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UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
SUBJECT: Cookbook on 208 Public Participation Programs DATE: July 18, 1975
FROM: Frank M. Corrado, Director
.rx Office of Public Affairs
^\ *'.'."
•" *-'>
TO:".''*" EPA Region V 208 Agencies, 208 Project Officers and State Environmental
•Public Affairs Officers
As we promised you, here is the "Cookbook" on 208 Public Participation
programs. We call it a cookbook because it contains a number of
recipes for using public participation in the development of Sec. 208
programs.
In a few weeks you will also be receiving a slide show for Sec. 208
agencies on the same topic.
There is no "one way" to deal with public participation. But there
are some minimum needs that must be addressed in each 208 program
so that when the time for implementation comes, there will be a
climate of acceptance within the community.
To that end we feel it is imperative that there be at least one
person in each 208 agency whose full time job is to handle public
participation. This may vary -more or less- in some circumstances.
f-
- The materials that have been culled here are taken from a number of
' sources.
You will receive, from time to time, additions for this cookbook.
Put your own EPA ideas in here too. If you need technical help,
tell your project officer. We'll be glad to help.
GOOD LUCK.
Frank M. Corrado
EPA Form 1320-6 (Rev. 6-72)
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CONTENTS:
Sec. 1 Region V Comments on your Public Participation
Program
... Checklist for 208 Programs
... Outline of Opportunities for Citizen
Involvement
Sec. 2 ..... Paper by Lloyd Axworthy, Manitoba Assembly
Sec. 3 SYNERGY, Making Public Participation Work
Sec. 4 Techniques for Communicating and Involving
the Public
Sec. 5 ..... Uses of Media, The Distribution System
. . . .'. Public Hearings, Some Comments on Effectiveness
Sec. 6 The Great Lakes, A Reader on Management Improve-
ment Strategies
Beyond Public Hearings: Suggestive Techniques
for Public Participation
-------
LAKE MICHIGAN
MAY 13, 1975
CITIZEN PARTICIPATION CHECKLIST FOR 208 AREAWIDE WASTEWATER
MANAGEMENT PROGRAM
APPLICATION AND WORK PROGRAM
AREA
STATE"
Law, Regulations or Guidelines Yes No
Discussion
101 (e) . Public participation
in development, revision of
plan or program provided for,
encouraged and assisted.
40 C.F. R. 105.2. Agency
will be responsive to public
concerns and priorities. . •'.
Improved popular understanding-
~of programs and actions in
development of plan.
Active public involvement in
and scrutiny of intergovern-
mental decision-making process
on plan.
Conferring with public before
final agency decisions.
Program of participation .
fosters a spirit of openness
and mutual trust.
40 C.F.R. 105.3. Staff re-
sponsibility and budget identi-
fied for each program for par-
ticipation in development of
the plan.
40 C.F.R. 105.4. Continuing
policy, program, and technical
data at earliest practicable
times, accessible for informed
and constructive contributions.
News releases, newletters.
Summaries of complex" technical
materials.
Arrangement for providing tech-
nical and informational assist-
ance to public groups for
(Continued) ' '
f
\
-------
-2-
Law, Regulations or Guidelines
Yes No
Discussion
citizen education, community
workshops, training and dissemi-
nation of information to
communities .
Prompt handling of requests
for information.
Early consultation and exchange
of views with interested or
affected persons or organiza-
tions. (Advisory groups, etc.)
Maintain a current list of
interested persons
Provides central public collec-
tion or depository of reports'
and data. Copying facilities
at reasonable cost.
Provision for annual report of
public participation provisions
and activities , including
activity, public response, and
disposition of significant
points raised.
40 C.F.R. 105.6. Administrator
or Regional Administrator re--
views and evaluates.
Where requested, "-"additional
• information submitted". If
inadequate opportunity, re-
quired additional measures
taken .
40 C.F.R. 105.7. Final actions
benefit from and reflect consid-
eration of public hearing.
Agencies hold meetings on
significant matters. -
Public hearing held if official
finds "significant public
interest" (including requests).
Hearing notice to interested or
affected persons, detailed fact
sheets.
i
i
4
-
f
-------
Law," Regulations or Guidelines
Yes No
Discussion
Location and time ease travel
hardship
Reports , documents and data to
be discussed at hearing shall
be available for a reasonable
time prior to hearing.
Schedule witnesses when
necessary.
No inhibition of free expres-
sion.
12.1. Identify affected public
interests and maintain involve-
ment.
Informed public developed so
that participate in meaningful
way to intelligent decisions.
Citizens help in defining com-
munity goals and problems, de-
lineate types of solutions,
formulate alternative solutions,
assist in defining impact assess-
ment of each alternative.
Facilitate identification of
public preferences of each
alternative.
Detailed public involvement
program assembled after area
designation.
Details specific mechanism at
each step in -planning process.
Process structured so that de-
pends absolutely upon receiving
public inputs.
Adjust participation programs
to changing requirements.
12.3. Identify participants,
establish communication
channels, convince partici-
pants -that inputs are needed.
I
t
P
i
[
-------
— 4 —
( Law, Regulations or Guidelines Yes No
Discussion
Evaluate public awareness of
water quality problems.
Assess relative importance of
water quality and other goals.
Evaluate attitudes toward
growth and role of water qulaity
management can plan in growth
control.
Assess attitudes about use of
land use controls for water
quality regulation.
Determine public attitude
toward regional plans that
might result in some loss of
local control .
Public attitude toward innova-
tive pollution control tech-
nology.
Assess acceptability of certain
impacts of a potential plan.
Evaluate community attitudes
toward institutional and
financial alternatives to imple-
ment the plan.
Get public response to prelimi-
nary impact assessment.
Public comment on acceptance of
plan to reflect community goals
and preferences.
Make local elected officials -/.,
aware of public comments and
options. (For entire program).
12.4. Use mechanisms suggested
and required in chart at
various stages of plan.
12.5. Evaluate and review
public involvement program.
i
;
1
I
-------
V
-5-
Law, Regulations or Guidelines
Yes No
Discussion
12.7. Provide clearly defined
channels of citizen influence
on decision makers.
Define responsibility for carry-
ing out public involvement..
Provide adequate funding.
Respond to all interested
citizens.
Develop a formal mechanism,
fully funded public participa-
tion working group in partner-
ship with 208 planning staff and
management agency.
-------
OUTLINE OF OPPORTUNITIES FOR CITIZEN INVOLVEMENT
UNDER SECTIONS 106, 201, 208 and 303
OF THE WATER POLLUTION CONTROL ACT(P.L. 92-500)
FINAL REPORT NO. 1
SUBMITTED BY WISCONSIN'S ENVIROIJMENTAL DECADE FUND
UNDER CONTRACT 5EO-0174A
-------
§ 208] AREA-WIDE PLANNING (soiretimes called "section 208 planning) . This is
the next higher level of sewer planning. Local governments in regions of a
state with high density and serious water pollution problems are encouraged
to join together to plan cooperatively for the entire area. Where this takes
place, municipal planning would be completely superceded. As with the first
stage of municipal planning, citizens can have an iirpact on land use and. on
choosing more effective and less costly methods of sev;age treatment during
the planning process and when hearings are held on the plan.
( ) 1. If you live in a populous area with severe water pollution problems,
write to your state pollution control agency and ask whether your region is
involved in area-wide planning. A sample letter follows:
(Insert date)
[choose appropriate state]
Dr. Richard Briceland
Illinois EPA
2200 Churchill Rd. .
Springfield, 111. 62706
Mr. Ralph Purdy
Michigan Water Res. Coim.
Stevens T. Mason Bldg.
Lansing, Mich. 48926
Dr. Ira Whitman
Ohio EPA
Box 1049
Columbus, Ohio 43216
Dear (Insert official's name):
Mr. Ralph Pickard
Indiana State Board of Health
1330 W. Michigan St.
Indianapolis, Ind. 42606
Mr.' Grant Merritt
Minneso'ta Pollution Control Agency
717 Delaware St., S.E.
Minneapolis, Minn. 55440
Mr. Thomas Frangos
Wis. Dept. of Natural Resources
Box 450
Madison, Wis. 53701
We are interested in area-wide planning under section 208 of the
Water Pollution Control Act amendments, PL 92-500, for the
(insert name of region) region.
Please inform us of the following:
1. Has the Governor identified our region as one eligible for
area-wide planning?
2. If our area has been so identified has the Governor
designated an agency to prepare the area-wide plan or is application
of an agency for designation pending?
3. If an agency has been so designated or is applying for
designation, what is the none and address of the agency and the
narre of the chief official of the agency?
4. If an agency has been so designated, has the EPA approved
the designation?
-------
Thank you for your attention in this matter.
