, Washington, region. The Governor of Georgia, acting as "Chief Planner," used it to create long-range goals for the State. Central Oklahoma 2020 is a visioning project for a regional plan.

Priorities and performance standards can be part of visioning. Priorities are set to distinguish essential goals. Performance standards allow an evaluation of progress toward goals over time. In Jacksonville, Florida, a community report card is used to determine priorities; each target for the future is evaluated annually. In Minnesota a statewide report card was used to evaluate the current status and set up goals and milestones for the future. Oregon established benchmarks to measure progress toward its long-term goals.

Why is it useful?

Visioning offers the widest possible participation for developing a long-range plan. It is democratic in its search for disparate opinions from all stakeholders and directly involves a cross-section of constituents from a State or region in setting a long-term policy agenda. It looks for common ground among participants in exploring and advocating strategies for the future. It brings in often-overlooked issues about quality of life. It helps formulate policy direction on public investments and government programs.

Visioning is an integrated approach to policy-making. With overall goals in view, it helps avoid piecemeal and reactionary approaches to addressing problems. It accounts for the relationship between issues, and how one problem's solution may generate other problems or have an impact on another level of government. It is cooperative, with multi-agency involvement, frequently with joint interagency leadership.

Does visioning have special uses?

Visioning uses participation as a source of ideas in the establishment of long-range policy. It draws upon deeply-held feelings about overall directions of public agencies to solicit opinions about the future. After open consideration of many options, it generates a single, integrated vision for the future based on the consideration of many people with diverse viewpoints. When completed, it presents a democratically-derived consensus.

Visioning dramatizes the development of policies to get people involved in specific topics such as transportation infrastructure. In Ohio, the Access Ohio program was designed to establish goals and objectives for development of transportation projects and programs. Other States that have used visioning to establish long-range goals include Kansas, Georgia, Texas, Florida, Iowa, Oregon, and Minnesota.

Who participates? and how?

Invitations to participate are given to the general public or to a representative panel. A broad distribution of information is essential. This information must be simply presented, attractive, and rendered important and timely. It should also include clear goals of participation and show how comments will be used in the process. (See Public Information Materials; Mailing Lists.)

Community residents participate through meetings and surveys. A typical method of involving local people is through a questionnaire format, seeking comments on present issues and future possibilities. (See Public Opinion Surveys.) A report card filled in with community opinions was used in Jacksonville, Florida. In Minnesota, opinions were elicited through small or large public meetings at locations distributed equitably throughout the state. In the Research Triangle region of North Carolina, participants drew pictures of their vision of the region's future and of transit opportunities in words and pictures on wall-sized sheets of paper.

How do agencies use the output?

Visioning helps agencies determine policy. Through widespread public participation, agencies become aware of issues and problems, different points of view, and competing demands. Drafting responses to comments aids in sharpening overall policy and assists in focusing priorities among goals, plans, or programs. Visioning also helps bring conflicts to the surface and resolve competing priorities.

Who leads a visioning process?

A chief governmental official can lead visioning. In several States, the Governor has made visioning a cornerstone of State policy planning for infrastructure investments and State operational departments. The governors of Oregon, Texas, Iowa, Minnesota, Georgia, Florida, and New Jersey have fostered visioning for their States.

Agencies also lead visioning projects. Statewide agencies led new visioning projects in Maine and Hawaii. Regional agencies led visioning projects in Jacksonville, Indianapolis, and Seattle.

What does visioning cost?

Visioning costs vary. The chief items are staff time and materials sufficient to set up and carry out the program. Staff people should include a leader committed to the process, a community participation specialist who is well-versed in the applicable policies, and staffers who can interpret and integrate participants' opinions from surveys and meetings. Meeting materials are minimal but can include large maps and newsprint pads and markers to record ideas. If forecasts of information are developed or if alternative scenarios are to be fleshed out, research and preparation time can be extensive.

How is it organized?

A specific time period is scheduled to develop the vision statement. The schedule incorporates sufficient time for framing issues, eliciting comments through surveys or meetings, recording statements from participants, and integrating them into draft and final documents.

Visioning staff members are typically assigned from existing agencies that are familiar with issues and essential contacts to be maintained. In Minnesota and New Jersey, staff was assigned from the State planning office; in Jacksonville, Florida, from the Community Council/Chamber of Commerce; in Ohio, from the Ohio Department of Transportation.

Is it flexible?

Visioning is extremely flexible in terms of scheduling and staff commitments. Scheduling takes weeks or months. Staff is temporarily or permanently assigned to the project.

Preparation for visioning is crucial and touches on many complex issues. Advance work is essential to give time for staff to prepare the overall program, agendas, mailing lists, questionnaires, and methods of presentation and follow-up. (See Mailing Lists; Public Opinion Surveys.) The visioning program should be carefully scheduled to maximize local input and response time prior to selecting final policies.

How is it used with other techniques?

The visioning process involves many techniques of public involvement. In the Seattle area, the visioning process on regional growth and mobility futures included the most extensive regional public involvement effort ever conducted in the area: symposiums, workshops, newspaper tabloid inserts, public hearings, open houses, surveys, and community meetings. (See Conferences, Workshops, and Retreats; Public Meetings/Hearings; Open Forum Hearings/Open Houses; Public Opinion Surveys.)

Visioning leads toward other public involvement techniques. As a policy umbrella, it can precede establishment of a civic advisory committee and guide its work in reviewing individual projects or programs. (See Civic Advisory Committees.) It leads to brainstorming sessions or charrettes to solve individual problems. (See Brainstorming; Charrettes.) Visioning is often the basis for public evaluation and implementation; it led to performance monitoring of State agency activities in Oregon, Minnesota, Iowa, and Texas, followed by reports to the public.

What are the drawbacks?

Time and staff requirements are significant to maintain contact with numerous community participants and carry the program forward. The numbers of participants varies from 100 community leaders in Jacksonville to an estimated 10,000 residents in Minnesota. Listening to participants can consume several months' time. Full-time effort is required of staff when the process is in motion.

The staff needs patience to deal with so many diverse views and individuals, time and schedule requirements, and complex issues and interrelationships. Finally, visioning is a one-time event and remains on a generalized policy level; there is a substantial risk that the resulting document will not satisfy all interest groups.

When is visioning most effective?

Visioning is of maximum use at an early point in the establishment or revision of policies or goals. Used in this way, it demonstrates openness to new ideas or concepts suggested by the public. For maximum effect, a visioning project should have the active support of elected officials, agency heads, and community groups.

Visioning is useful:

For further information:

Iowa Department of Management (Futures Agenda), (515) 281-3322
Jacksonville Community Council (Quality Indicators for Progress), Jacksonville, Florida, (904) 356-0800
Minnesota Planning (Minnesota Milestones), St. Paul, Minnesota, (612) 296-3985
Ohio Department of Transportation (Access Ohio), Columbus, Ohio, (614) 466-7170
Oregon Progress Board (Oregon Shines/Oregon Benchmarks), Salem, Oregon, (503) 373-1220
Puget Sound Regional Council (Vision 2020), Seattle, Washington, (206) 464-7090

SMALL GROUP TECHNIQUES

What are small group techniques?

Small groups have fewer than 20 or so members, making it easier for people to actively participate. They meet as small gatherings or as break-outs of large meetings and offer many opportunities for creative, flexible interchange of ideas and lively, meaningful participation.

Small group techniques help people participate freely and actively. They include special activities or formats that help interest and engage people. They foster active participation and steer participants toward constructive activities and dialogue. They help avoid complaint-oriented or conflict-driven sessions.

Small group techniques have certain basic characteristics:

Specific small group techniques covered in this section include breakout groups, workshops, seminars, community juries, roundtables, study circles, conflict utilization opinionaires, decision science, delphi, dialogue facilitation, nominal group process, open space technology, Samoan circle, SWOT (strengths, weaknesses, opportunities, threats), synetics, and value analysis. Brainstorming is also used in small groups and is discussed as a separate technique. (See Brainstorming.)

The definitions given here are generated from common practice and various materials. However, the techniques are far from standardized, and their names, conduct, and organization vary throughout the country. Some techniques overlap, or a "hybrid" meeting or process uses elements from each. The key to using them is to identify the element or structure that addresses the needs of the participants and the goals of the meeting.

Why are small group techniques useful?

They encourage broad participation and promote a sense of equality among members. Individuals speak and are heard. Participants ask questions and comment freely.

Small group techniques foster interaction between participants. People are encouraged to speak frankly and openly. Ground rules, such as allowing only one person to speak at a time, help level the playing field between participants. Open and fair meeting processes promote give-and-take and interaction.

They make a larger meeting more efficient and productive. Break-out groups use various techniques to address a specific issue. Many ideas are brought forth in small groups that might not surface in a large gathering. The larger gathering becomes more productive as break-out group findings on specific topics are reported and incorporated.

Small group techniques foster dissemination of information to the broader community. Representatives meet in small sessions, cover issues, and report back to their constituents. The Portland, Oregon, Metro holds small group meetings in neighborhoods throughout the region. Spokespersons from each group report back to their peers, their elected officials, and other people about transit issues.

These techniques usually make meetings more fun and interesting. The interactive nature of small group activities makes them spirited and engaging. People are willing to attend and participate when they know the session will be interesting and productive. The Dallas, Texas, Area Rapid Transit uses small group meetings to obtain candid reactions to innovative proposals. (See Improving Meeting Attendance.)

Small group techniques offer a strategy for achieving a meeting goal. They help keep conversation on track or establish a step-by-step process for handling discussion. They help develop consensus or an action plan. To review elements of its 2020 long-range plan, the New Jersey Department of Transportation (NJDOT) sponsored four issues groups--economic development, goods movement, and mobility and quality of life--made up of key stakeholders.

Are there special uses?

Small group techniques are useful on controversial issues. They provide a non-threatening venue for all sides to express opinions and encourage mutual respect and constructive listening. They help reduce tension and defuse polarized groups.

Small groups provide a forum for technical issues. Complex issues and concepts receive needed explanation and review, because each individual has time to absorb material and ask questions. Participants feel more confident in an analysis if they understand the technical issues and methods involved. The Connecticut DOT used small groups of participants organized by modal interest (i.e., those favoring transit and those favoring highway options) to develop alternatives for repair or replacement of a major bridge.

Small group meetings can re-charge a participatory process with interesting and different ways of looking at a topic. Disenchanted group members are encouraged to rejoin if they see a way to achieve goals in a new and focused process. To critique and revise its public involvement program, the Central Puget Sound Regional Transit Authority (RTA) called together 60 community leaders and organized them into small groups to work on specific elements of the process.

Participants affect the substance of plans and projects through small group work. The Southwestern Pennsylvania Regional Planning Commission used a small group to simplify its Transportation Improvement Program for easier understanding by the public.

How are small groups structured?

The style, format, and organization of small group meetings vary. Some techniques are familiar and regularly used; others (frequently with fancy names) are less common. Some use innovative, creative group processes.

Some small groups are established from the beginning, instead of being formed from a larger group. The format is designed specifically to accomplish the goals of the session.

How do people work within a small group?

Problem-solving strategies are essential for small group accomplishment. Small groups need a specific format or process to achieve the goals of a meeting. These alphabetically listed techniques can be used within the specific meeting structures cited above:

How do agencies use the output?

Agencies use results to refine plans or projects and move a process forward. Small groups generate information, ideas, and opinions. The Wisconsin DOT interviews small groups about preferences and viewpoints. Small groups are a way to achieve consensus.

Small groups provide creative solutions or new ideas and scenarios. In a small group session in Boston's Charlestown neighborhood, a local resident architect sketched out a bold idea that became the conceptual design for a major roadway reconstruction. Small groups foster further interaction between agencies and the public, often with a heightened level of trust.

Who leads?

Agency staff or outside experts lead small groups, but training is necessary to lead them effectively. Training overcomes individual worries about acting as a discussion leader.

Community people also lead small groups. A neutral outside facilitator is important for small groups dealing with difficult issues. Some agencies offer training for local residents in leading discussions; others use outside experts. In Wilson, North Carolina, a local bank donated the time and expertise of several senior staff members to supplement agency managers. Working on the county's strategic planning/visioning process, the bank staff helped facilitate breakout groups focused on specific transportation topics.

Small groups usually have one or two leaders. Co-leaders are chosen from opposing sides of an issue to make sure all positions are adequately heard. This is important when no one group leader is viewed as neutral or objective on the issue being discussed.

The choice of a leader depends on the complexity of the technique. In cases where a specialized technique is attempted, it is important to have an experienced leader.

