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