Sincerely,
cc: Mr. Harlan Hirt, chief
Planning Branch
EPA Region V
230 South Dearborn St.
Chicago, 111. 60604
( ) 2. If you reside in a region identified as eligible for area-wide
planning, but the Governor has not designated an agency to do the planning
and has not actually said he will not designate such an agency, then meet
with concerned local officials and urge them to form a planning agency
themselves. This is permitted by section 208 (a)(4), and the eligibility of
these agencies for federal monies should encourage the officials to act.
( ) 3. If a regional agency has an application for designation pending
with the state, ask to be informed when hearings on the proposed designation
will be held and to be given a copy of their submittal in support of their
application for designation. A sample letter follows:
(Insert date)
(Insert official's name from item 1)
(Insert official's title)
(Insert name of agency)
(Insert address)
Dear (Insert official's narre) :
This is to inform you of our interest in area-wide planning for
(Insert region).
We respectfully request that you provide us with the following:
1. A copy of or opportunity to inspect the application for
designation as an area-wide waste treatment management planning
agency, as required by the EPA at 40 CFR 105.4;
2. Adequate notice of public hearings on the application
to be conducted by the state as required by the EPA at 40 CFR
105.7 and 35.1056-1.
Thank you for your attention in this regard.
Sincerely,
cc: Mr. Harlan Hirt, chief
Planning Branch
EPA Region V"
230 S. Dearborn St.
-------
( ) 4. If the application does not include provision for meaningful
public participation in the planning process, attend the hearing that will be
held on the application with a written statement insisting that such provision
be made. Under its rules, the EPA is not supposed to approve any application
that does not include public input (40 CFR 35.1054-1 (d) and (e) (9)). This
can take two forms: participation in actually drafting the plan or participation
on an Mvisory Corrmittee which reviews a plan after it is writtejru The former
is to be greatly preferred.
( ) 5. Follow steps 4 and 5 under "Municipal Planning" in the development
of the area-wide plan.
-------
LEGISLATIVE ASSEMBLY
9 June 1975
FOR THE READER:
This short paper was written with a view towards
setting out basic ideas without much detailed
elaboration.
It was written at the tail-end of a legislative
session when time was at a premium, so that apologies
must be tendered on matters of style and organization.
It will be my intention to expand upon the points
raised, at the delivery of this paper.
Lloyd Axworthy
Member of Legislative Assembly
-------
NOTES FOR AN ADDRESS: PUBLIC PARTICIPATION WORKSHOP
Part 1 - Reflections on the Garrison Diversion
The Garrison Diversion project is a major irrigation
and water control program presently being constructed In the
State of North Dakota. Over the past two years strong evidence
has emerged which suggests that the Garrison project will
produce serious environmental damage to the river and lake
systems of the Province of Manitoba. The Canadian and Manitoba
governments have been pressing their American counterparts for
assurances that damage would not occur and there has been a
long-playing minuet of diplomatic dealings. Thus far the matter
is unresolved and has now been referred to the International Joint
Commission for examination and eventual recommendation on what
should be done. -.--•-.
This particular example of a boundary water dispute is used
to introduce this paper for two reasons. First, as a member of
the Manitoba Legislature it is an issue of prime importance to
me and I would be remiss not to make my concerns known to others
who have an interest in environmental matters.
-•-••• Secondly, it is a way of introducing the issue of citizen
participation in environmental decision-making, particularly
decision-making which has an international dimension. So often,
discussion on citizen involvement is dealt with in disembodied
theoretical terms. The Garrison case provides a number of direct
-------
illustrations of the points that would otherwise be made in
a more round about fashion.
Before drawing the argument, however, it is necessary to
note that this is not the most propitious time to be making
the case for citizen involvement, nor for that matter, improved
environmental protection. Times have changed from the heady
days of the late sixties and early seventies when political
i
reform was fashionable, environmental causes popular and a
spirit of change acceptable. We are now in a period of
retrenchment. Prices, jobs, and insecurity over energy are
high on the political agenda and there's little public patience
with efforts on behalf of environmental defence which might
impair or obstruct projects of economic significance.
Fortunately, there is a legacy from the earlier environmental
battles which demonstrates the real worth of public involvement.
There now exists a number of environmental advocates who increas-
ingly can present hard facts and information. And, there are in
f
many new jurisdictions new legal and institutional mech nisms,
such as environmental impact studies and environmental agencies
that can be used to communicate and give force to environmental
p rob I ems.
This is certainly the case in the Garrison Diversion problem.
In the past, the Columbia River project being a prime example
there was little if any representation of the public interest
-------
other than through government agencies, and they often did
not treat kindly individual rights in environmental matters.
Decisions were made within governments and between governments
and the people lost, in the Garrison Diversion problem this
has not been the case.
On both sides of the border there have been active and
vocal environmental protection groups. They have been very
effective in bringing to public attention the dangers involved
and supplying data to the press and the legislators. This has
had a very direct influence on the proceedings, at least on the
Canadian side, as their efforts have supplied government critics
with the necessary ammunition to maintain pressure on the
provincial and federal governments. Without such a supply of
I nformation,. there might have been a tendency for the issue to '"
die or for the governments involved to weaken their vigilance.
This role of the environmental advocates has been aided by
the requirement under American Federal Law that an environmental
impact statement be publicly released. The data in that state-
ment has provided critics of the Diversion project with hard
information that otherwise would not be available to anyone but
the initiator, such as the Bureau of Reclamation, who in the past
have not been too likely to reveal shortcomings of their projects
An additional asset in the Garrison fight has been the exis-
tence of the Envi ronmenta I CcamcJJ—o4—Moni tcb-e-y—e^laJLl i shed in
the Province of Manitoba in 1972. This council has been a useful
-------
forum wherin the pros and cons of the Diversion project have
been openly aired in Manitoba. The Council has also produced
an excellent report on Garrison, when the Provincial Government
u
failed in its responsibility to study the impact p'n Canada.
It can be seen then, that the network of environmental
spokesmen, statutory requirements that information be supplied
and forums where the issue could be aired have served a useful
role In this particular issue. If these different ingredients
of public involvement had not been in existence then it is
unlikely that there would have been nearly as much public
attention focused on the issue, not anywhere near the kind of
legislative pressure on government, nor the activism of the two
levels of Canadian government in pursuing the case. If past
evidence of boundary disputes are any criteria, the issue might
have already been settled behind closed doors to the disadvantage
of the many Manitoba communities that derive sustenance from the
Souris River to Lake Winnipeg.
This does not mean that the process of public involvement
on this issue has been totally satisfactory or complete, only
that it has had an influence. Certainly many of the demands of
the citizen groups have not been heeded, nor is there a parti-
cularly receptive attitude on the part of the governments of
North Dakota or Manitoba to their activities. There is no public
funding for the support of environmental advocate groups, nor
any apparent willingness to sit down to listen to grievances or
concerns. The role of the public activists has been as
-------
adversaries and publicists, generating opposition to the plan
and questioning the handling of the matter by government
officials.
The task of these groups is further complicated and handi-
capped because of the international character of the proceedings.
To begin with, a major portion of those adversely affected by
the project are on the Canadian side. Representations of their
concern and public pressure on their behalf carry little weight
in North Dakota or Washington for that matter. In fact, the
Chairman of the Manitoba Environmental Council after a trip into
North Dakota reported that most people in that state were of the
opinion that Canadians were for the project. Obviously, the -
separation of communication systems and political systems obviate
much of the trans-boundary effectiveness of public interest
group pressure.
There has been a high degree of co-operation between
environmental groups in the two jurisdictions, and the American
group opposed to Garrison have received attention in Canadian media.
But, it is fair to say that in general the undefended border
between the two countries still acts as an invisible barrier to the
flow of communication and information about respective public
concerns, a fact noted recently by Canada's Environment Minister,
Jeanne Sauve, who suggested the need for American public opinion
to be aroused if Canada is to be protected against serious damage
by the Garrison project.
-------
Furthermore, the different system of Institutional recourse
presents obstacles to public action. The use of the courts as
a means of taking action against the project is fraught with more
difficulty than if the issue were in one country. It would
certainly be more acceptable for a bordering state to take
judicial action in the U.S. Federal Court than a bordering pro-
vince. The Government of Manitoba has indeed refused to consider
taking legal action on the grounds that this would interfere with
the diplomatic efforts going on. There is some reason to suggest
that a private Canadian Citizen may be able to take legal action
In American Federal Courts, and some environmental groups in
Manitoba have been discussing the strategy. It is an expensive
1 procedure, however, and without government backing not likely
to happen.