What do small group techniques cost?

While actual monetary costs are minimal, staff time for preparation and management is sometimes considerable. The staff records events and reports back to a larger group or to the agency. A person is assigned the role of recorder to write down ideas on newsprint or blackboard. In some instances, agency staff facilitate. Triangle Transit Authority in North Carolina used staff members as facilitators of sub-groups analyzing transit potential and land use/development impacts of a new fixed guideway.

Training staff or participants to run small groups is a factor. Training improves productivity and leads to fewer meetings, thus offsetting training costs to some extent. One alternative is retaining consultants to manage small group sessions. Also, with minimal training, participants can play other roles that help cut outside costs, acting as recorders or reporters or in other support roles. These roles reduce the need for staff effort.

Meeting facilities become a cost when a neutral location is desired. To contain costs, publicly-owned facilities such as schools or colleges should be considered.

Equipment, supplies, and refreshments usually have modest costs. Adequate provisions engender good will between a sponsoring agency and group participants.

How are they organized?

The format and organization of small group work need to be carefully conceived. Good preparation is necessary. The choice of technique must be targeted to the intended goals and topics of the meeting and whether the process is short- or long-term. The organization of the process should aim to achieve limited goals within a specified deadline. Policy-makers must be informed of the process and its goals to assist in its support.

Small group techniques must respond to both agency and participant needs. Agencies may want to solicit opinions, develop action items, and evaluate alternatives, while participants want to explore impacts, suggest various alternative actions, and make their voices heard. To remedy low attendance at large regional forums, the New Jersey DOT sent staff out to hear from certain populations about its long-range plan. Small groups met on Saturday afternoons in senior citizen centers, colleges, and center-city neighborhoods.

Participants need to feel that a meeting is structured well enough to produce results. Audiovisual techniques--video, overheads, displays, laptops--are just as important in small groups as in large meetings, particularly when technical information or concepts are being discussed. (See Video Techniques.) They help engage participants, grab their attention, and establish a firm beginning. Meetings should be dynamic, fun, and interesting for participants. A method of summarizing, documenting, and reporting findings and agreements must be established before a meeting. Even a large meeting that is not well-attended can produce results when participants work in small groups to focus on specific issues or tasks.

The process must be fair and open. All participants need to have equal roles and be treated as peers. A group must be as inclusive of as many points of view as possible. Potential interests and stakeholders must be identified before assembling a small group, so that no one is ignored. If a large number of interests is represented, agencies often hold more than one small group session.

A method for selecting leaders must be determined before a group meets--whether leaders are to be appointed or chosen by the group. In some cases, it is appropriate to train small group leaders and clarify the responsibilities they are to undertake.

Participants need to understand the process, their role, and the expected outcome of a meeting. As in a larger session, the context, purpose, and goal of a meeting should be carefully explained and understood. If the process is unusual, participants need an animated leader to explain it and carry it forward.

Specialized and unusual techniques have specific guidelines for implementation that should be carefully explained to a group. Before beginning a meeting, it is essential to review the use of small groups, the proposed format, and the procedures, as well as possible issues that may arise and the results anticipated.

Adequate facilities and supplies are important. Groups use easels with newsprint and markers to record ideas. Refreshments help create a comfortable, informal atmosphere. Equipment such as overhead projectors aids in reviewing a proposal. Breakout rooms are desirable for small-group sessions that are part of larger meetings. Supplies must be available for specific techniques, such as cards for the open space technique.

Implementation validates both the findings and the process. If follow-up is required, staff or appropriate parties make sure it is done. A small group that is part of a larger gathering should be linked back to it. Pennsylvania DOT held large public meetings for its statewide pedestrian and bicycle plan, breaking into smaller facilitated sessions. Participants identified critical design problems as they affect cyclists and pedestrians. The groups then offered possible solutions and reported their key findings to the large group.

How are they used with other techniques?

Small groups must be integrated into an overall public involvement strategy. A regular series of small group meetings ascertains participants' views. Small group meetings are held periodically to update community groups and interested people on the progress of a planning effort or project development. Such meetings supplement larger group meetings by developing detailed information or exploring specific issues.

Small groups adopt techniques available to larger groups, including charrettes, facilitation, visioning, and surveys. (See Charrettes; Facilitation; Visioning; Public Opinion Surveys.) Alternative dispute resolution techniques such as mediation are used when an impasse is reached. (See Negotiation and Mediation.)

Small groups can meet by teleconferencing. The use of telecommunications brings people together without the need for extensive travel. (See Teleconferencing.)

What are the drawbacks?

Preparation takes time and extends a project or planning process. But small groups also save time in the long run if they provide opportunities for many people to participate and become familiar with a proposal's its elements and impacts.

Small groups require care and feeding. Space must be available and notices distributed promptly and to the right people. Staff often lead meetings or record their progress. Agencies sometimes provide a neutral site and refreshments for the group.

The support of small groups requires a commitment from both the agency and the public. Both need to be assured that small group meetings are worthwhile, productive, and needed and that the results will be of use in the overall process of public involvement. It is sometimes appropriate to have agency officials participate in small groups or observe the process to demonstrate its utility.

Are they flexible?

Small groups are inherently flexible. They are used in a variety of situations, with a number of different organizing techniques, at various times in the process, at nearly any location, and with a wide variety of participants. They are organized to respond to specific issues and participants. Also, small groups meet just about anywhere. Many meet in public agency offices, schools, or universities; some in private business facilities. Staff members from the New Jersey DOT have met with small groups in private homes. (See Non-traditional Meeting Places and Events.)

Small groups contribute to almost any larger process. The intended use of small groups must be identified early in a meeting process so interested people can comment. In a large meeting, breakout sessions should be identified on the agenda.

When are they used most effectively?

Small groups are effective at many different times in a process. They are effective at the beginning to alleviate polarization and early perceptual problems. When a process stalls, small groups re-start public involvement or move it forward. They are used before issues reach an impasse, or if participants are feeling excluded. They are used in either planning or project development to prioritize issues or work on action items.

For further information:

Breakout groups: Metropolitan Washington Council of Governments, Washington, D.C., (202) 962-3200
Community juries: Minnesota Department of Transportation, (612) 296-3000
Decision science: U.S. Fish and Wildlife Service, (415) 989-1446
Delphi: Atlanta Regional Commission, Atlanta, Georgia, (404) 364-2575
Dialogue facilitation: Public Conversation Project, Cambridge, Massachusetts, (617) 491-1585
Nominal group process: Pennsylvania Department of Transportation, (717) 783-1068

Open space technology: Colorado Department of Transportation, (303) 757-9163
Roundtables: Capital District Transportation Committee, Albany, New York, (518) 458-2161
Kansas Department of Transportation, (913) 296-2252
Samoan circle: Dallas Area Rapid Transit, (214) 749-2581
Seminars: Metropolitan Area Planning Coordinating Council, Wilmington, Delaware, (302) 737-6205
Study circles: Study Circle Resource Center, (203) 928-2616
Value analysis: Oregon Department of Transportation, (503) 986-3455
Washington State Department of Energy, (509) 376-1065

Chapter 2. INVOLVING PEOPLE FACE-TO-FACE THROUGH MEETINGS

C. TAKING INITIAL STEPS

Face-to-face contact and two-way communication are vital elements of public involvement. Meetings can provide both. Here are some steps an agency can take to get people together:

T Meet with community groups to discuss and set up a meeting schedule.

Contact community groups to establish a basic meeting schedule. Optimize participation by asking them what kinds of meetings should take place and how often they should occur.

T Consider the scope and substance of meetings.

Outline the goals of a meeting or series of meetings in advance, so that participants can comment and offer suggestions. Consider if general meetings need to be supplemented by meetings focused on specific topics for specialized audiences. Share findings and ask if further development or discussion of individual points is desirable. Explain how and when agency decisions are made and how meeting output will affect decisions.

T Select organizing principles for the meeting(s).

Explore different types of meetings that may attract interest and outline potential meeting structures, so that maximum participation occurs. Vary sponsorship or leadership of meetings.

T Place the meeting in the context of the whole plan or program, including decision-making.

Anticipate where the process will go and why. Determine from the beginning what information is needed, when it is needed, and how it will be incorporated into agency decision-making. Make this context clear to participants, so they understand how their input will affect the plan or project.

T Evaluate the approach with participant advisors.

Seek perceptions and advice on the process from people outside the agency. Evaluate whether the intended scope, substance, and style of meeting are likely to be beneficial to the agency itself and to the participants.

Chapter 3. GETTING FEEDBACK FROM PARTICIPANTS

Besides dispensing information and arousing interest in a transportation plan or project, public involvement programs elicit public feedback and support. Public comment comes to agencies in the form of questions, challenges, or suggestions for alternative ways of dealing with issues.

Why is feedback important and how can it be used?

Feedback--positive and negative--provides new ideas and perspectives to help agencies devise plans and projects that meet the public's needs. It also helps them determine how well the public understands specific issues and where additional information is needed for better understanding and support. A more specialized use of feedback is to determine the success of an outreach program--how many people have been reached, what percent of the public is represented, and what portion supports the proposal. As agencies assess feedback, they take stock of plans and programs to be certain they are providing the intended public service in the best possible way. Thus, feedback from the community vitally affects an agency's decision-making process and the results it generates.

How do agencies improve methods of getting feedback?

This chapter provides a guide to the following steps toward reaching people and getting their feedback:

A. establishing places people can find information;
B. designing programs to bring out community viewpoints and resolve differences; and
C. taking initial steps.

Chapter 3. GETTING FEEDBACK FROM PARTICIPANTS

A. ESTABLISHING PLACES PEOPLE CAN FIND INFORMATION AND INTERACT

Giving people information about transportation projects and plans is a fundamental step toward getting their informed feedback. To "get the word out" to diverse stakeholders, agencies need to establish a variety of places where information is readily and conveniently available. Many agencies start by providing recorded, basic information around the clock and staffing phones during ordinary working hours to respond to questions and give more detail. Human contact is vitally important and should remain a staple in public involvement, even when an agency utilizes many other methods to reach people.

New places to give out information are crucial. Neighborhood locations are highly desirable but not always practical. Low-tech methods such as voice mail and answering machines are relatively cost-effective and enhance an agency's ability to communicate quickly with the general public.

New, "high-tech" technology, including the Internet, opens up exciting possibilities for reaching people with the information they need and offering them new ways to interact. FAX-on-demand services, modems, and on-line services reach people fast. Although, as yet, relatively few people obtain agency information this way because they do not understand or have access to computers or other equipment, agencies are beginning to capitalize on the technology's potential usefulness in public involvement.

Offering people a variety of ways to get information increases the chances it will reach them. The following techniques supplement more conventional methods:

ON-LINE SERVICES

What are on-line services?

On-line services provide communication through a computer network round-the-clock. They are a cross between a personal computer and a telephone line. With a computer modem and a subscription to an on-line service (similar to a cable television subscription), users are connected to the computers of other subscribers. At their own computers, they find information or participate in dialogues with other users. On-line services are the basis for an electronic bulletin board or E-mail.

On-line services enable people to give and get information when they want it. They afford people instantaneous access to information in documents or on bulletin boards. They allow people to post information that includes opinions, suggestions, or support for agency proposals or programs. People do not have to attend meetings to have their comments recorded. Alaska provided on-line services to public libraries for access to information including dates and times of meetings and the text of its State Transportation Improvement Program (TIP).

On-line services have the following components:

Why are they useful?

They enable agencies to post information about services or recent activities. The California State Government On-line Network includes California Department of Transportation (Caltrans) as one of its divisions so people can contact it for information. Washington's Central Puget Sound Regional Transit Authority (RTA) has a home page directory leading to information about its history and organization, current news, newsletters, and public access network. The Institute for Transportation Research and Education, working with the North Carolina Department of Transportation (DOT), offers up-to-date information on highway construction projects and ferry and train schedules.

On-line services connect individuals to a wide-reaching network of agency information. Individuals and organizations pull up information files and print those that interest them. Users send instantaneous messages about the information to other on-line users, including the agency. They "surf" among options, with an enhanced sense of access and ability to communicate. Using on-line services to reach an agency home page concerning a proposed transportation project or planning process, a local resident may:

On-line services allow agencies to communicate and share information. The Institute of Transportation Engineers provides a listing of computerized bulletin boards with information and data on transportation topics. The Institute for Global Communication has several special-interest on-line services for its 9,500 members, ranging from health reform to marine habitat preservation to labor relations. In Texas, the Metropolitan Transit Authority of Harris County (Houston) offers free on-line service. The National Trust for Historic Preservation has an on-line bulletin board, PRESERV LINK, with 100 members providing information.

On-line services are used at any stage in a long-range planning or project development process. The output is used in the same ways as output from public meetings or messages on an answering machine. The State of Alaska has a home page, as do the Alaska DOT and its Transportation Planning Section. They regularly get comments from users.

Information sharing takes place at any time of day. Agencies post completed information about proposals or programs. Participants read the information and comment via the on-line network at a time of their choice. The on-line programs record and retain the information for agencies or others to read later.

On-line services are also used as a continuous communications medium during program or project development. On the Central Puget Sound RTA's home page, users get agency history, project-specific information, and a list of topics discussed in further detail on later pages. The most recent newsletter is also available. When a copy of the latest issue appears, it may be printed from the screen.

Do they have special uses?

On-line services can focus on specific interests, such as the environment. The Washington State DOT offers a home page about bicycling that includes books, bicycling clubs, and calendars of events. It also offers bicycling information from other States, as well as E-mail addresses for subscriptions to bicycle newsletters. Lastly, it lists the on-line links into special sections of the Internet Bicycle Archives.

On-line services give access to vast data bases. The library of the Metropolitan Transportation Commission/Association of Bay Area Governments in Oakland, California, links systems of data bases covering literature in over 400 subject areas, in 21 million volumes, in over 10,000 participating libraries. The library is also linked to on-line catalogs of materials in libraries at the University of California campuses, California State University, and Stanford University.

On-line services help develop a mailing list. The Washington State DOT offers a mailing list option. A user follows a home page instruction to insert his/her name into the program, thereby automatically joining the mailing list. (See Mailing Lists.)

Larger commercial services offer "conversation rooms" for discussion of specific subjects. In this use, an on-line service allows several subscribers to participate simultaneously in an electronic conversation.

For local people, these services offer an added degree of privacy. People who are uncomfortable speaking in front of groups can quietly compose a message or carefully word a concern. They also converse one-on-one with other concerned people. Records of their participation are kept only if the user identifies him/herself.

Agencies offer surveys or preference questionnaires via on-line services. A comment form encourages participants to review issues and write personal opinions. The Transportation Research Center at the University of Nevada at Las Vegas offers a comment form that can be transmitted by E-mail.

On-line services help reduce trips to meetings and agency offices. In a study of the potential municipal use of on-line services, the Claremont Colleges New Liberal Arts Clinic Program suggested that such services could reduce vehicle trips by providing an alternative means of conducting business with government. Community people could use on-line services to participate in a two-way public discussion or to petition an elected official without arranging for child care or even worrying about proper attire.

Who participates? and how?

Computer-oriented people are likely to participate, but attracting local people with the greatest stake in a project or interest in a program is difficult if they are not computer literate. As computer use continues to increase in the workplace and on-line services become more common in public libraries and through organizations, these limitations become less pronounced.

Usage is limited to those who have access to a computer with connections to the service and the time and inclination to participate. Nominal computer skills are necessary, in addition to familiarity with a keyboard, but these skills are becoming more common. However, a computer purchase may be too expensive for many households. Public computers are not generally available, although some public and university libraries as well as offices of advocacy organizations and neighborhood centers now make on-line services available. In addition, some private services are beginning to appear.

People with a computer and a modem use on-line services right from their home, whenever they want. A subscription to an on-line service helps users reach most sources of information. On-line services are also used from places of work, some public libraries, schools or universities, and offices of organizations.

Agencies must publicize the availability of on-line materials. As use of the Internet and on-line bulletin boards becomes more commonplace, agencies need to inform people that documents are available at on-line locations. Agencies publicize on-line connections via mail, public information materials, advertisements, or telephone.

Who leads their use?

Any public agency can take advantage of existing commercial on-line services. These services connect an agency to its constituents and tap into larger data-sharing resources. The design and development of a successful on-line service begins by evaluating a public agency's hardware and software capabilities and determining the information management objectives. Agencies may have to hire outside information management consultants to design, set up, and troubleshoot an on-line system. In spite of potential technological challenges, the Urban Transportation Monitor reports that as of January 1995 more than 28 electronic bulletin boards were related specifically to transportation.

What are the costs to an agency?

If an agency needs an outside contractor to design, set up, and monitor system operation, costs depend on the extent of help needed.

Costs to an agency are shared with individuals who use the services. Both the agency and the users pay monthly subscription fees. These fees are in the same general range as cable television fees and vary with usage, like pay-per-view services on television.

Once an on-line service is running, other costs to an agency are relatively low. Agencies incur costs to maintain public-access machines. Overall, on-line services are cost-efficient, because many similar requests for information are handled at once, or staff members are better positioned to understand and collect input from the public. On-line services are less costly ways to disseminate information than direct mail, although outreach is limited to those who can receive them.

How are on-line services organized?

On-line services include the following:

As a first step, agencies set a home page on local or regional on-line services. To take further advantage of the technology, they add ways for users to begin agency-to-user conversation forums. Initial actions include informing the public of these opportunities for communication. Once these services are integrated into an agency's battery of techniques, they become a routine part of project planning or program development and a reliable method for gaining public input.

An agency fosters education and participation through greater information sharing. Active use of on-line services helps agencies better understand the public's needs, monitor reactions, and improve public awareness. More than 150 cities and county governments and over 300 people from a wide range of States share information on a bulletin board, suggesting that government agencies may learn about themselves through communication with each other and with their constituents.

On-line services give detailed information about agencies. The Minnesota DOT maintains an on-line telephone directory that lists departments and projects alphabetically. Important contact people are named by agency. This service effectively brings the DOT phone directory to the user's living room, eliminating the sometimes difficult and frustrating effort of getting an agency operator to connect a caller with the right office and contact person.

On-line services give detailed information about construction projects and their impacts. The North Carolina DOT provides specific information about current road construction projects. From a statewide map, users choose projects in their area, obtaining details on project purpose, dates of construction, lane openings, a corridor map, affected side streets, frequencies of highway advisory radio channels, and construction-zone safety tips. The service lists a telephone number for more information. Armed with such data, a motorist can make choices on how to avoid delays due to road construction.

Data and research on transportation are shared. Caltrans worked with a private firm in an experimental program to provide traffic counts by freeway entrance/exit for Southern California. Caltrans also offers limited use of agency-developed software. The University of Nevada at Las Vegas has a home page describing the work of its Transportation Research Center. Users call up summary information of research projects underway at the University of California at Berkeley, whose research work, distributed via the California State Government Network, includes executive summaries of projects and results.

How are they used with other techniques?

On-line services supplement an agency's conventional outreach techniques such as preparing public information materials and contacting individuals. (See Public Information Materials.) They should not become the public's only means of participating. The San Francisco County Transportation Authority discovered that on-line users were commenting on the Authority's corridor transportation plans via the Internet's regional transportation bulletin board. On-line services are evolving into a primary method of communication, but they do not preclude or substitute for techniques such as public meetings, personal interaction, and mailings.

Electronic bulletin boards promote and facilitate information exchange. The New York Metropolitan Transportation Council (NYMTC) has established an electronic bulletin board system with message boards to explain its work, its methods, and its specific products and services. The Council's electronic menu offers messages about the region's transportation improvement plan, long-range plan, and potential use of congestion management in developing its travel models. NYMTC will continue to hold hearings and solicit input in its forecasting and planning efforts through other traditional methods.

What are the drawbacks?

Use of on-line services is limited due to access, expense, and skill requirements. Although usage is growing, on-line services and computers reach only a fraction of the total population. Some people are always suspicious of machines, and some resist using means of communication they consider cold and impersonal. Adjustment to technological change is slow, and some social and economic barriers will persist. Just as there are people who still do not own an automobile, there will always be those without computers and on-line services. Concerns about equity among participants should be kept in mind when choosing this technique.

Participants in on-line services do not represent the entire community. In particular, ethnic groups, minorities, disabled people, the elderly, and other people traditionally underserved by transportation often have limited access to these resources. (See Ethnic, Minority, and Low-income Groups.) As computer use continues to increase in the workplace and on-line services become more common and more available in public places, such limitations may become less pronounced.

On-line services must be used in conjunction with other techniques that allow people to obtain information quickly. They require people to make a commitment to using a computer to obtain information. Users cannot be reached as quickly as with a printed pamphlet, fact sheet, report, or other materials delivered to the door. (See Public Information Materials.)

On-line services cannot replace meetings, which allow participants to interact with one another and focus on key points of discussion. Even with the interaction on-line services provide, they lack the dynamic face-to-face interplay that generates and airs ideas during a meeting or focus group. (See Focus Groups; Small Group Techniques.)

Information overload is a potential problem. As on-line services make communication easy and many people join in, the sheer volume of information available becomes overwhelming. Agencies are unlikely to receive individual comments unless they help people focus on specific issues. Frequently, this involves communicating through traditional public information materials and meetings.

Are on-line services flexible?

The format of a home page or bulletin board is modified and adjusted as needed, while the essential characteristics of the medium remain unchanged. Other specific on-line actions are also changed frequently. The flexibility of the technology itself (e.g., round-the-clock availability, adjustable format or applications) is one of its most attractive features. The NYMTC Transportation Information Exchange established 5 bulletin boards and 13 explanatory files, with the express belief that with time and user interaction, more bulletin boards and issue-specific files would be added.

On-line information is changed as often as an agency wishes. It should always carry the date when updated information was entered. The Caltrans home page shows the date of the page's latest update and includes a listing of the information most recently added to the page, with dates next to each item. Seeing how recently the information was added and how recently the whole page was updated adds credibility and a sense of immediacy. It also makes the on-line service more of a here-and-now resource.

A home page can include information from outside an agency. One service offered on the Caltrans home page is San Francisco Bay Area Transit Information. It is operated as a pubic service of the University of California, supported by student volunteers working to improve campus on-line services.

When are they used most effectively?

On-line services are best used to improve and expand opportunities for communication. King County Metro Transit in Seattle has used them to give the riding public information about Metro's Rider-Link program. Integrating text, photographs, and video, they give potential riders information about fares, schedules, routes, and connections with other services. With this service, anyone in the Seattle area can get transit information from a desktop computer. In Lexington, Kentucky, the Metropolitan Planning Organization--Urban County Government--puts its TIP and Americans with Disabilities Act reports on electronic bulletin boards.

Over time on-line services strengthen public involvement programs as a means of communication and information exchange. Their sustained use increases as more people become accustomed to on-line services and their advantages.

For further information:

Alaska Home Page, http://www/dot.state.ak.us/
Lexington Urban County Government, Division of Planning, (606) 258-3160; E-mail lsfusg.com
Metropolitan Transit Authority of Harris County (Houston), (713) 739-4000; E-mail webmaster@www.hou-metro.harris.tx.us
New York Metropolitan Transportation Council, (212) 938-3300; bulletin board (212) 938-4371
San Francisco County Transportation Authority, (415) 557-6850; E-mail sfcta@thecity.sfsu.edu/~sfctamel
Texas Employment Commission, Public Information Office, (512) 463-2217; E-mail telnet://hi-tec.state.tx.us:23/
Editor and Publisher, Urban Transportation Monitor, (703) 764-0512; E-mail drathbon@ix.netcom.com
California Department of Transportation (Caltrans), (916) 654-5266; E-mail webadmin@dot.ca.gov

HOTLINES

What are hotlines?

Hotlines are agency telephone lines that receive inquiries from the general public. They offer updated information on a project and general news regarding a special program, as well as taking specific inquiries from callers. The hotlines are staffed by a contact person or operate automatically with recorded messages.

Most hotlines have the following basic features:

Why are they useful?

Hotlines allow anyone with access to a telephone to contact an agency. They are inexpensive and easy to use for informing a wide range of individuals about a project or planning process and for allowing them to ask questions or voice opinions. The Denver Regional Council of Governments uses a hotline to announce public meetings, hearings, and other events. The Maryland Department of Transportation (DOT) uses an 800 number during project development, and the Colorado DOT uses one during its planning process. The Central Puget Sound Regional Transit Authority (RTA) uses a hotline to announce events and take questions and comments from the public.

Hotlines are used to deliver recorded messages, using one or more telephone lines. Such operations provide specific information to update community members on upcoming program events or announce recent project milestones and decisions. Agencies check the line regularly and make responses promptly. Messages are updated frequently, so that information is current and callers are confident that the agency is monitoring the system. Special technologies are available to enable people with hearing and speech disabilities to activate all hotline features. (See Americans with Disabilities.)