The same unwillingness by Canadian authorities to countenance
citizen involvement is seen In their attitude towards public
representations to the International Joint Commission. Under the
procedures of the Commission, public hearings are to be held and
r
be open to interested parties. This is not much of an open
invitation if the meetings are held at a location distant from
the aggrieved area, and if there is no support given to aid
private groups who wish to attend.
When asked in Legislature whether they would assist munici-
I • pallties in the Souris Basin or environmental groups in the province
1 to make their case at J.J.C., the Provincial Cabinet Minister
-------
Responsible for the Environment didn't even know that this
was possible, and upon learning that there was provision for
public hearings refused any aid on the grounds that this was
an Issue between governments, and any public concern would be
'voiced by government on behalf of the electorate.
This opinion of the Manitoba Minister effectively states
the problem of public involvement in environmental cases of an
international flavour. First is the attitude still held by many
in public life that the conventional mechanisms of representative
government are sufficient in insuring that the citizen will have
a voice in decisions. While representative machinery is necessary
and can often perform the function of registering people's concerns,
it has its failings. The size of the administrative side of
government is so large that elected members cannot keep all parts
under surveillance. There is often a monopoly of information held
by government agencies and they will act to protect their own
vested interests. Yet, the feeling persists that as long as we
have elections and representative chambers, the pub I Ic i nterest
is fulIy defended.
^——' '
This feeling is compounded when an environmental matter goes
beyond domestic jurisdiction, for the international sphere has
always been considered the domain of governmental actors only
(with the exception of the Nuremburg War Trials, cases of commer-
cial law and some provisions in the E.E.C., the individual is not
considered to have legal standing Internationally). Thus, any
-------
8
effort to improve the opportunity of citizen involvement in
matters such as Garrison have double the trouble that" such
efforts have in the respective domestic juristictions.
Part 2 - The Case for Involvement^
There is a popular assumption that citizen participation
is a modern form of the Children's Crusade with mass numbers of
idealistic individuals marching off to do battle with the heathen.
The reality is that most citizens are not involved unless a
specific issue directly and vitally affects them. There may be
a passive approbation by many citizens that environmental protection
is a good thing, but they will only become involved themselves
if the water from their tap changes colour (speaking figuratively).
Many will also get upset if the activities of environmental
protection agencies means that they have more mosquitoes to swat,
and they get downright mean if it means closing a polluting industry,
particularly those who deal in slow death such as by heavy metal
poisoning. People respond best to the quick and the spectacular.
With' that fact in mind, dees citizen involvement have a role
to play in today's decision-making and why? The above account of
Garrison provides one answer. The activism of certain private
citizens can provide an essential antidote to the all too prevalent
tendency of government to make wrong decisions because the advice
they use is wrong, because there are a few vested interests whether
public or private who are calling the plays or because government
-------
decisions proceed on the inertia of what has gone on before.
On the other hand, there is no magic to the influence of
citizen inspired environmental advocacy. It is a tough demanding
business with a maximum of frustration and abuse, and too often
a minimum of reward.
But its role is essential. Without the involvement of a
citizen movement on behalf of the environment many issues will
be ignored; many issues will receive only one side of an argument
and there wilt be a limited force behind efforts at maintaining
the principle of a loyal opposition in today's society. As one
j
who is involved in the legislative arena, the citizen advocates
i
working in our jurisdiction have added a qualitatively different
dimension to the political process by supplying both awareness,
information and emphasis to environmental matters. Without them',
politicians interested in environmental concerns would be highly
circumscribed in being able to promote new legislation or oppo-
sing government on their environmental sins of omission or commission.
This role of gadfly in the political process is a far cry from
the far-reaching expectations that heralded the coming of oartici- ^
patory democracy in the 1960's. Then there was going to be a new
system, where a modern version of direct democracy would flourish,
and citizens would share in the power of decision-making. Instead
the environmental citizen movement, made up of an amalgam of
interested citizens, public interest advocates, new special
interest groups, research centers and the odd officially sanctioned
-------
10
advisory group, have formed into a semi-permanent coalition
to sting governments into action or prevent It from taking the
wrong action. They must work through and with the political
process and suffer all the frustration that goes with that process.
If one asks if this is important, then the answer is an
obvious yes. Without this involvement many individual rights and
concerns would be ignored for lack of spokesmen. Individual
citizens would suffer flooding, poison air, contaminated water,
overbuilt neighbourhoods and overused transportation corridors,
because there was nobody to bring these issues to light and pursue
them in the proper legislative, administrative and judicial levels.
t
As a society we would not be nearly as conscious of issues
of environmental quality nor have made as much progress as we now
have in gaining new or better laws. The fact that our Premier
continually mutters about "environmentalists" who get in the way
of hydro projects, or the Garrison diversion, is tribute to their
effectiveness in sending the message to politicians.
This importance of the public advocate role is heightened in
matters that come under international jurisdiction because such
matters are normally even more remote from public pressure and
influence. Thus, the dominance of "expert" advice, and political
expediency is even more pronounced in environmental decisions arrived
at internat'iona I ly between governments or through international forums
that deal with such matters. Recourse for the individual through
the domestic political system or the courts is more difficult,
-------
11
and therefore the "glare" of public awareness that can only
arise through the involvement of private citizen groups has
particular validity on matters that transcend borders.
A second question that is often asked \s who should be
involved. This question is often used as an effective dodge by
decision-makers who seek to de-limit the orbit of involvement,
using criteria such as those only directly affected by a damage
or groups only recognized by governmental agencies as being legiti-
mate spokesmen for an aggrieved group of citizens. This is done
simply as a means of excluding those "troublesome" advocate groups
who will busybody their way into issues. The real truth of the
matter of course is that it is only such busybody groups that
have the necessary technical knowledge and skills at representation
to effectively make the case. The notion of class action in such
cases should be solidly entrenched in court hearings and in hearings
at quasi-judicial or administrative tribunals. Any effort to limit
Involvement to only aggrieved parties will immediately eviscerate
the chief function of private representation which is to provide
alternative courses of action and reveal information that has not
been supplied through official sources.
The main brunt of environmental activism comes from a network
of groups that have become dedicated to environmental protection and
which usual.ly rely upon public funding for their efforts. There are
a limited number of. university-based research centers that supply
necessary research data. There is an odd assortment of public
-------
12
interest groups such as Pollution Probe In 'our own province
which are not greatly funded but have subsisted on various grants
coming from Federal Government / community employment and summer
employment schemes.
The main fact comes down to the ability of the environmental
advocates who are the main thrust of citizen involvement to
command public funding through government and less frequently
through foundations or private donation. The paradox is that
resources come from the agencies which are most likely to bear the
brunt of attack and opposition.
In earlier years such funding was forthcoming. First because
t
there was a public climate favourable to support of such activities
and government officials wanted to be on the side of the angels.
And, secondly, because in the early stages such groups weren't
much of a bother.
Now, however, conditions have changed. Governments are under
pressure to cut spending, and the first victims are groups engaged
In advocacy work. Secondly, funding has a funny way of becoming
limited just as such groups become effective. A good case in
point was the Canadian Government's funding of ihe Canadian Arctic
Resources Committee that was involved in matters of northern environ-
ment. They were supported up untiI the time that they become the
chief protagonists to the government-industry sponsored Mackenzie
i
Valley Pipeline. Now their support has been cut off.
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13
The vital point is that an effective source of alternative
opinion, dealing In a highly technical field of environment is
going to cost money, mainly public money, and that immediately
sets up an inherent contradiction because no government official,
elected of otherwise can be expected to look kindly on payingthe
bills for the opposition. Until this problem is resolved the
future of effective citizen involvement is not bright. Perhaps
the only way ultimately is through public endorsement of an
independent environmental defence fund that would provide support
to effective groups and organizations, working similar to the
Canada Council operation in the field of the Arts.
c
More is required, however, than funding. There must also be
specific statutory and institutional mechanisms designed to ensure
citizen involvement. The most important of these pertains to the
disclosure of information. Government files and data banks are
generally closed to public use. With the exception of the
environmental impact statements required under American federal
law, most jurisdictions can pick and choose what they want to tell
about costs, and results of projects or activities that heve an
environmental impact. Yet without the information and data that
Is contained in government sponsored studies and reports, the
ability of citizens to respond is limited. Thus, disclosure re-
quirements are essential.
As well, governments have in many instances introduced
requirements that their agencies hold public hearings on environmental
-------
14
matters and there have been some attempts to form citizen
advisory councils and other forums where citizens can have a
voice. The results of such institutional forums are mixed.
Some are treated seriously and given proper support in the way
of staff assistance and resources. Most are ignored and treated
as irrelevant appendages. Very infrequently do they have a real
significance on decision-making.
Yet it is important that there be specified forums which
offer the opportunity for an expression of alternative views.
>.