Hotlines are a useful method of two-way communication. They offer both information and an opportunity to register opinions or ask questions. Staff members give real-time responses. Answering machines should include a mechanism to record callers' names and addresses as well as questions or opinions. The Twin Cities Metropolitan Planning Organization (MPO) in Minnesota has an automated telephone response system. (See Telephone Techniques.)

Do they have special uses?

FAX-on-demand services can be provided by a hotline. The Pennsylvania State Legislature provides a FAX-on-demand service to its members and plans to do so for constituents as well. This service provides a caller with facsimile copies of information (in this case, legislative bills) from a prepared menu. A person calling the hotline selects a desired document, provides a number for the receiving facsimile machine, then awaits the agency's transmission. This service eliminates delays that come from telephoning, requesting, and waiting for a mailing, or the redundancy of agency staff answering dozens of identical requests for a "hot" piece of information. For short documents, FAX-on-demand is cost-competitive with traditional mail services, particularly if transmissions are sent in off-hours, when telephone rates are lower.

Hotlines are used prior to open houses or open forums. In this way, they enable staff members to research answers and better prepare for an event. (See Open Forum Hearings/Open Houses.) New Jersey Transit uses a hotline for its Monmouth-Ocean-Middlesex major investment study to receive questions from the public prior to project open houses. Callers are asked to state their questions in detail, along with their names and the open house meeting they plan to attend.

Who participates? and how?

Anyone with access to a telephone can use a hotline. Blanket publicity is the key to making sure that the telephone number is well-known. New Jersey Transit hands out refrigerator magnets with its hotline number at all public events. Members of a project technical team hand out magnets when they meet people in the field.

TDD (telecommunications device for the deaf) services make hotlines accessible to people with hearing or speech disabilities. These callers contact a TDD-compatible hotline through their own service. The service then contacts the hotline. The Massachusetts Bay Transportation Authority regards this service as an essential component of its compliance with the Americans with Disabilities Act (ADA). (See Americans with Disabilities.)

Staff people must be available to respond. Hotlines with recorded messages do not offer callers immediate personal contact with a staff person. A member of a project or agency staff calls back once messages are retrieved. Answers to information requests need to be timely and responsive in content.

To be effective, hotlines must be well-publicized. Publicity is particularly crucial, since people must know about them and know the telephone numbers before they can make use of them. Publicity can be in print media, at meetings, and on public documents. (See Public Information Materials, p. 39; Media Strategies.)

How do agencies use the output?

Agencies gauge public opinion about a project. They identify specific, recurring issues or questions. Calls received do not represent a random sample, but they are an indicator of the opinions within a community. If an agency receives several questions in a certain subject area, it can adjust its outreach program to improve general understanding of those issues. Changes may be in order in the content of analyses and plans to respond to participants' concerns. New Jersey Transit keeps a database of comments received on its hotline and at public events that can be referred to by subject area or geographic area.

Recordings allow an agency to prepare a thoughtful response rather than to put staff members in a position they might feel pressure to "shoot from the hip" (especially when dealing with an irate caller).

Who leads the technique?

No special background is needed to set up and operate a hotline. The actual setup is coordinated with a telephone company. Operation of the equipment is a fairly simple task, although the person who records the greetings should enunciate clearly.

The person who answers the calls should be well-versed in the specifics of the project and be able to answer follow-up questions. The North Carolina Department of Tourism and the Wisconsin DOT have trained State prisoners with no prior experience to staff hotlines. In North Carolina, the prisoners receive extensive preliminary training on the subject matter and on phone etiquette before staffing phone banks, and they are equipped with brochures and materials that assist them in answering questions. The system has been in operation for over five years, and its sponsors regard it as a success.

What are the costs?

Hotline costs vary, depending on the complexity of the system, use of a standard or toll-free telephone number, and the staffing plan. A hotline can be as simple as a telephone hooked to an answering machine, usually costing less than $100. The costs increase when additional branch lines are added, requiring specialized equipment.

Staffing costs are linked to usage. Staff members only need to dedicate time when they are actually on the telephone, with some additional time needed for documentation and other administrative tasks.

How are hotlines organized?

Hotlines are easy to set up. Most long-distance companies are able to provide assistance in organizing an answering system. Special equipment is required to set up the answering mechanism if multiple answering modules are to be employed. An alternative approach is to contract with a telephone company to provide the service and permit the agency to access it via an office telephone. This arrangement works only for a system with recorded messages. A toll-free number can be used, and telephone companies bill based on its usage, so operating costs are closely linked to effectiveness.

An agency staff member checks messages regularly to assure prompt responses. If staffing permits, a member of the project team is designated to answer calls as they come in, at least during business hours. This person should be well-versed in several aspects of the project so that she or he can answer a variety of questions. Project management may maintain a contact sheet of team members who can answer detailed questions about specific issues.

How are they used with other techniques?

Hotlines are integrated with a variety of other techniques in the public involvement toolbox. The Denver Regional Council of Governments and the Central Puget Sound RTA use hotlines, along with media advertisements and newsletters, to publicize public meetings and events. (See Media Strategies; Public Information Materials.) New Jersey Transit uses its hotline as an RSVP device for committee meetings. The hotline itself is advertised at these events and in project newsletters. A hotline can be used to build a project mailing list. (See Mailing Lists.)

What are the drawbacks?

Callers may be frustrated if they receive a recorded message rather than reaching a live staff member. An unhappy caller who is already upset with some aspect of an agency's program becomes more upset when unable to make immediate human contact. This problem is alleviated if a staff member answers the telephone during peak business hours or if the answering system at least gives callers the option of reaching a person. If a satisfactory response to the inquiry comes promptly, most callers overcome their initial frustration at not having their call answered in person.

Hotlines require regular notice in agency newsletters and publications. The Pennsylvania DOT has expressed some dissatisfaction with hotlines due to the constant publicity needed to make hotline use effective. Some agencies have been able to take advantage of word-of-mouth notification through community organizations, but this method should not be the sole means of publicizing a hotline. (See Media Strategies.)

Are hotlines flexible?

Hotlines can be changed to meet specific functions. Depending on need, a hotline provides a calendar of upcoming events, heralds project milestones, or offers a clearinghouse for questions from concerned local people. Frequent adjustments to hotlines assure the timeliness of information.

When are they used most effectively?

Hotlines are most effective when integrated with other techniques. They are used as part of an outreach program that includes a variety of printed, electronic, and personal media. Hotlines complement other outreach techniques, providing a means of building mailing lists and initiating more meaningful personal contacts.

For further information:

Central Puget Sound Regional Transit Authority, Seattle, Washington, (206) 684-1357
Denver Regional Council of Governments, Denver, Colorado, (303) 455-1000
Maryland Department of Transportation, Baltimore, Maryland, (410) 859-7367
New Jersey Transit, Newark, New Jersey, (201) 491-8077
Pennsylvania State Legislature, Harrisburg, Pennsylvania, (717) 783-6430
Puget Sound Regional Council, Seattle, Washington, (206) 587-9487

DROP-IN CENTERS

What is a drop-in center?

A drop-in center is a place for give-and-take exchange of transportation information within a neighborhood or community. An easy-to-find location on home turf makes it convenient and easy for people to get information on a program or plan and to express their concerns and issues. A drop-in center offers informal, continuing contact with the community. It can have other names: field office, site office, or clearinghouse.

A drop-in center has the following characteristics:

Why is it useful?

A drop-in center provides easy, convenient access to information for people who might not otherwise participate in a planning process, particularly if doing so requires a long trip to an unfamiliar location. Informal, day-to-day contact between agency representatives and members of a community is easier and more likely if a drop-in center is established in a highly-visible area. In San Francisco, the Bay Area Rapid Transit District (BART) rented storefronts in shopping malls and maintained them from pre-scoping periods through construction of rapid transit lines.

An agency makes a visible commitment to communication to and from the community by going to the trouble and expense of establishing a drop-in center. Establishing a drop-in center may help convince the community that an agency wants to involve people in planning or project development. Sioux City, Iowa, set up a drop-in center in a downtown storefront and two malls for two weeks during its Vision 2020 planning process. The "design workshops" made it easy for people to talk to planners and designers about physical issues in the city and contribute ideas for change.

Staff gets first-hand knowledge of the community's needs and concerns. In Boston, the Massachusetts Bay Transportation Authority (MBTA) established a drop-in center in Dudley Square--a transit node/shopping district--for a study of ways to improve transit services to that community and others. Planners and engineers were able to see and experience the concerns of residents and transit users and have regular, close contact with area residents and businesses.

A drop-in center provides low-risk access for community residents to get answers and make comments about a process and project. Many people are not comfortable asking questions at public meetings, and some do not want to make statements of support or rejection in front of their peers. (See Public Meetings/Hearings.) A drop-in center offers a low-key, easy way to ask questions or make comments.

Does it have special uses?

A drop-in center is often used during high-visibility, controversial projects with major impacts. In Colorado, the Department of Transportation (DOT) opened a drop-in center as part of a controversial highway project on State Highway 82. Input from it led to significant revisions over the three years of planning and environmental work.

A drop-in center provides continuity and historical reference in long-term, comprehensive projects. Boston's Central Artery/Tunnel project set up drop-in centers in three neighborhoods affected by the project. Established during planning and design, these offices will remain open through the ten years of construction.

Drop-in centers help when an agency is based far from a project site. A drop-in center is a cost-effective way to learn about a community and its concerns. It also gives the community better access to the agency. District offices that reach out and interact with community residents are good examples of permanent drop-in centers. The Arizona DOT set up a Tucson District Office as a drop-in center for the Department as a whole--thus enabling it to reach local constituents, monitor consultants, and improve its ability to communicate with local residents and businesses.

A drop-in center in a seasonal community helps get stakeholders involved. Tourists and other seasonal people often need more incentive and assistance to get involved.

A drop-in center is used to break down barriers between agencies and communities. A drop-in center in a neighborhood that is racially, ethnically, or economically different from an agency's home base helps show that the agency is serious about addressing community concerns. (See Ethnic, Minority, and Low-income Groups.) In Denver, Colorado, the Regional Transit District (RTD) established a drop-in center in a low-income community through which a light rail line was being built. By being involved with the community and walking along the corridor regularly, the RTD staff was able to answer questions and reduce anxiety about the construction.

Who participates? and how?

Any member of a community, particularly residents and businesses, can use a drop-in center. An office located, for instance, on the first floor in an area with heavy foot traffic draws passers-by off the street.

Neighborhood groups, other agencies, and consultants benefit if the office is well-situated and well-supplied with materials and equipment. Sharing space for public purposes is cost-effective. A transit project drop-in center in San Francisco was shared with a community policing effort. The two groups provided visitors for each other, and the community policing unit provided security for the drop-in center.

People stop by for information. A sign or display in the window encourages people to walk in and give or get information. An all-day public forum in Little Rock, Arkansas, for the U.S. 67/167 major investment study featured information booths and exhibits in a storefront drop-in center. Although not permanent, the storefront location was well-publicized and highly visible.

Meetings are held at the drop-in center. Community groups can use it for their own meetings. This draws people to the center and introduces them to its resources. It also brings other agency representatives, elected officials, and interest groups into the neighborhood to help them understand its people and their issues. The MBTA's site office in Dudley Square was used for weekly Friday morning community/agency meetings for the duration of Phase I of the Replacement/ Transit Improvement Study.

People use a drop-in center as a library/resource center to review documents and plans and to get information. A drop-in center should be well-stocked with information pieces to give away, plans to review, documents to read and photocopy, and other materials explaining aspects of the project or process.

How do agencies use it?

A drop-in center gives agencies opportunities for broader outreach and communication. With more frequent contact with the community through a drop-in center, an agency is in a better position to listen, address concerns, and counter misinformation. The Portland, Oregon, Tri-Met used a rehabilitated city bus in its planning for systemwide fare changes. The bus was driven to schools, business areas, and grocery stores, staying as long as a week in each location. Trained fare collectors ran the "Bus School," explaining the new fare information to the 150,000 people who used it. A video about the fare changes was also available.

Agencies use drop-in centers to communicate one-on-one with people. Specific abutter concerns or particular issues raised by interest groups are often easier to respond to face-to-face rather than at a public meeting.

Who leads?

Staffing patterns vary with the nature of a project. Some drop-in centers are staffed by three or four people, while others have just one. To a large extent, staffing depends on the project's scale or the degree of controversy it engenders. It also varies with the level of participants' use.