In developing strategies for participation in the international
arena, the establishment of formal institutional organizations
designed to hear and involve citizens would provide legitimate
vehicles for bi-national exchange of information on common
problems and providing a major source of representations to
tribunals considering cross-boundary disputes. For example,
the establishment of a Citizen Advisory Council on Environmental
Boundary Disputes, associated with the I.J.C. and connected with
research and public interest centers in both countries might
serve a very useful function in providing a vehicle through
wh.Ich private citizen involvement might be channeled.
It is interesting to note that in the recent series of U' N.
conferences on Environment, Population, Food and the forthcoming
one on Human Settlements, there has emerged an active group of
so-called Non-Government Organizations which attend the conference
and meet simultaneously with the official sessions. Often, the
-------
15
real debate at such conferences occurs In the N.G.O. meetings,
and they have certainly been the source of many of the serious
Issues posed at such meetings. It demonstrates that there is
emerging to some degree an international network of private
activist groups and that they are insisting upon being heard
in the formerly restricted world of diplomacy.
In specifics then, it would seem that if the International
Joint Commission is to treat the issue of citizen involvement
seriously then it must make one basic assumption and then follow
up with a series of specific actions.
First, it must be clear that the l.J.C. cannot effectively
decide upon or recommend upon ideas referred to it unless there
is a clear and direct expression from private citizens who are
aggrieved or interested in the issue.
This expression will not be received simply by providing
procedures for public hearings. In addition, written into the
procedures whould be the right of the l.J.C. to request the two
governments involved to supply assistance to the citizen or non-
governmental groups to enable them to make their voice heard.
This involves support for investigation, research, travel and
counsel.
In addition there should be the right to insist that governments
disclose pertinent information in their possession to such groups
and do so in ample time for perusal and examination.
The Commission might even go further and seek to set up a more
-------
16
permanent forum or advisory group which would involve citizen's
organizations from both countries and allow it to raise issues,
comment on matters referred to the Commission and to solicit
and support the representation of aggrieved or interested parties.
Obviously, the member governments of the I.J.C. will not
greet such proposals with open arms. But If this meeting can
conclude that such steps are required and then work to convince
some politicians in both countries that these are wise and useful
steps then there may be some chance of success.
The winds and the waters do not respect lines of boundary
drawn on a map, and the I.J.C. was the early twentieth century
response to this fact. Public opinion on environmental matters
likewise sweep across the boundaries and the late twentieth
century response should be to create this citizen advisory council
to the International Joint Commission.
-------
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I'm pleased that you are able to attend our "Making Citizen
Participation Work" Seminar.
This workbook contains two articles and other resource mater-
ials which wil] serve as a summary of the material covered in
the seminar.
At the back of the workbook is an Evaluation Form which I ask
that you complete at the end of the dayc This will provide
us with the information we need to improve these sessions.
Also at the back of the book is a brief description of SYNERGY
Consultation Services and its activities. If you wish further
information there is space to indicate your interest on the
Information Request Form.
I look forward to spending the day with you.
James L0 Creighton
-------
A MGDEL FOR PUBLIC INVOLVEMENT IN THE
Stage
Major Public Involvement Tasks
Breadth or Scopa of In.. .
I. STUDY INITIATION
1. Identify probable publics.
2. Assess level of public interest in Issua,
3. Design a work plan of P.I. activities coordinated
with each step of the planning process.
a. Establish soics total goals /results you want
from the P.I. activities.
b. Review appropriate rceans of evaluating or
measuring the success of your P.I. Plan.
Likely limited to key indiv-
iduals or leaders of identi-
fiable ("target") groups.
Desireable to get sores accep-
tance from critical groups on
overall P.I. Plan.
DATA COLLECTION
1. Identify public needs, desires,
and values.
2. Gather information from the
publics concerning the resources.
Need to provide broad public opportunities to
express needs, desires, and values.
Make sure these opportunities provide access
for non-organized groups and/or individual
citizens to identify their problems.
DEVELOP ALTERNATIVES
1. Develop alternatives portraying the range of
interests and values identified by the publics.
2. State (in lay language) ths social, economic,
ard environmental implications of each alter-
native (free of values judgements).
Likely limited to key indiv-
iduals or leaders of identi-
fiable interest groups in
order to provide the continui"
of information needed to par-
ticipate in tha development o:
alternatives.
PRESENT ALTERNATIVES
1. Obtain public reaction to the
alternatives. Typically, this
stage will result in a narrowing
of the alternatives being pre-
sented and provide more infor-
mation on "Trade-Off" items.
The broadest possible range of techniques
should be used at this stage.
This is the ideal tims for such general in-
volvement: the publics have specific plans to
react to, but the agency is not committed to
any particular plan.
CONSENSUS SHAPING
1. Obtain a consensus on the major characteristics
of the plan to be recommended by the agency. (This pay
require another round of stages III and IV.)
This is a negotiating stage
and hence usually limited to
key individuals, leaders of
interest groups, and others
who have been active through-
out the P.I. process.
PRESENT RECOMMENDATIONS
1. Present the agency's recom-
mended plan to the public for
final review.
2. Review public comments and
make final modifications as
needed. (Late, but important,objections may
require recycling from stage in.)
This is first time the agency is in the advo
cacy position. Therefore, this stage usually
cojobines a number of informational techniques
along with activities allowing for public
reaction.
Step 2 is accomplished by
the on-going key leader/
individuals group.
PRESENT FINAL PLAN
1. Inform publics about the
final plan based on the review of
responses to the recommended plan.
2. Inform public of implemen-
tation plan.
Strong use of msdia and other techniques to cc
nunicate information to broad segments of public
Also other techniques of a more personal natur
to inform those who were actively involved durin
some stage of your planning process.
-------
THE USE OF VALUES: PUBLIC PARTICIPATION
IN THE PLANNING PROCESS
James L. Creighton
SYNERGY Consultation Services
Not too many months ago a planner in a large governmental agency discarded
about 150 letters from the public on a controversial issue because they
were no help to him -- they contained no facts, no specific proposals --
all they contained were feelings.
Like many other planners, this planner has been faced with a dilemma:
While law and agency policies have required him to seek out greater public
participation in the planning process, he is ill-equipped to know what to
do with the information once he has gotten it. Typically the materials he
receives from the broader public appear to him to be "over-emotional", "ill-
informed", and "not dealing with realities". But at the same time, any
public participation program which puts all the emphasis on well documented,
carefully prepared, scientific presentations from the public will build in
a bias for only the well-funded interest groups. The planner is trapped
between his professional training -- which typically equips him to deal
with scientific fact, demonstrable propositions, and economic feasibilities,
but not with feelings -- and the democratic philosophy which stresses that
all the people should be involved in the decision-making, not just the
special interests.
After five years as a Consultant and Trainer in citizen participation to
almost all the federal agencies involved in it, as well as a number of state
and local agencies; I have arrived at the conclusion that in the early stages
of planning the previously avoided and disgarded feelings and emotional
expressions are a critical and valuable resource and go straight to the reason
citizen participation is necessary. Feelings and emotions are indicators of
values; and differences in values are what citizen participation is all about.
This paper details the thinking which led to these conclusions, as well as a
practical method by which planners can use values in the development of
planning alternatives.
Making "Political" Decisions
Most planners argue that they do not make political decisions. They mean
they do not make decisions which would, or should, be made by the political
process (through elected officials or a legislative body). But a careful
examination of the difference between a decision the planner makes and a
decision trade through the political process indicates that the only difference
is the "stake" involved — the importance of this decision in terms of the
benefits and costs distributed to different segments of the public. Every
planner has had the experience of making a decision he considered to be "pro-
fessional" only to find it made "political" by someone's intense reaction to
the decision. A decision is political by its nature if it distributes bene-
fits and costs to different segments of the public -- regardless of whether
or not it is made through the political process.1
-------
By this definition purely professional decisions tend to be limited to
assessments of resource capability or determinations of technical feasi-
bility. It is a professional decision as to what level of pollutants is
now in a river, or what percentage of the pollutants a particular method
will remove; it is a political question (backed by the professional infor-
mation) to determine how much pollution will be tolerated.
A Broader Definition of Benefits and Costs'
The term "benefits and costs" immediately conjures up images of economic
standards of measurement. Certainly many decisions made by planners
bestow economic benefits and costs, e.g. the allowable density of a pro-
posed development.
But most planners have expanded their definition of benefits and costs to
include conflicting uses.' A planner can make a decision which benefits
hikers and cross-country skiers while assessing a cost in loss of land
which can be used by snowmobilers.
But I wish to add still a third dimension to the definition of benefits
and costs -- the dimension of values. By values I mean those internal
standards by which we judyc events or behavior to be good/bad, right/wrong,
fair/unfair, just/unjust.2 They are the normative standards by which we
judge the way things "ought" to be. When a planner makes a decision to
allow a timber cut in an isolated backcountry part of Alaska he may hear
outraged cries from apartment dwellers in New York City, based not on any
direct economic gain or even any realistic'expectation that they will ever
visit the land in question — but based on the fact that the planner's
decision is distributing a benefit or cost on the way they believe the
land ought to be managed. The benefit or cost is solely in the values
dimension.
3
Values choices are essentially choices between two positive goods. For
example, if the issue is the use of seat belts one must find a position
which balances "comfort" with "safety". If the issue is the mandatory
use of seat belts, one must find the balance point between "individual
freedom" and "public safety". All of these values indicated are good,
desirable, positive; no one is against any of these values, the issue
is which values should prevail in this instance. The act of "valuing"
is one of finding the proper balance point between the two values in a
given situation at a particular point in time.4
A policy is a balance point selected between competing values. Competing
policies are competing judgments as to the relative importance of parti-
cular values in a particular situation.
This is illustrated below:
Positive Positive
Value Value
0
Policy Policy Policy
Fig- l A B C
-------
Each policy is .a balance point between two "goods". An individual may
oppose a policy of an agency because he considers that the policy does
not adequately recognize the importance of a "good" he supports. To the
planner this individual may appear to be an "aginner" -- an individual
who will consistently oppose anything proposed by the agency. But this
opposition is based on this individual's positive support of some value
which he believes the agency consistently does not properly value.
It is one of the characteristics of values arguments that the opponent
will usually appear "over-emotional and irrational", committed to premises
that he cannot rationally justify. The difficulty is that both^ sides --
both the planner and the various publics -- see the other asHocked into
preconceptions that no number of facts will shake. For values are a per-
ception of reality based on our own set of personal rules governing our
feelings. By virtue of unique life experiences, upbringing, training, and
personal introspection each individual develops his own set of "meanings"
for his experiences. These "meanings" -- and values are major standards
by which we evaluate events to provide meaning to them -- cause each of us
to have an individualized reality, a perception of reality which is always
to some extent unique to that individual. When we confront someone with
an individualized reality based on values which are substantially different,
then the rules by v-hich we judge reality are contradictory. We usually cope
with this threat to our definition of reality by judging to the other person
to be ill-informed or badly-motivated. When one individual views an act as
an "outstanding program to stimulate economic well-being" while another
individual views the same act as a "vicious desecration of nature's natural
order", they are operating with individualized realities with premises so
fundamentally different that these individuals appear to be emotionally
committed to unjustifiable positions.
One reason that much information from the public is viewed as over-emotional
and irrational is that it conflicts in much the same way with unconscious
values held by the planner, or the agency for which the planner works. For
underlying each agency's mandate and basic operating policies are very
definite values. For example, many natural resources agencies have "multiple
use" policies which attempt to balance the conflicting interests by providing
a number of uses from the same land. Typically this orientation is described
as "the Greatest Good for the Greatest Number". However, this orientation
predisposes agency planners to naturally seek out ways of accommodating
several uses, and avoid solutions that maximize single uses to the exclusion
of other uses. When individuals or groups advocate that land be used solely
for the one use they consider to be the "highest good", planners will tend
to consider these individuals as selfish and self-serving, inconsiderate of .
other needs and interests, and will instinctively resist such proposals.
Tho noT'i'^'i^C r**F "f ha annnr-w ^nrl •f'Ko ur> 1 i i o c TrfKav-an-f -Trv -J- hr>m -Fr\ vm ^ K-s v*v»n o v»
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of resistance to the proposals of individuals whose values differ from those
of the agency.
Yet it is my conviction that the environmental battles of the present are
primarily on the values dimension. While the battles of the past may have
been among those most immediately affected and concerned about economics
and use, the battles of the present are a struggle among competing funda-
mental values about how the land should be used and the life-styles asso-
ciated with that use. The demands for citizen participation in the plan-
-3-
-------
ning process are demands that agencies be accountable to a broader range
of alternative values.
—-——
Accountability for Political Decisions
It is the essence of a democracy that there be accountability back to the
public for decisions made by the government. If a school superintendent
makes a decision about busing of school children there are immediate
demands that the school board make the final "decision; the logic being
that the school board can be held accountable to public sentiment at the
next election. A central theme in our philosophy is that governments can
rule only with the consent of the governed.
Yet the national malaise is the fear that no one is able to make the system
responsive; that increasingly there is no way to hold the governmant account-
able. The reasons are multiple: the vastly increased size of the bureau-
cracy, the increased technical complexity of the decisions, the specializa-
tion of disciplines and agencies involved in decisions. There ar'; many
other explanations given as well, but whatever the reason the citizen still
feels uncertain of his ability to exercise any control over "his" govern-
ment.
To illustrate this problem, let's explore the chain of accountability for
a federal policy or project (Fig. 2):
T
REPRESENTATIVES
EXECUTIVE
3
1
i
Othsr Influences'
Courts, State,
Local Gov'ts.etc.
-Citizen—&
Participation
V
DECISION
MAKER
Fig. 2
First the public selects representatives. Already some degree of account-
ability is lost because they cannot select these representatives on one
issue alone. They must buy them "as a package" with the possibility of
stands on one issue cancelling out stands on another. Issue-by-issue
accountability is already diminished.
-------
The public also selects the President, the Executive. But it is a differ-
ent public -- a national public — than the local or state publics which
elect the representatives. The result is that each may be accountable to
a different version of public need.
Out of the interaction between these conflicting definitions of public
need comes the legislation which defines "policy" for the agency. But_
these policies are in turn modified as they are interpreted by the various
layers of bureaucracy who are in turn impacted by the courts, other agencies,
state and local governments.
The result is that by the time we reach our planner the chain of account-
ability is very long and tenuous indeed. Typically there is a time lag
of several years or more before a shift in public sentiment is reflected
in policies which are recognized and followed down at the level of the
individual planner. And even when these changes occur there is little
possibility of issue-by-issue accountability: the giant bureaucratic
/heels turn too slowly for decisions already "in the pipeline" to be
-adapted to the change in policy.
Vet somehow the system usually works. Many of the natural resource and
.levelopment agencies went on for years being the "good guys" among the
governmental agencies. It is only recently they have been portrayed as
the "bad guy". What made the difference?
JjTeJ^l_tijT_q_Cpnsen_sus and the New Battleground
It is my belief that the long chain of accountability still worked as long
as there was a framework created by a consensus of values within our society
about the proper use of the land. So long as decisions did not stray too
far from the great middle of this consensus there was little demand for
accountability -- only those groups most directly affected by economics or
use needed to contest the issues.
One way to conceptualize this consensus is as a normal bell-shaped curve
with the great consensus in the middle and an overwhelming majority occupy-
ing a relatively homogenous values position.
o o
Fig. 3
-------
s •
Since the issue is "the proper use of the land" -- and bearing in mind that
valuing is an act of selectin a balance point between two positive goods --
the polar extremes can be stated as follows:
ECONOMIC DEVELOPMENT -- Optimal development of the land "to meet
man's material needs.
, »
ENVIRONMENTAL QUALITY — Optimal maintenance of the total eco-system.
Continuing our image of the consensus as a bell-shaped curve, we can place
the bell-shaped curve on this scale of values with Economic Development at
one end and Preservation at the other. (Fig. 4).
o-
Economic
Development
-O
Normal
Range of
Negotiation
Environmental
Quality
Agency
Policies
Fig. 4
Since the agencies v/hose policies affect land use (with the exception of the
Environmental Protection Agency) were established during the period when this
consensus existed, they operate within organizational mandates and philoso-
phies which reflect this consensus.
The Environmentalist Movement which began in the mid-'60s was, in my opinion,
a function of the breakdov/n of this consensus. Instead of an homogenous
cluster towards the center,the consensus broke down and began to spread over
a broader range of values. Graphically the result would look more like a
melted eskimo pie than a normal bell shaped curve (Fig. 5).
-6-
-------
o—
Economic
Development
Fig. 5
Environmental
QuaJity
The effect of this was to leave agency mandates and policies stranded with-
out a consensus. Political strength v/as distributed across a broader range
of values. New groups emerged who saw the agencies as adversaries -- and
from their values position, rightly so, because the agencies now spoke
on behalf of one segment of the public (occupying the values position on
which formerly there was a consensus) rather than a consensus of the public
at large. The agencies were "adversaries" because they could wield vast
aJministrative and economic powers on behalf of those values embedded in
ejency mandates and policies. Finally, because power was distributed,
strong new political forces emerged to challenge the groups and agencies
vhich represented the old consensus. 'Each issue became a desperate battle
for political superiority. Groups began to demand issue-by-issue account-
ability because each issue became a testing ground of political strength.
o-
-o
\
I
' ' \ ' .