Drop-in center staff members must be knowledgeable about the area and about technical issues and programs. They must be good listeners and be aware of and involved in community concerns. Drop-in centers set up by San Francisco's BART are generally staffed by one person from Community Services. Several times a week throughout a planning process, personnel from the design, engineering, and other technical sections staff the office to learn about the community's concerns first-hand.

The staff must communicate concerns, questions, and sentiments of the community to other project personnel. Staff members must be good communicators for liaison between the community and project officials. They should also be friendly and personable, not confrontational or defensive. Sometimes, drop-in centers are staffed by community members who provide local knowledge, input, and contacts. In Colorado, the staff in a drop-in center for the State Highway 82 Corridor Study included a municipal planner/liaison who assisted the DOT staff engineer.

A drop-in center can be staffed by an existing neighborhood agency familiar with the issues. If possible, that agency should be involved in transportation and able to answer questions about a proposal or direct people to a knowledgeable person.

A drop-in center can function primarily as exhibit space with no staff on hand other than a security guard or caretaker to protect the displays. However, most drop-in centers are professionally staffed, because interaction between staff and visitors is key to a successful planning process.

What are the costs?

The cost to establish and maintain a drop-in center can be high. Assembling an office staff, renting space, installing a telephone, and supplying office equipment can be expensive, especially if the office is in existence for a long time. Creating an inviting, friendly atmosphere and maintaining a comfortable environment can also be expensive. Costs are partially allayed when unpaid public involvement volunteers help staff a center. (See Speakers' Bureaus and Public Involvement Volunteers.)

A mobile drop-in center such as a trailer is somewhat cheaper. A mobile center can be moved to different sites to reach more people. It can also be used on more than one project, if necessary. The Arkansas DOT has used trailers as drop-in centers for the past decade. During the Washington, D.C., Metropolitan Planning Organization's visioning process, a "vision van" visited numerous neighborhoods, gathering and giving information. For minority areas (Spanish ethnic, African-American poor, elderly poor, and ethnically-mixed areas), the van was customized with visual, easy-to-read signs and displays.

Large quantities of handout materials may be necessary. The potentially high volume of visitors to a drop-in center requires multiple copies of many documents. Encouraging interest in a project leads to requests for more detail or different types of information.

How are drop-in centers organized?

A drop-in center can be established at the beginning of a planning process when an agency needs to build relationships with the community. It is also used when interest in a process is at a peak. Peak interest may be generated as a project advances or media coverage increases. It can also arise in response to an issue or problem related to construction.

A drop-in center can follow up through design and construction phases of a project. A long-term center provides continuous contact with project personnel after a planning phase. For a $300 million highway project affecting Boston's Charlestown neighborhood, a drop-in center set up during the planning phase continued through construction. The center linked a highly-interactive planning and design process with the construction phase.

The drop-in center must be easy to find and visible from the street. Storefronts with first-floor access are ideal. A drop-in center must be an inviting and active place that welcomes the community. It must have adequate space for exhibits, reading tables, and a small project library. It should have room and chairs for small-group meetings.

A drop-in center must have convenient hours. It should not confine its hours to between 9:00 a.m. and 5:00 p.m., for most people are not able to visit during those hours. Opening on weekends and evenings maximizes opportunities for community visits. Shorter weekday accessibility combined with some Saturday time keeps hours to 40 or under per week. The MBTA maintained a 40-hour-per-week drop-in center in Roxbury's Dudley Square during design and construction of a new transit station. The center was open during business hours, but because the area--a major shopping node adjacent to a large public housing development--is very busy all day long, many people visited. The center was used frequently for night meetings as well.

The agency, its consultant, or members of the community can staff a drop-in center, in any combination. A professional staff person should be present at all times. Community people may want to play a role in the center and could be remunerated for their time, if resources permit. A disinterested caretaker can be employed for emergencies only and instructed carefully on how to greet visitors.

Preparation for opening day is essential. The community should have 15-30 days' notice before a drop-in center is opened. The existence of a center must be publicized in many community publications and with signs in the windows. The office telephone must be operable, and its phone number must be publicized and accessible. A sufficient supply of materials (charts, maps, handouts, brochures, fact sheets) must be ready for the opening. On opening day the drop-in center can have a sign that is attractive and visible from a distance. Finally, opening day might include a special event to publicize the office and kick off the public involvement effort. (See Non-traditional Meeting Places and Events.)

How are they used with other techniques?

A drop-in center can become a locus of activities for public involvement. It is an ideal place for meetings and charrettes. (See Charrettes.) The center can host a hotline or other telephone techniques, such as voice mail for comments, fax-on-demand, and a menu system for project information. (See On-line Services.) Citizen training and coordinator-catalyst activities can be organized through a drop-in center. It often serves as a community planning center, clearinghouse, and location for open houses. (See Open Forum Hearings/Open Houses.) Teleconferencing centers can be set up at drop-in centers to allow people to communicate not only with the office staff but also with agency personnel in the main office. (See Teleconferencing.)

A drop-in center is a source for information pieces. Information is distributed via brochures, flyers, or posters, and displayed on computer terminals or interactive kiosks. (See Interactive Video Displays and Kiosks.) Information is augmented and detailed by staff. Public information materials include the address and telephone number of the drop-in center, so that people can call or stop by for additional information. (See Public Information Materials.)

What are the drawbacks?

Rental costs can be high. Renting a storefront is costly in a central, easily accessible area. Because a downtown, visible location in Basalt, Colorado, was so expensive, the Colorado DOT set up a drop-in center for the State Highway 82 Corridor Study in a suburban office park on the highway. An agency may be able to obtain donated space in the community.

A drop-in center requires a commitment to keep it open for a specified time period or as needed. This commitment includes staffing and running the office carefully to make it successful.

Staffing needs can be daunting. One or two full-time people may be needed over a significant period of time. The cost effectiveness should be explored before an agency makes a commitment to a drop-in center. One way to hold down staffing needs is to make the drop-in center available for fewer hours per week. Another is to utilize public involvement volunteers to help staff the center. (See Speakers' Bureaus and Public Involvement Volunteers.)

A drop-in center can be poorly implemented, despite good intentions. An "exhibit"-type drop-in center, with graphic displays and little else, is less flexible and interactive than a staffed office. A lightly staffed, under-maintained office will not help an agency or a project. A community is alienated by an unattractive drop-in center and an uninformed staff. A field office must have updated materials, displays that are understandable to lay people, and an interested staff.

Location sometimes becomes an issue. A neighborhood can be angered and feel betrayed by placement of a drop-in center in an adjacent community. Boston's Central Artery/Tunnel Project avoided controversy by setting up three drop-in centers simultaneously, even though construction would affect the areas at different times.

The agency may want a high degree of control over information distribution at a drop-in center. For a center to be successful, staff needs to be able to give information relatively freely without having to go through channels at the main office. If access to information is restricted or unreasonably slow, credibility suffers and community activity at the center drops off.

Liability issues are a consideration. Maintaining a drop-in center of any type carries with it a responsibility that the office be safe and clean for neighborhood visitors.

Is a drop-in center flexible?

A drop-in center can be set up at any time during the process. However, once established, it should be maintained for the specified time frame and at a consistent level of staffing. Setting up a center is less cost-effective late in a project or planning process.

When is it used most effectively?

A drop-in center is effective in project development. Many State DOTs use drop-in centers at project locations to give information to people and obtain comments and opinions about the project as it is detailed and more fully developed by the agency.

A drop-in center is valuable as an introduction to the planning process. In Boston, the MBTA Replacement/Transit Improvement Study drop-in center was set up at the very beginning of the planning process.

A drop-in center is particularly useful where community residents are underrepresented in transportation planning or project development. In Denver, certain minority and economically disadvantaged neighborhoods, unaccustomed to major construction work, were concerned about upcoming light rail construction. The drop-in center helped a committee of local residents monitor construction.

A drop-in center is used during design and construction stages to maintain contact and build trust within a community. Continuity from planning through design and construction phases is an asset to an agency in terms of working closely with a community.

For further information:

Arizona Department of Transportation, Tucson, Arizona, (602) 255-7768
Arkansas Department of Transportation, (501) 569-2281
Colorado Department of Transportation, Denver, Colorado, (303) 757-9266
Denver Regional Transit District, Denver, Colorado, (303) 299-2401
Little Rock Metropolitan Planning Organization, Little Rock, Arkansas, (501) 372-3300
Massachusetts Bay Transportation Authority, Boston, Massachusetts, (617) 222-3366
Massachusetts Highway Department, Boston, Massachusetts, (617) 973-7000
Washington, D.C., Metropolitan Planning Organization, (202) 962-3200

Chapter 3. GETTING FEEDBACK FROM PARTICIPANTS

B. DESIGNING PROGRAMS TO BRING OUT COMMUNITY VIEWPOINTS AND RESOLVE DIFFERENCES

Standard meeting formats are not always successful in bringing out a full range of community viewpoints or resolving differences of opinion. Sometimes participants need other ways to make their views known and to build consensus. The use of special techniques, some of which are costly and must be conducted by professional consultants, may be warranted in such situations.

Agencies can use very specific means to obtain feedback from participants and weigh them along with other people's positions. New techniques such as customer-based analysis help agencies determine the community's needs and what might satisfy those needs. Reliability of results, in terms of substance and statistical validity, depends on the method used.

When people make their views known but are unable to reach consensus on the issues, alternative dispute resolution techniques can help resolve the conflicts. Whether disagreements are settled without outside assistance (for example, by negotiation) or require a third party to mediate depends upon the complexity of the issues, the extent of the stalemate, and the skills and spirit with which all parties enter into the resolution process.

Ways to get direct feedback and resolve differences include:

FOCUS GROUPS

What is a focus group?

A focus group is a tool to gauge public opinion. Borrowed from the marketing and advertising industry, it frankly regards transportation as a product that can be improved and the public as customers for that product. It is a way to identify customer concerns, needs, wants, and expectations. It can inform sponsors of the attitudes and values that customers hold and why. It can help drive development of policies, programs, and services and the allocation of resources. Focus groups have been used by transportation officials in New York and Illinois as a way to determine public opinions on high-occupancy vehicle (HOV) lane additions and rail transit alternatives.

A focus group is a small group discussion with professional leadership. A carefully-selected group of individuals convenes to discuss and give opinions on a single topic. Participants are selected in two ways: random selection is used to assure representation of all segments of society; non-random selection helps elicit a particular position or point of view. A combination of selection techniques can result in a focus group of people well-versed in transportation issues along with those who are solely consumers of transportation services.

A focus group has these basic features:

Why is it useful?

A focus group leader explores attitudes in depth through follow-up questions. It offers an opportunity to get behind people's expressed attitudes and assess policy directions and program objectives. It is a chance to review allocation of resources. It helps confirm or deny established goals or set new directions.

Informality encourages full participation. The small size of the group lowers barriers to speaking out. A focus group is a place for people to speak out without criticism of their comments. Spontaneity in responding produces fresh information. Participants are not required to prepare for the discussion. Many focus groups have found that participants readily volunteer ideas and comments that have not been recorded elsewhere. For example, focus groups were used in Los Angeles to find out why commuters were not taking advantage of free transit passes.

A focus group supplements other forms of public involvement. It serves the narrowly-defined need for direct and informal opinion on a specific topic. For broad participation from all community residents on the same or other topics, alternative forms of involvement are used.

Does a focus group have special uses?

A focus group provides community input from otherwise unrepresented individuals. Residents from specific areas within an urban region can be heard. Geographically-based opinions and issues can be more readily defined and discerned. The Colorado Department of Transportation (DOT) used 20 regional focus groups for detailed discussion of issues following a statewide community survey.

A focus group can marshal expert opinion on a plan. Project California used six focus groups of engineers, systems analysts, regulatory officials, and other specialists to evaluate guidelines for encouraging technological development, including electric vehicles, intelligent transportation systems (ITS), and the mass transit industry in the State.

An agency can use focus groups to compare opinions. In preparations for Chicago's Downtown Plan, opinions of Loop residents were compared with those of suburbanites; results suggested new directions in commuting and in aligning the proposed downtown light-rail line. Focus groups can also compare opinions that are internal and external to an organization.

Who participates? and how?

Focus group members are selected by the sponsor. Depending on the goals to be achieved, a focus group is heterogeneous (with a variety of people from different backgrounds within a single geographic area) or homogeneous (with separate focus groups for residents, businesses, and institutions, as in, for example, Boston's Back Bay Transportation Strategies project). Members may be randomly selected or invited from previously identified, non-random groups.