.' . .-"- t . I
/
/ v
-7* — V
Q-
-O
Economic
Development
Fig. 6.
Public
A
Public
B
Public
C
Environmen
Quality
-------
Providing Issue-by- Issue Accou ntability: Public
But the line of accountability was far too drawn out and tenuous to provide
issue-by-issue accountability. To survive, the system had to find an adap-
tive mechanism to provide this accountability in the short-term while buying
time until either a new consensus would form (one of the groups would esta-
blish clear political dominance), or the land use agencies' would learn ways
of responding to the greater divergence of values. The adaptive mechanism
was public participation.
Returning to our earlier diagram of the line of accountability: By con-
structing a link directly across the chasm between the public and the planner
through public participation, the system could provide issue-by-issue account-
ability while still maintaining a representative form of government.
The planner himself would be the direct recipient of the thoughts and feel-
ings of groups which normally did not have access to decision-making within
the agencies.
The Use of Values
Now back to our tragedy of the discarded letters (referred to at the begin-
ning of this article). These letters were discarded because they contained
no specific proposals, only feelings and general philosophical statements
about the way the land should be managed. In effect they were discarded
because they only contained values data. But if the purpose of public
participation is to ensure consideration of the total range of values held
by the public, then information about values held by the pjjblic was the
most important information this planner could receive. His failure was to
consider unimportant the information which would be most helpful in ensuring
that public participation would do the job it was designed to do.
But the fact remains that even if he had appreciated the importance of the
letters, he probably would not have known what to do with the information
in them anyway. Few, if any, tools have been provided to the planner to
assist him in utilizing the emotional, subjective and "irrational" world
of values.
Having confronted this problem with numerous clients, I have been develop-
ing a technique for analyzing contributions from the public for underlying
values and using these values specifically as the basis for developing the
alternatives to be displayed for the public as part of the public partici-
pation process.
Identifying Values
Typically values -are implied in people's speech or behavior rather than
explicitly stated. While they play a strong role in shaping our lives, when
they are stated explicitly they sound vaguely like "motherhood" or "apple pie"
and are difficult to defend except as an act of faith. (For example, the
writer of the Declaration of Independence fell back on the phrase "we hold
these truths to be r>clf-evident" to justify values as fundamental as Life,
Liberty and the Purr.uit of Happiness.)
-------
Because values are rarely stated explicitly, we have found it necessary to
train planners to ijJimliJbLllJJPjLi^j values. The first part of this training
involves teaching specificconTnuTncations skills designed to acknowledge both
content and feelings. We have found that a greater comfort with feelings is
generally necessary for effective public participation and is especially
important in learning to identify values. Until there is a value placed on
the emotional component of communication there is little sensitivity to the
fund of information from the public that communicates values.
To get planners started in identifying values, we first suggest they pay
attention 'to three strategems used to communicate values:
1) Use of Values-Laden Language - This includes terms such as "raping
the land", "locking up the land", "bureaucratic juggernaut", etc.
Some of my favorite examples of values-laden language comes from
within the agencies. The Forest Service refers to certain stands
of timber as "overmature, decadent timber" because the trees have
ceased to grow as rapidly as they did when they were young. The
same tn.es, if located near a highway right-of-way, would be viewed
by the Federal Highway Administration as "fixed hazardous objects."
The point is that the terminology reflects an orientation: the Forest
Service is viewing the trees for potential timber harvest, while the
Federal Highway Administration is viewing them as a potential safety
hazard to drivers. This orientaJ;K)n_£OjTimj^^
work within which_jthe_j^ejicjI5Inp-exating.
Naturally the different publics have their own collections of choice
values-laden terms which can serve as a guide to their values for
the planner.
2) Predicting a Dire Consequence - People will predict that an action
wTTl eliminate all the jobs in a locale, or will predict that the
air won't be fit to breathe if an action is carried out. The kind
of consequence they fear will reflect their values. The man from
the Chamber of Commerce will predict a loss of jobs, while the
preservationist will predict a total disruption of the eco-system.
By implication, the consequences they select also indicate their
values.
3) Referring to a Venerable Source - People may quote the Bible, the
Constitution, the Declaration of Independence, famous Presidents or
writers as proof that their position is the only right one. The
strategy is to quote a source so venerable that people won't dare
question the individual's position for fear of appearing to attack
the venerated source. The difficulty is that sources which are
venerated by one group may appear downright disreputable to another.
The individual citing the latest Department of Commerce report on the
Gross National Product is unimpressive to the individual who would
more likely quote Henry David Thoreau. However, their selection of
venerable sources is a source of information to the planner about
their values.
-------
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5 — Advisory 2ody
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S - Valuc-i Clarification Exercises
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3
3
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2
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1 2 •
2 3
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;.
3
3
3
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2
1
1
2
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2 2 ; i
112
3
3
2
3
11 - Regional and/or Local Offices
12 - Citizen Representation on Policy Boards
3 13 - Orr.bucsr.an and Co-.r.unity Advocate
3 i ]•'. - Public Interest Ccncc-r
Group D - Xedia
1 15 - Information Par.ohlets, Brochures, and
1
2
2
1
2
3 3
i
i
!
! 1
3
1
1 3
1
1
2
3
3
i
• • Suncnary Reports
16 - Slide ar.d Kilra Presentations
17 - Tape Recorded Information Network
IS - Radio Talk Shows
19 - Press Releases and Xeu-s Letters
Group E - Cc-^.ur.ity Interaction
20 - Response to Public Inquiries
21 - Attitude Surveys - Mailed, Telephone,
and -Personal Interviews
Croup y - Le^al Mechanises
22 - Citizen Suits
23 - Environmental Ir.pact Review Statement
1 I 2 2
; 3
2
2
1
2
2
2
1
1
3
2
1
3
o
3 j 2 i
2 3 j 2 I.
2
352;
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i i
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2 i 3
:
1 . ;
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1
2
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3
j : j
3
3
3 i 3 i
3 j 3 i
Footr.otco appear on next
FIGURE IV.
CAPABILITIES OF ENVIRONMENTAL RESOURCES EDUCATION
AND PUBLIC PARTICIPATION TECHNIQUES
-------
Footnotes for Ficure IV
(1) These evaluations are based on a simple set of numbers -1,2, and 3
respectively, representing low, satisfactory, and high degrees as
noted below:
Key: "Degree of Public Contact Achieved"
1 = few people contacted
3 - a vast audience contacted
"Degree of Impact on Decision Makers"
1 = very little impact
3 = significant imoact
-o'
"Degree of User Sophistication"
1 = requires technically oriented audience
3 - audience need cot be literate
"Ease of Use and Preparation" (from agency point of view)
1 = little skill needed
3 = requires special training
%
"Ability to Respond to Varied Interests"
1 = responds to a few needs
3 = responds to many needs
"Degree of Two-Way Communication"
1 = very little
3 - high degree
(2) Assumes the ultimate decision makers are not present.
-------
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While these three guides merely serve to make planners aware of values, we
have found that these guides combined with the communications skills training
provides a sufficient introduction that soon planners are able to reliably
identify the values of one individual or groups as compared with another.
The Methodology for Developing Alternatives Based on Values^
The basic methodology for developing alternatives based on values is as
fol1ows:
1. Analyze Public Contributions for Underlying Values Issues
Using all of the guidelines indicated above, the planner analyzes all
the contributions -- whether letters, reports, comments at meetings --
to determine which values issues appear to separate the various publics.
Once the planner has isolated the major values issues he canmset up
values continuums with the opposing values at opposite ends as illu-
strated earlier. He nay also be able to identify other positions which
constitute mid-points along the continuum.
We have found that is is often possible to capture the differences between
publics with as-few as two continuums. This allows the planner to set up
a simple matrix as a way of displaying the continuums. For example, the
matrix which most frequently defines the issues in federal public works
projects is as follows:
Gov't Action/
Public Welfare
Or Safety
Limited Gov't
Controls Maintaining
Individual Freedom
And Free Enterprise
Individual Freedom/
Free Enterprise
.
individual
Freedom/
Economic
Development
1
1
1
1
1
L '
r
Limited Gov't 1
Controls/ '
I" A Ddance of
• -A- i
Op per (unities .
i
j
1
I
t
1
i
Gov't Action/
Environmental
Quality
Fig. 7
Economic
Development
A Balance of
Opportunities
Environmenta
Quality
-10-
-------
When there are more than two continuums necessary to distinguish the
publics then other display methods may have to be used. For example:
Environ-
mental
Quality
Goy't
Action
Safety
Economic
Develop
ment
Fig. 8
Individual
Freedom
The planner may then want to conduct a "trial run" on the values con-
tinuums he has selected by tentatively placing significant groups in the
position he believes they occupy on the display. If the display does not
succeed in differentiating the different groups the planner will have to
reexamine the continuums selected, as they apparently are not the-dis-
tinguishing values issues.