Community residents participate by stating opinions. Individuals within the group may react to others' opinions or bring up their own ideas. The facilitator of the group guides discussion to cover all agenda items and assure that all individuals get a chance to speak.

How do agencies use the output?

A focus group produces opinions from local people. For the Massachusetts Turnpike, focus groups helped identify user requests and needs for park-and-ride lots. The output of the group meeting is always recorded in written form for the sponsor's use. In addition to the written document, some agencies use videotapes of the proceedings. Some use mirrored one-way windows to observe the focus group in process.

Focus group information supplements other community input. A purpose for the group is clearly identified beforehand. Its agenda fits closely within the information needs of a larger project or program. Opinions derived from the group inform the larger effort. For Chicago's Downtown Plan, the City used four focus groups--from in-town and the suburbs--to find out what people liked and didn't like about downtown Chicago.

A focus group is tailored to assess public reactions. Because it typically deals with broad policy or program goals and impacts on the community, it does not dwell on technical issues. It helps agencies or organizations understand overall public reactions to programs or policies at a single point in time. For example, in the San Francisco area focus groups were used to obtain commuter perceptions about ridesharing.

Who leads a focus group?

A focus group needs a facilitator. The facilitator is essential to hold the group to the agenda and elicit opinions from each participant. In some cases, the facilitator is essential to keep a single participant from dominating the proceedings. In other instances, opinions may be lost in a sea of anecdotes unless the facilitator firmly steers the group toward the agenda. (See Facilitation.)

A facilitator needs guidance on the agenda and purpose of the focus group. Sample questions for the group can be provided to the facilitator by the sponsor. The sponsor may be present at the group in a non-participatory function or as an outside observer. During a break in the discussion, the sponsor may confer with the facilitator to assure that all agenda topics are covered.

What are the costs?

A focus group is relatively inexpensive compared with the costs and effort involved in administering a full opinion survey. (See Public Opinion Surveys.) It consumes less time in both implementation and analysis. Extensive statistical analysis is not required, because a focus group provides only qualitative information. However, agencies often choose an outside firm to provide a paid, neutral facilitator. Public agencies tend not to pay participants, in contrast with private market research organizations.

A focus group need not be time-consuming. Meetings are seldom longer than two or three hours. For the participants' convenience, it may be held after work hours. Schedules can be tailored to fit needs of participants and the sponsoring agency. If required, a focus group can be organized within a matter of weeks following a decision to proceed. It takes a moderate to long amount of time to select, invite, and confirm participants. The time required to prepare focus group agendas and questions is not major if an experienced facilitator is available to work with the sponsor.

How is a focus group organized?

A focus group is integrated with a larger program. It is used to inform executives and staff of public reactions to ongoing work. Thus, it grows from the needs of the larger work and provides supplemental input and information to it. For example, in Florida focus groups were used to define the preferences of commuters and travel-related businesses for community real-time traffic information.

Policy direction within an agency is required. A sponsoring agency selects the agenda, participants, and facilitator and may designate questions to be addressed by participants. A meeting site must be selected and may need to be on neutral ground if the sponsor is not to be identified.

How is it used with other techniques?

A focus group cannot replace other techniques of public involvement, but it can provide input. It is used to identify concerns and issues prior to implementing a media strategy. (See Media Strategies.) It is used to refine requirements for transportation alternatives and can be repeated at intervals to gauge changes in public opinion. It provides a qualitative supplement to quantitative community surveys. (See Public Opinion Surveys.)

What are the drawbacks?

A focus group provides solely qualitative responses. It is not statistically representative of society at large. While it fits the Intermodal Surface Transportation Efficiency Act's (ISTEA's) requirement of giving people an opportunity to comment on a project, a focus group includes only a sample of the community. As a one-time event, it does not meet Federal standards for continuing public involvement and cannot replace a more formal process that records each participant's comments and presents all of them to the appropriate authorities.

A focus group brings no public consensus. Potentially opposing groups do not deliberate important issues. The goal is to obtain opinions--not disseminate information. Specific viewpoints of individuals or the groups they represent are the principal product of a focus group meeting. Thus, the results are used as a guideline for further thinking and analysis.

For further information:

Boston Transportation Department (Back Bay Transportation Strategies), (617) 635-3086
Chicago City Planning Department (Downtown Plan), (312) 744-4142
Chicago Regional Transportation Authority (South Corridor Transit Study), (312) 917-0700
Colorado Department of Transportation Long-range Plan, (303) 757-9266
New Jersey Department of Transportation Long-range Plan, (609) 530-2866
New York Department of Transportation Region 10, (518) 360-6006

PUBLIC OPINION SURVEYS

What are public opinion surveys?

Public opinion surveys assess widespread public opinion. An agency administers a survey to a sample group of people via a written questionnaire or through interviews in person, by phone, or by electronic media. The limited sample of people is considered representative of a larger group.

Survey results show public positions or reactions to agency actions and gather information for use in the process. Surveys can be formal (scientifically assembled and administered) or informal. For example, in a series of formal surveys, voters in the Puget Sound region (Seattle, Washington) were asked to say how they would vote on various possible elements in a regional transit system. In an informal survey, the Ohio Department of Transportation (DOT) attached a questionnaire to its draft statewide transportation plan, Access Ohio, to solicit comments from reviewers. During preparation of Oregon's transportation plan, public opinion surveys were made available in the policy element draft and at public meetings.

Scientific surveys give broadly applicable results. The Puget Sound surveys mentioned above, for example, were based on a random sample of voters carefully chosen to be statistically representative of all voters. Informal surveys tend to bring responses from a self-selected group of people--those who are more personally interested in specific transportation issues than the population at large. However, informal surveys can be designed to reach a broader group than those who attend public meetings.

Why are they useful?

Surveys portray community perceptions and preferences. They can accurately report on what people know or want to know. They test whether a plan or plan element is acceptable to the public as it is being developed, or test an agency's perception of what people are thinking and reinforce decisions made through participatory programs. They can identify concerns before a public vote is scheduled, as was done in the Seattle area.

Surveys can test whether opinions are changing, if repeated after an interval of time. Results can be useful to the leaders of the process or to elected officials and community leaders. Results are used to guide efforts to meet public concerns and develop effective messages for public information and for a media strategy. They give meaningful clues to the likely level of public acceptance of a plan, program, or process. The Puget Sound surveys spanned a five-year period.

Better information enhances an agency's understanding not only of public concerns but also of the process of public involvement. An agency can respond to survey results by providing missing or inadequate information that did not get through to the public or was misinterpreted. This adds to the substantive discussion of issues deemed important by respondents.

Do they have special uses?

Surveys focus public thoughts about a service and provide a context for an opinion. A public opinion survey in Chicago found that public attitudes about transit are not only a function of services received but are also strongly affected by people's feelings about crime, government in general, public civility, and the neighborhoods where a trip begins or ends. Public opinion surveys were distributed at the Delaware DOT's public "exhibits" of progress on a highway project. The surveys helped the DOT determine what attendees thought of ideas under discussion and present project issues in ways that engaged them.

Surveys indicate preferences of segments of the population. In Utah the Wasatch Front Regional Council and the Utah Transit Authority conducted a survey of more than 2,000 individuals to determine transportation preferences for disabled persons. Santa Barbara, California, used a public opinion survey in conjunction with the update of its general plan to identify issues of particular concern to Hispanic and African-American business people and community leaders. Lancaster County, Pennsylvania, used a visual preference survey to determine physical aspects and patterns that residents preferred and to show how those values could be reflected in an overall plan for the area.

Who participates? and how?

Surveys directly involve a relatively small population of a State or region. In turn, that population is involved only in a one-way participatory effort, without the opportunity for give-and-take with the sponsoring agency. For surveys with a randomized sample of the population, chosen in a statistically-valid way, the sample can be stratified to include only people within a specific geographic area, income group, or other category of people from whom information is desired. Although it never replicates the overall population precisely, it remains statistically valid.

Respondents provide a composite view of the larger population. In a scientific, statistically-valid survey, answers are expanded to reflect what the population as a whole might have answered if they had all been asked the survey questions. Informal surveys can never be viewed as the basis for such an expansion. However, large informal surveys can generally indicate the predominant features of public opinion. In an informal survey in Atlanta, nearly 1,500,000 people were reached through an overall media strategy; more than 10,000 people responded by filling out questionnaires on the regional visioning program.

Who leads public opinion surveys?

Public opinion surveys can be led by trained agency staff people. Often, particularly for statistically valid surveys, outside help is appropriate because of the survey's complexity. Professional survey takers also help an agency move expeditiously and achieve the necessary accuracy to assure the public that results are valid and unbiased.

What are the costs?

Informal public opinion surveys are relatively inexpensive. They can be prepared by agency staff and administered at meetings or as part of a document. But they can be useful. The Albany, New York, Metropolitan Planning Organization took a survey to solicit comments on the structure of the public involvement program; the results showed that multiple techniques of public involvement in planning would be the most appropriate course of action.

Scientific surveys are expensive because of the complexity of drawing a sample population or structuring the questions asked. Time is also a significant factor because of survey preparation and administration. Collecting, transcribing, and summarizing data becomes increasingly expensive as the number of questions or size of the sample increases. A carefully-selected sample reflecting many types of interests within the larger population takes additional time and money. Also, a survey cannot stand alone; it must be accompanied by other public involvement techniques, each with its own cost.

How are public opinion surveys organized?

An agency ascertains the need for information and then determines the most appropriate means of getting it. If an agency needs opinions about a planning effort or project that is getting underway, for instance, it needs to determine whether formal or informal comments are most appropriate. In part, this decision turns on whether the agency wants opinions relatively quickly from known participants (an informal questionnaire) or needs considered opinions from groups that are not ordinarily informed or involved in transportation processes (a more formal questionnaire and sample selection process).

An agency determines the types of questions to be asked. Opinions about the process can be elicited from those surveyed--its overall approach, its progress to date, the direction it is taking, and potential next steps. Also, opinions can be directed toward considering aspects of a project--the corridor characteristics, alternatives under investigation, etc. Whether the questions are asked of known participants or people unknown to the agency, it is important to frame them in a clear, unambiguous manner. Sometimes questions need to be in languages other than English or be accessible to persons with disabilities. (See Ethnic, Minority, and Low-income Groups; Americans with Disabilities.)

An agency establishes the survey questionnaire. Public opinion surveys are taken in a variety of ways. A simple method is the telephone interview. More elaborate methods, involving printed questionnaires, need extensive preparation and testing to avoid ambiguities or misunderstandings when received by a community respondent.

How are they used with other techniques?

Public opinion surveys supplement other techniques. For example, results of surveys can provide grist for discussion in civic advisory committees, charrettes, or brainstorming sessions. (See Civic Advisory Committees; Charrettes; Brainstorming.) Survey results can be a focus of a video production or a facilitated meeting. (See Video Techniques; Facilitation.) Surveys usually produce quantitative results that can be counterbalanced by the qualitative results obtainable from a focus group. (See Focus Groups.) Public opinion surveys should be conducted so as to be accessible and understandable to Americans with disabilities. (See Americans with Disabilities.)

Informal surveys may be included in public information materials, especially if distributed through local newspapers. (See Public Information Materials.)

What are the drawbacks?

Surveys are not interactive. Used in isolation, surveys produce data, not a dialogue between the community and an agency or between groups of people. The information in a questionnaire should be neutral to allow respondents to make up their own minds about a question or concern. Surveys can spread misinformation if poorly or ambiguously drafted.

A public opinion survey is sometimes difficult to undertake for some stakeholder groups for certain topics. Some people prefer one-on-one discussions of issues that affect them, while others prefer surveys because they do not have time to go to meetings.

Survey results may not reflect the entire community's views, especially in the case of informal surveys.

When are public opinion surveys most effective?

Public opinion surveys can be taken at almost any time during a process. Used carefully and repeated over time, they keep an agency well-informed of changes in public knowledge of a planning effort or project development and people's preferences within that knowledge. For example, the Seattle Regional Transit Project surveyed voters in two "waves" about 18 months apart to determine awareness of the project, overall support, and funding, phasing, and location preferences.

For further information:

Albany, New York, Metropolitan Planning Organization, (518) 458-2161
Central Puget Sound Regional Transit Authority, Seattle, Washington, (206) 684-1357
Delaware Department of Transportation, (302) 739-4348
Ohio Department of Transportation, (614) 466-7170
Utah Department of Transportation, (801) 965-4359

FACILITATION

What is facilitation?