2. Identify Clusters of Publics
Using the actual information received from groups and individuals (so
as to avoid preconceptions as to what their positions may be), the
planner indicates the location on his display of the publics he has
identified. It will probably prove desireable to use acetate overlays
so that groups and individuals are displayed on separate sheets other than
having to decide how many individuals a group leader represents. The
resultant display will resemble a frequency distribution based on the
publics' contributions. For example (Fig. 9):
-------
Government
Individual
Clusters
Economic
Development
Environmental
Quality
Fig. 9
For the purposes of this analysis it is not necessary to have a precise
numerical tally; we are attempting only to identify significant clusters
of individuals or groups around values positions. In the graph above,
for example, there are four significant clusters, even though there are
numerical differences in size between the clusters.
3. Write Descriptions of the Values for Each Cluster
Using the numerical tally as a guide, the planner now writes a brief
description of the values that appear to be associated with each
cluster. It is these descriptive paragraphs that will be shared with
the public. It is our experience that the displays can be misunder-
stood (an individual doesn't like seeing himself as nothing more than
a mark on a chart), while the philosophical summaries are quite accept-
able. To be certain that the values of the different groups are
accurately portrayed the planner may want to share the statements he
has developed with selected groups important to each cluster to ensure
that the statements capture their positions. This also ensures a clearer
understanding of the values for which the group stands.
4. Develop an Alternative for Each Values Cluster
Using the value summaries as
recommendations of the group
the best professional job he
incorporates the values held
a guide, and where available the actual
as a "reality check", the planner now does
can of developing an alternative which best
by each values cluster. In effect, it is a
form of advocacy planning, except advocacy planning on behalf of all the
different values positions.
-12-
-------
One problem that frequently emerges is that the alternative which best
portrays a particular values position run afoul of laws, financing proce-
dures, or agency mandates. But our experience suggests that it is
extremely important that these alternatives not be excluded," but that
the limitations be identified as part of the Implications (Step 5).
The reasons for this are:
a) There is a natural tendency for agencies to limit alternatives
to those which have been acceptable within the agency in the past.
Yet the whole point of public participation is to seriously con-
sider a broader range of values.
b) Some of the constraints which the agency believe to be real can
be surmounted when the public feels strongly enough about an
issue. For example, contracts that have already been let can
be bc.ight back if enough importance is attached to doing so.
Alternatives sources of financing can be found if people feel
stronjly enough about a project.
c) People feel excluded from the process if after sharing their
thoughts and feelings no alternatives are developed which
indicate that the agency heard and understood those thoughts
and feelings.
d) If the public is never confronted with the implications of its
values - if the agency always rules out options that it con-
siders "way out" - then the public is never smarter about the
consequences of what it is proposing. Public participation
does also serve the function of public education.
5. Identify Implications of Each Alternative
The planner has "taken on" different values premises to develop the
alternatives, but now he must describe the implications of the alter-
natives in as "values-free" a manner as possible. These implications
include all the economic, social, and environmental consequences
of each alternative, but ideally these implications can be stated
with sufficient objectivity that almost everyone - regardless of
values position - can agree that the implications are accurately
stated.
To do this the planner must learn to describe implications with a
minimum of values-laden language. For example, we have learned from
experience - some of it a trifle bitter - that implications should not
be stated as "pro" or "con". An anticipated increase in population
in an area, for example, is positive to one person and negative to
another. The implication should be stated as factually as possible,
e.g. "anticipated increase in population of 5-10%."
-13-
-------
6. Evaluation of the Alternatives Through Public Participation
Once the alternatives and implications are developed (and they may have
been developed with the assistance of a task force or steering committee
made up of the various public interests) they are then shared with the
public through the whole gamut of public participation techniques
including public meetings, workshops, newspaper articles, show-me-trips,
etc.
While the great bulk of the public will rule out certain of the extremes
when faced with the implications, this narrowing-down process is not being
done for them by a paternalistic agency. As a result they feel - and
are - a genuine part of the decision-making. In addition they may devise
ways of improving the alternatives, or combining features of several
alternatives to avoid undesirable implications. By listening to public
comment carefully, the planner also acquires a great deal of information
as to which trade-offs would be acceptable, and which not.
Nothing about this technique removes the agency from its final decision-
making role; the technique simply serves to clarify the fundamental values
differences, expose them to the public along with the implications of each
alternative, and provide the decision-maker with substantial information on
how the public would negotiate the differences. Our experience is that when
this technique is used as part of a thorough and open public participation
program that the various interests will arrive at substantial areas of common
agreement.
The Validity of Values Analysis:
Since this process has been taught as a part of training programs with a
number of agencies we have had a chance to get at least a subjective response
of on-the-ground planners to this approach. Uniformly they have been enthu-
siastic about the method, feeling that it opened up entirely new material
that they had not considered, and that it provided them with an approach that
more nearly fit the emotional realities of their planning situation.
Two examples of the value of this method were presented in an advanced
training program we put on for the U.S. Forest Service in Juneau, Alaska:
The F.andenhall Glacier: For some time the planners for the Mendenhall
Glacier Recreation Area had been stymied' by the apparently overwhelming
divergence of views they had received in letters from the public.
Analyzing the letters for specific proposals they had identified over
200 alternative proposals. Naturally, there was no way to respond to
the vast majority of the proposals without turning the entire area into
wall-to-wall concrete. In addition, the Glacier area was politically
sensitive since the glacier is only 15 minutes from downtown Juneau,
capital of Alaska. The small valley in front of the glacier contains
housing for .'most of the governmental and business elite of Juneau.
-------
Using the method of values analysis described above, the planners
reviewed the letters a second time for the values communicated by the
publics. To their astonishment they found that in terms of values there
was almost complete unanimity on a minimum human impact approach to the
recreation area. In effect the letters said, "the most important thing
is to keep the area in its natural state, but it would be nice to have
nature walks (4-wheel drive trails, bicycle trails, etc., etc.)."
As a result of using the values analysis the planners felt they were now
able to proceed to develop alternatives that would be generally accept-
able to the public, incorporating only low impact developments in the
alternatives.
The South Tongass National Forest: Planners from the South Tongass
National Forest (Alaska) also participated in this" training program and
used as their material a large politically sensitive planning unit on
which they had just completed public participation and were ready to
announce a decision.
With the public input fresh in theiv minds they were able to quickly
identify four values positions around which significant publics had
clustered. But when they reviewed v.he alternatives they had developed
it became apparent that they had not developed an alternative for one
of the values positions around which some of the most politically active
groups clustered. While this was caused in large measure by an effort
to stay within pre-existing contracts with a logging firm, they could
see that this did pose a potential for court action by the groups which
could maintain that their viewpoint had not been considered. And in
fact this predicted "dire consequence" did occur. The planners now
believe that by using the values analysis approach on future projects
they will reduce the risks of significant publics feeling unrepresented
by the alternatives developed.
Areas of Further Research
While the technique appears to be extremely promising there do remain areas
which will need to be developed further in actual case studies. These include:
1) Developing further guidelines to assist planners in recognizing
and identifying values.
2) Developing techniques for identifying v.ilues which will have high
degrees of statistical reliability so that a different planner
would arrive at the same identification.
3) Development of additional methods of displaying values issues,
including more adequate ways of displayin-j problems involving more
than two continuums.
4) Identifying those public participation techniques which are most
helpful in evaluating a broad range of alternatives.
-------
Conclusion
•
If the purpose of public participation is to ensure that the full range of
values held by the public be incorporated in the planning process, not just
those values normally accepted by agencies, then it will be necessary to
learn to recognize and deal with emotional values-laden contributions of the
public, not just the factual information with which the planner is more
comfortable. By recognizing emotional contributions as a rich resource for
information about values held by the public the planner can begin to extend
understanding to values he would not ordinarily consider. The technique of
developing alternatives based on all major values positions held by the
public ensures that the planner is not an advocate for some groups, and an
adversary of others. It is also a clear communication to the public that
the agency is responsive and accountable to all the publics.
Notes:
1. This definition is adapted from a distinction of "party politics" (who
( occupies the seats of power) and "policy politics" (what happens -
decisions which grant benefits and bestow costs) by Dr. R.W. Behan,
University of Montana, from a presentation to a Tri-Forest Conference
of the U.S. Forest Service, April 27, 1972, at Boise, Idaho.
2. This definition of values is taken from Clarifying Public Controversy,
Fred M. Newmann and Donald W. Oliver; Little, Brown & Co., 1970, p. 43.