Facilitation is guidance of a group in a problem-solving process. The group leader--a facilitator--is neutral in regard to the issues or topics under discussion. The facilitator works with the group as a whole and provides procedural help in moving toward a conclusion. For example, facilitation of community meetings on the proposed Monongahela Valley Expressway between Pittsburgh, Pennsylvania, and Morgantown, West Virginia, led to an agreement by the Pennsylvania Turnpike Commission to divide the project into separate, more manageable segments.

It is managed by the facilitator with the consent of the participants. The goal of both the facilitator and the group is to arrive at a collective decision through substantive discussions.

Facilitation leads toward empowerment and consensus. To the extent that a group is representative of stakeholders, the conclusion is a position or a level of consensus it has jointly achieved.

Facilitation has these basic features:

Why is it useful?

Facilitation brings out all points of view represented in the group. In a small group, a facilitator can encourage discussion from all participants. (See Small Group Techniques.) Sharing viewpoints stimulates discussion. Given a lack of full expression of views, a facilitator can ask hypothetical questions to get discussion moving. (See Negotiation and Mediation.)

Time is often saved through facilitation. Ongoing differences of opinion or stalemate challenge a neutral facilitator. The application of facilitation skills is useful to break a stalemate and allow a group to move toward consensus. In Washington State, completion of I-90 depended on facilitation of agreement between the Department of Transportation and a neighborhood group looking for mitigation of nighttime construction.

Facilitators works for an open process. They ensure that the group is fully aware of the issues prior to discussion of steps to be taken. Facilitators assures that education on technical issues takes place as appropriate and seek out the stances of participants on those issues. They ensure that points are clarified and elicit follow-up on questions. Opinions are respected by facilitators, who assure that all members of the group are respectful of each other's views.

Does it have special uses?

Facilitation indicates a commitment to action. A facilitated meeting takes on an importance a regular meeting does not have. Its designation indicates an agency's commitment to offer a way of overcoming a specific obstacle. Its existence demonstrates a commitment to involving local people in the decision-making process. It demonstrates that the sponsor is open to taking public comment to heart.

Facilitation is flexible. It can be used at almost any time to assist a group in surmounting an obstacle to collaborative decision-making. It can be used to discuss either small or overarching issues. It can be used for comprehensive planning issues, project-level decision-making, policy review, or detailed design.

Who participates? and how?

Representatives of community groups or stakeholders are invited to participate in a facilitated group. A widespread diversity in viewpoints is expected to exist on issues. This diversity must be represented to ensure full discussion. (See Ethnic, Minority, and Low-income Groups; Americans with Disabilities.)

No special training of participants is required. Many individuals within a group may have a depth of interest in issues being discussed. This interest may range from a broad, long-term view of the issues within a geographic area to a specific and more short-term view of issues surrounding a project or program.

People participate by examining and discussing issues with others in the group. Discussions are in as much depth as available time permits. A facilitator helps a group work within the time available to it. Typically, major points of discussion are recorded by an individual assigned the task. The facilitator may not be able to take minutes; another individual can be assigned the task.

How do agencies use the output?

Facilitation is aimed toward a product, which may be reactions to agency policies or proposals or a consensus on an action to be taken. For example, meetings to develop a regional transit plan for Seattle were facilitated with professional assistance hired by an agency.

Group consensus is used as input to an agency's work. A facilitator's goal is to bring a group together on an action or issue and find points of agreement. She or he may be able to craft a compromise position through give-and-take and over a relatively short period of time.

Who facilitates?

A neutral facilitator is selected by the sponsor to lead the group. The facilitator must be accepted by the group as unbiased, constructive, and fair. She or he is an experienced professional familiar with assisting group discussions via group processes, communication, and conflict resolution skills. The facilitator elicits both facts and opinions and helps the group distinguish between them. It is helpful if the facilitator is also intimately familiar with the subject matter of the discussion.

In this capacity, a facilitator does not express a personal opinion. Neutrality is maintained at all times. If an opinion is requested, it can be given, but prior to offering the opinion the facilitator announces that she or he is stepping out of the neutral role. At no time should a facilitator make a decision for the group. The "what I'm hearing" technique brings discussion back to the agenda and checks on whether people are in agreement.

A facilitator leads the meeting in an informal manner. Humor is helpful in providing a relaxed atmosphere. A positive attitude is essential, as is uncritical recording of ideas from participants.

What are the costs?

Facilitation requires agency support staff. Minutes must be taken. A site for the meeting must be selected. Agency representatives typically attend to provide responses to participants' questions. In some instances, an agency needs to carefully explain its position or analysis, requiring staff to be available.

Material needs are minimal, but a quiet meeting room is mandatory. A flip chart is essential to write down participants' comments. Background information must be prepared as appropriate so that participants can quickly grasp the issues. Written materials dealing with contextual issues may be needed at hand to supplement information provided to the participants at the meeting.

How is facilitation organized?

The sponsor determines the need for facilitation. A divisive issue may call for facilitation. For example, the Virginia Department of Transportation (DOT) used a facilitator to work on resolving potential conflicts with neighborhood organizations. The sponsor selects a neutral person for the role, sometimes from within the agency but more usually from an outside source.

The sponsor determines the meeting's agenda and schedule. An agenda may cover one or more issues to be discussed. The sponsor meets with the facilitator to discuss the agenda and approach to be taken within the meeting. A site is selected, typically in a space that participants perceive to be neutral.

The facilitator conducts the meeting. The sponsor does not attempt to control the direction of the meeting once it is underway. The facilitator conducts the meeting toward its stated goals and may add questions to elicit responses from individuals. A facilitator records participants' comments on a flip chart or butcher paper without editorializing.

How is it used with other techniques?

Facilitation supplements other techniques. A facilitator can assist an established civic advisory committee to progress toward its goals. (See Civic Advisory Committees.) Facilitation is a requirement for a charrette or a focus group and can also be used in brainstorming or visioning sessions. (See Charrettes; Focus Groups; Brainstorming; Visioning.) It is typically used in a collaborative task force. (See Collaborative Task Forces.) Facilitation can be used in discussions associated with transportation fairs. (See Transportation Fairs.) Video can be used to record facilitated proceedings. (See Video Techniques.) In Idaho, facilitators helped with both focus groups and a civic advisory committee working on the initial efforts in a regional long-range plan.

What are the drawbacks?

Facilitation must be done by a neutral person. When a group perceives that a facilitator is biased, it feels manipulated by an agency. In practice an impartial person may need to be sought from outside an agency--which raises the expense of conducting a meeting. A respected community member is often an appropriate choice.

There is a limit on the number of interests that can be facilitated in a meeting. The sponsor of the process must recognize these limits in establishing the group.

Opponents may refuse to consider each other's ideas, despite the presence of an experienced facilitator. People who feel they are being controlled or patronized are likely to withdraw from full participation. Agency staff who feel that the process is leading nowhere may not respond appropriately to questions from participants.

Time constraints work against facilitation. A short meeting may not provide enough time for a full discussion of the issue at hand. Participants feel short-changed if insufficient time is allotted to discussion of a controversial issue.

For further information:

Idaho Department of Transportation, (208) 334-4444
Maine Department of Transportation, (207) 287-3131
Pennsylvania Turnpike Commission, (717) 939-9551
Virginia Department of Transportation, (804) 786-2935
Washington State Department of Transportation, (206) 440-4696

NEGOTIATION AND MEDIATION

What are negotiation and mediation?

Negotiation and non-binding mediation are alternative dispute resolution (ADR) processes designed to resolve a conflict between parties unable to reach agreement. ADR procedures aim to resolve conflict before it moves toward the courts. Agency staff can use some ADR procedures; others require outside experts, often called third-party neutrals. In some ADR procedures such as binding arbitration, third parties make decisions. Binding procedures, however, are not appropriate to transportation planning and project development. This report deals only with non-binding techniques.

The major ADR procedures suited to transportation decision-making are negotiation, facilitation, and non-binding mediation.

Mediation helps reach consensus on controversial transportation plans and projects. It is often used in construction disagreements with contractors. Outside the field of transportation, examples of how mediation has been used range from child custody disputes to conflicts over siting hazardous waste or energy facilities. In transportation, the Pennsylvania Department of Transportation (DOT) has used mediation for several years. As one example, for Philadelphia's new interstate Route I-476, an outside consultant worked to develop agreements between community people and the agency regarding environmental and mitigation issues that had stalled the project.

Mediation and negotiation provide a structured, semi-formal, and orderly way for people to find agreement. They require no one to commit to an outcome that may be unpredictable. The consensus reached through them is non-binding on participants.

Alternatives to mediation and negotiation are more costly and time-consuming. A dispute resolution process can avoid time wasted in unproductive or acrimonious debate at meetings, litigation, major redrafts of plans when they are nearly complete, or staff effort spent rebuilding agency credibility.

Do they have special uses?

Negotiation is especially useful in informal situations--to resolve differences among parties, avoid engaging a broader group with local disputes, or address several aspects of a dispute simultaneously. Negotiation can be brought into a process at any time but is most effective before polarization. In Hampton, Virginia, a negotiation process to find consensus on a new connector road was established. Participants were trained in the steps of the process. When the staff was further trained in facilitation and collaborative methods, consensus-building became a regular element in Hampton's planning efforts.

Mediation, by contrast, has a special and distinctive use: it is generally employed when a process has reached an impasse or major breakdown. Mediation has been employed in transportation projects and long-range planning studies where profound disagreement has occurred. In the Boston, Massachusetts, Central Artery/Tunnel Project, the process resolved an impasse over a critical river crossing design, leading to adoption of an alternate plan. In Fort Worth, Texas, a mediator was hired after local groups and residents filed suit over the findings of an environmental impact study for expansion of I-30. The process resulted in more highway options, which were broadly supported within the community and carried forward into further study.

Who participates? and how?

It is essential to include all potential stakeholders in establishing a dispute resolution process. Stakeholders may include neighborhood residents, local business people, abutters, regional interest groups, public officials, and agencies. Failure to include all pertinent interests undoes consensus. A person or group whose position has been ignored can challenge the legitimacy of the process. Parties need to be identifiable and willing to participate. All participants must feel some pressure to agree and must have concluded that they cannot do better by steam rolling each other or going outside the transportation process by, for example, appealing to the political process.

Parties in a dispute resolution process can appoint or elect representatives in order to avoid large, unwieldy meetings. This requires that groups be sufficiently well-organized to identify leaders who can speak for the group credibly. In Silver Spring, Maryland, representatives of project opponents and proponents, the county, and a developer came to the table to resolve a dispute involving a proposed downtown shopping and office development. The size of the small, representative group helped to resolve the issues quickly.

The representative process requires a high degree of cooperation and trust in selecting individuals to serve. A strong neighborhood group in Minneapolis, Minnesota, served as the focus of leadership meetings with police and other agencies to address drug and crime problems in disadvantaged neighborhoods. Churches represented many residents and created a focus for consensus building in the Binghamton, New York, downtown revitalization project, and in the Fredericksburg, Virginia, homeless shelter program.

Mediation usually consists of a series of meetings. Negotiation can consist of one or more meetings among parties. All participants are accorded equal status in the process and are encouraged to present their views on each issue. For maximum success and effective participation, the process must strive for:

An agency sponsors and/or participates in a mediation or negotiation process. Agency staff members develop and use negotiation and consensus-building skills as a regular part of their public involvement practice. Agency staff people also are potential third-party mediators, although they should not serve in situations where their neutrality on the issues is in question. Effective professional negotiators focus on meeting the parties' underlying interests. By doing so, they open up many areas for creative resolution. Amateur negotiators commonly understand negotiation as the hard-nosed exchange of positions in which one party starts low, the other high, and each tries to give as little as possible in the process of reaching an agreeable middle ground. Professional negotiators avoid this win-lose approach and strive for win-win solutions. The Pennsylvania DOT has on-call mediation consultants who are called in as necessary. Its project engineers are aware that they can request assistance on an as-needed basis from agency headquarters when projects begin to encounter obstacles, and that expert consultants can be assigned to resolve conflicts, if approved by agency officials.

How do agencies use the output?

The goal of all dispute resolution is to reach a publicly-supported decision by addressing and resolving pertinent concerns. Thus, the result should be consensus on a course of action, including the possibility of not going ahead with a plan.

Producing long-term results requires on-going leadership. While many uses of dispute resolution center around a particular plan, sometimes mediation and negotiation are used as needed over a longer period of time to keep a process moving forward. For 23 years, a mayoral advisory board in Indianapolis, Indiana, has used negotiation and mediation by group leaders to resolve competing community objectives regarding allocation of resources and to foster economic growth and civic expansion.

Mediation can resolve impasses over controversial projects. In Chapel Hill, North Carolina, a third-party mediator (who was also a local architect versed in design concepts) worked with neighbors, city officials, and business people to develop a consensus design for a new McDonald's restaurant opposed by the community.

Mediation or negotiation can be used in addressing priorities for capital improvements. In New Jersey, mediation of a State Department of Transportation road widening project in Montgomery Township successfully resulted in a plan using staggered phases of implementation spread over several years.

Mediation has helped in developing policies for new regulations by bringing opposing sides together and avoiding obstacles and potential disputes. The U.S. Environmental Protection Agency often uses a mediator to develop consensus over regulations among a range of public and private interests, for example in the areas of water and air quality.

Who leads these techniques?

In mediation, an outside party or someone from within an agency serves as a third party, provided she or he is neutral and is perceived as such by all parties. The individual should have the following qualifications:

A mediator frequently creates a draft working document that is modified through discussions with all parties to reflect developing points of consensus.

A skilled mediator should be able to work on a single issue on a short-term basis, with the possible option to remain involved as a monitor of future activity or implementation. In Eugene, Oregon, the mayor hired an experienced mediator to assist in developing more positive relationships between city agency staff and minority community residents. After a two-day process filled with frank and open discussion, strong relationships were formed between previously unconnected staff and community people.

Negotiation is led by agency staff or management. The chief qualification is a good understanding of interest-based negotiations--whether from training or experience.

Trained consensus-builders and mediators are available throughout the United States. Agency staff can also be trained to develop their facilitation, negotiation, and consensus-building skills. The North Front Range Transportation and Air Quality Council--the MPO for Fort Collins, Colorado, area--hired a consultant to train the staff in mediation and consensus-building.

How are these processes organized?

The first activity of any mediation or negotiation is conflict assessment. The third party or agency staff needs to address such questions as: is the conflict resolvable? and what are possible resolution approaches?

Further preparation is crucial. In beginning a process it is essential to:

A successful negotiation might be completed in a very short time--as little as an hour for a very specific issue with a small number of stakeholders, where generally positive, trusting relationships are already in place.

For a complex mediation, many months may be required, and large complex transportation issues involving many stakeholders may take a year or two or more. A meeting every two to four weeks for two to four hours is a common scenario. Time between sessions is often needed for staff to modify plans or conduct additional analysis to respond to participants' concerns.

In mediation, the work varies but usually includes the following steps:

In negotiation, the process is more flexible but usually involves the following steps:

Sometimes participants do not feel comfortable meeting in the same room with their opponents. In such cases, the third party meets individually with participants outside the group to work out an agreement step-by-step. The mediator carries proposals between nearby conference rooms until the issues are resolved. In a significant historic example, President Carter carried draft documents between Prime Minister Begin and President Sadat--in different cottages at Camp David--to obtain a formal Middle East peace agreement. In this less open method, strict confidentiality must be pledged by all participants at the outset and followed throughout the process. In some situations, use of a third party follows stringent confidentiality principles, although the resulting agreement becomes a public document or is available to anyone who is interested.

What helps people change their positions?

Guiding participants toward finding shared and compatible interests is an effective method. Usually participants take strong positions assumed to be "the only answer" to addressing their needs or wants. Often, however, alternatives exist that still respond to the party's interests but are easier for other parties to accept or consider.

Identifying interests begins with asking questions. Asking participants why they feel a certain way clarifies basic needs and desires that have not yet been articulated. Breaking down general interests into specific elements helps focus the areas of disagreement. Suggesting alternative choices also works. Figuring out why people have made certain choices is a first step toward finding different ways of fulfilling their interests that may be more compatible with the other party's needs.

Working toward consensus by identifying interests rather than establishing positions is a key skill that leads to effective cooperative decision-making and consensus-building. Using professionals and seeking information and strategies from books and other resources helps make ADR processes successful.

How are negotiation and mediation used with other public involvement techniques?

Negotiation is part of an overall public involvement process and of many individual techniques. Collaborative task forces have consensus-building as a major goal and often use negotiation as an integral element of their activities. (See Collaborative Task Forces.) Practitioners who have honed their dispute resolution skills use them informally in day-to-day work with participants and other planning team members to help foster coalitions and move toward consensus.

Written materials are required to provide information about issues or plans under discussion in mediation and negotiation, as in other public involvement techniques. Disputes are often overcome by providing adequate information or targeted materials that respond to the needs of individual participants or groups. (See Public Information Materials.)

What are the drawbacks?

A dispute resolution process such as mediation or long-term negotiation sometimes involves a large number of interests, adds time to a process (particularly when it follows a failed previous effort), and requires significant management and organization. A think tank on welfare issues in Shelby County, Tennessee, consisted of representatives of 65 members of the clergy, businesses and business organizations, providers of social services, and community organizations. A one-year negotiation and consensus-building effort was required for the group leader to gain commitments and guiding principles from this large group of agencies and organizations.

Hiring a mediator or a trained negotiator is usually much more expensive than using in-house personnel. The advantage is a more skillful mediation and/or negotiation and an improved process, along with a clearer position of neutrality. Sometimes a participant serves as a third party if she or he is regarded as impartial by others.

Mediation may require special preparation for participants. Some groups may not be sufficiently well-organized to participate; for example, neighborhoods with no leadership. All participants, including less powerful interests, must have equal standing within the process. Consideration must be given to participants' range of knowledge and experience with the subject matter. Special printed material and briefing sessions are often necessary to give all participants an equal level of basic knowledge and understanding so they can participate effectively in the dispute resolution process.

Participants are not always pleased with the results of mediation. Failure occurs when mediation is undertaken after people have dug in their heels and view compromise or any alteration in their position as "losing." Sometimes conflicts occur among people's basic values, such as accepting certain environmental impacts. If a large power imbalance among interests exists, mediation may raise expectations among the less powerful that cannot be fulfilled.

For various reasons, consensus may unravel. Poor attendance suggests a lack of trust or "buy-in" to the process. If participants drift away over a long dispute resolution process, consensus may be weak and difficult to sustain in action. Even strong consensus unravels if agreements are broken, priorities are not followed, or principles are forgotten.

Agencies often fear the challenges and sparks that arise with many competing interests. Residents, local officials, interest groups, and agency staff may have long histories of hostility. Finding ways of defusing such antipathy and developing a fruitful mediation process is a challenge. A skilled third party's role is to effectively deal with hostility and make the outcome a success. Agency staff with strong negotiation skills also help to create a more positive working relationship.

Are mediation and negotiation flexible?

Mediation and negotiation have considerable flexibility. The processes:

When are they used most effectively?

Mediation is most effective when other less formal consensus-building fails and an impasse has been reached. Negotiation is most effective before an impasse is reached.

Mediation and negotiation must be part of a participatory process that includes such regular activities as working group meetings, hands-on discussion sessions, and timely responses to comments and concerns. Attempts to reach consensus by addressing concerns early helps prevent an impasse. Consensus-building generates trust that agencies will cooperate to reach a mutually satisfactory solution or agreement. Through mediation, agencies find help in reaching agreements, but they are still ultimately responsible for making final decisions.

For further information:

American Arbitration Association Headquarters, (212) 484-4000
City Manager's Office, Fort Worth, Texas, (817) 871-6111
Community Mediation Centers--American Bar Association, (202) 331-2661
Greater Indianapolis Progress Committee, Indianapolis, Indiana, (317) 286-3160
Harvard Law School, Program on Negotiation, (617) 495-3100
National Institute for Dispute Resolution, (202) 466-4764
Pennsylvania Department of Transportation, (717) 772-2563
Program for Community Problem Solving, (202) 626-3183
Society of Professionals in Dispute Resolution, (202) 783-7277
University of Virginia Institute for Environmental Mediation, (804) 924-1970

Chapter 3. GETTING FEEDBACK FROM PARTICIPANTS

C. TAKING INITIAL STEPS

Agencies need specific ways to solicit feedback from community people, resolve differences, and integrate the results into a process of planning or project development. Some initial steps include the following:

T Determine how and when feedback information will be used.

Be receptive to feedback and prepare to use it during ongoing staff work in planning and project development. Determine when feedback on specific issues is needed and by whom.

T Establish clear channels for feedback to affect agency decision-making.

Provide a well-defined avenue for information, testimony, and opinions from the public to reach agency decision-makers and policy-setters.

T Set up ways to give further information and get comments and questions.

Establish telephone connections that people routinely can use to obtain information and give feedback, comments, or support. However, because many people prefer methods that are instantaneous and hassle-free, supplement telephone connections with other methods, such as on-line services, that make it easier to give and get information.

T Sponsor brief surveys or small groups to preview community viewpoints.

Investigate a small but representative sample of the community to pinpoint people's preferences quickly. Design the form of the survey to objectively test preferences.

T Sponsor focus groups to ascertain community concerns in detail.

Hold focus groups of representative people to get a broad outline of what people want to see and what concerns agencies might encounter in specific situations. Repeat the technique in more than one location to help determine geographic-based differences in opinion. Use the results to help set up an overall public involvement strategy and specific procedures.

T If an impasse is reached, try negotiation or third-party intervention.

Assess the complexity of the conflict to be resolved and how intently participants are holding to their own positions without compromise. Use a skilled, in-house person to work informally with the parties to reach consensus. If the stalemate holds fast, bring in a mediator or other third-party neutral to assist the group in approaching the issues from other angles, improving their conflict resolution skills, and coming to agreement.

T Evaluate the approach with participant advisors.

Ask participant advisors if a technique is appropriate or rewarding. Meet with community advisors to get a sense of the best methods of getting feedback and comments and resolving conflicts.

Chapter 4. USING SPECIAL TECHNIQUES TO ENHANCE PARTICIPATION

Public involvement programs aim to involve the largest possible segment of the population. Yet traditional methods such as meetings and hearings frequently interest only a small group of people. Capturing the attention of a larger, more representative group requires careful planning and often substantial effort. Maintaining that attention level is even more of a challenge.

How does an agency know when its public involvement program needs enhancement?

Gradually declining attendance or static membership among participants is a major signal that a program is not engaging. Another signal is a dearth of questions from participants or expressions of concern that progress is not being made.

Why are special techniques useful?

An enjoyable and productive public involvement experience gets people talking and enhances an agency's image in their minds. If agency efforts are unique and stimulating, people more readily spread the word about them. Agencies themselves renew their enthusiasm and take more pride in their efforts to involve the public. Communication often improves. And the best result is a more effective and extensive collaboration between an agency and the public in transportation planning and project development.

How does an agency attract people who do not usually participate?

Special techniques are available to attract both new and existing participants or give a jump-start to a lackluster public participation program. These techniques, best used occasionally rather than regularly, may not guarantee continued interest, but they do hold promise for more interesting and varied participation and feedback. Several options are described on the following pages:

A. holding special events;
B. changing a meeting approach;
C. finding new ways to communicate; and
D. taking initial action steps.

Chapter 4. USING SPECIAL TECHNIQUES TO ENHANCE PARTICIPATION

A. HOLDING SPECIAL EVENTS

People like special events now and then. These unique occasions are light-hearted and intended to be fun for participants. They have a holiday-like feeling clearly different from day-to-day meetings and hearings. They give community people opportunities to meet others in a friendly, non-threatening setting and share their ideas. People like the freedom and openness of pleasurable events that do not demand immediate action or response.

Nearly any public involvement program benefits by incorporating special, one-time events. They complement many techniques by providing exhilarating breaks during a larger and longer process. A special event does not require a commitment to hold another such occasion, unless evaluation determines it is likely to be useful and appropriate.

Special events reach new participants. Individuals who have not participated in transportation planning or project development become interested because of exposure to agency work at a special event. Special events help current participants recruit neighbors to the process and demonstrate why it can be fun. With the help of participant advisors, an agency can determine if a special event is appropriate and if its timing can be integrated with other community events.

During special events in a public involvement program, messages about transportation--while clearly a motivating force--should be understated to keep the occasion light and friendly.

Special events take many forms. Two techniques have potentially significant use for transportation planning and project development:

TRANSPORTATION FAIRS

What is a transportation fair?

A transportation fair is an event used to interest community members in transportation and in specific projects or programs. It is typically a one-day event, heavily promoted to encourage people to attend. Attractions