3. Newmann and Oliver, op cit, p. 44.
0 4. Statistical terminology would refer to the two polar extremes as
dimensions and the actual point in between selected by the individual
as the value. I have chosen, however, to use terms more familiar to
the general public.
5. Newmann and Oliver, op cit, p. 44.
-------
. A Strategy for Planning with Alternative Futures
James L. Creighton
SYNERGY Consultation Services
There is an old science fiction plot in which a man enters a time machine and goes back in time
millions of years. Upon stepping out of the machine into the ancient past, he accidentally
squashes a small, furry animal. When he returns to present time, he finds that the sky is
green, everybody has four eyes and three arms — he has made everything different by going into
the past and destroying the small, furry animal which was the critical link in the evolutionary
chain which would have resulted in what we call the "present."
The point in sharing this little tale is that many desirable futures are "killed" by a decision that
appears insignificant at the time but that ultimately closes off a desirable future.
This problem becomes extreme when it is difficult to predict a most probable future — when
there could be several alternatives of nearly equal probability or desirability.
Let me illustrate with an actual planning problem as a behavioral science consultant. I was
named to a team proposing to develop a master plan for a major new campus of a large state
university. The new campus was to be largely oriented towards graduage studies in the social
sciences. The ultimate enrollment would be 25,000 students. At present a small agricultural
college occupies a portion of the land and the faculty of this college would play a significant
role in the decision-making.
These are the problems we faced:
1) It was impossible to pick any one future as the single most probable future. With higher
education in the volatile state it was in at that time, it was virtually impossible to pick any single
future as the one most likely to occur. Instead we would have to construct a range of alternative
futures of nearly equal probability.
2) Decisions made now would be made within a radically different values framework than
that which would be in existence once the campus was in operation. The agricultural school
faculty tended to be conservative and traditional in their values and teaching orientations.
On the other hand, the predominant social science faculty which would soon occupy the campus
would tend to be much more liberal and experimental. Decisions which would be considered
brave by the current faculty might be considered as unbearable limitations by the future
occupants.
PLANNING TO CREATE AND PRESERVE OPTIONS
This kind of situation has led me to believe that a major function of planning must be to pre-
serve and create options rather than close them — and an implication of this is that a planning
process should identify when decisions close off futures that the decision-maker might subse-
quently wish to be able to consider.
This problem can be illustrated by another science fiction plot in which a man is drinking in a
bar. Our hero, whom we'll name Joe, leaves the bar and as he leaves it he must decide whether to
turn left down the street or right up the street. Because it is a science fiction plot he is able to
do both. Joe Left runs into an old friend who has just invented a great new product. They go
into business together, make their fortunes, and live out their years as wealthy and happy men.
1
-------
Joe Right also runs into a friend who invites him back in for another drink, beginning a binge
that plants Joe Right firmly on the path of alcoholism. However, Joe pulls out of it and becomes
a national leader in Alcoholics Anonymous, proving that talent will receive its reward.
The point is that the decision as Joe left the bar was one of those no-turning-back decisions
after which everything is different. The trick is to know that you are reaching one of these
decisions.
One method is to use voodoo. The voodoo advocates call these critical junctions "cusps" and
have elaborate rituals — involving readings of the entrails of chickens — to assist in predicting
when a cusp has been reached and what path to take. Now we are all too rational for voodoo, so
we hire planners. But we can reasonably expect at least as much from a planner as from the
entrails of a chicken, namely some guidance as to when we can reach decision points beyond
which our whole history will fundamentally change.
But the difficulty is that most planning loses track of the critical assumptions. If alternatives
were considered, they are usually lost from sight once "the plan" is agreed upon. Or, they go
unnoticed as obscure technical assumptions.
To illustrate: A governmental client was planning for future water needs in a region. A bitter
battle raged in the planning team whether the amount to be needed would be four billion or five
billion acre feet of water. But hidden deep in a 500 page report was an assumption that agricul-
tural yields would continue to improve at the same rate as they had in the past, during the
period of the introduction of nitrogen fertilizers, substantially increased irrigation, etc. But if
this assumption was not correct — and there was considerable evidence that it was at least ques-
tionable — the estimate could have to be raised to as much as 25 billion acre feet of water. But
worse yet, nothing about the planning process was going to provide the decision-maker with any
information to evaluate whatever the technical assumption was in fact bearing out. The need is
for the planning system to maintain visibility for the assumptions and provide a methodology
for conscious review of their continuing appropriateness.
The need for this method of review is greatly increased with most public planning since the time
scale from conception to completion of most public works projects now runs close to 25 years.
This raises considerable dilemmas for agencies now attempting to incorporate citizen partici-
pation in the planning process. With the average American moving once every four years and
with major shifts in values from one generation to the next, the planner is quite literally dealing
with a different public now than he will as the planning nears completion. While most agencies
badly need to consult the public as part of the decision-making process, the consultation be-
comes meaningless unless the planning process provides a systematic method by which
fundamental premises may be subjected to review. A planning process which makes all the
major decisions at the "front end" will force the planner into continuing conflict with the
public he faces.
CRITERIA FOR AN EFFECTIVE PLANNING PROCESS
These philosophical meanderings lead me to believe in these three criteria for an effective
planning process:
1) The planning process should protect and create options.
-------
2) The planning process should identify th6se decisions beyond which we are committed and
may have "killed off" a desirable future.
3) The planning process should'provide visibility to the assumptions made in planning, and
provide a system for reviewing the validity of these assumptions and selecting other futures
throughout the duration of the planning process.
THE ALTERNATIVE FUTURES APPROACH
In an effort to meet these criteria, I have devised a methodology which I call the "Alternative
Futures Matrix."
The basic notion behind the Alternative Futures Matrix is to identify the range of alternative
futures; identify the cross impacts of programs designed to implement each future; and devise a
decision-making process which allows for subsequent review of those decisions which materially
close off any of the futures. In this manner a broad range of futures is kept alive for the longest
possible period oT time, and decisions are brought closer to the point in time when the impacts
of the decision will be felt. In addition, each decision is made with maximum visibility as to the
implications of ea :h decision on the full range of alternatives.
A description of the Alternative Futures Matrix methodology follows:
DEVELOPING AN ALTERNATIVE FUTURES MATRIX
1. Developing Alternative Futures Scenarios
The first task in developing an Alternative Futures Matrix is to develop a range of alternative
futures —scenarios based on the most probable projections of alternatives given both the external
and internal factors affecting the particular planning situation.
External factors can include such things as general economic conditions, actions of other or-
ganizations, the political climate, a technological breakthrough. Which factors are critical varies
from situation to situation.
Internal factors also differ widely depending on the type of organization. In private industry
these factors can include such things ss an innovative marketing strategy, market position,
financial position. Governmental agencies share with private industry such critical factors as
personnel strengths and weaknesses, adequacy of research programs, and in particular the values
of top management and tru.1 climate thes? values may create in the organization. These values —
whether they be competition, cooperation, innovation, integrity, candor, growth, productivity —
are the standards by which events adn behavior in the organization are judged to be good/bad,
right/wrong, successful/unstircessful, and substantially shape the range of alternative futures
which can be considered.
An example of scenarios is given below. These scenarios were developed by a group of Forest
Service employees during a tiaining program on the Alternative Futures Matrix and are their
assessment of what the Forest Service land management philosophy would be given three
divergent projections of the future. The three futures were based on directions from the in-
structor to develop one future based on a straight-line projection from the present, one assuming
some fundamental shift in values, and another assuming a major technological breakthrough.
-------
BASIC ASSUMPTION:
Predicted Outcome:
Likely Forest Service
Management Philosophy:
BASIC ASSUMPTION:
Predicted Outcome:
Likely Forest Service
Management Philosophy:
BASIC ASSUMPTION:
Predicted Outcome:
Likely Forest Service
Management Philosophy:
ALL POPULATION AND ECONOMIC PATTERNS WILL
CONTINUE THEIR PRESENT TRENDS.
Famine; starvation; extreme competition for resources be-
tween nations; a shift in balance of power towards resource
producing nations and away from resource consuming nations.
Maximum orientation towards timber and mineral commodity
production; minimal concern for aesthetics; recreation and
wildlife uses allowed only when not in conflict with com-
modity output.
A WORLD-WIDE SHIFT IN VALUES WILL TAKE PLACE
ALLOWING FOR SUBSTANTIAL REDUCTION IN BIRTH
RATE.
Similar to Future #1 over short run but some stabilization
subsequently as population and resources balance out.
Oriented to production of commodities over the short run
but with an eye to preserving amenities to be available after
immediate crisis is past.
ASSUME A MAJOR TECHNOLOGICAL BREAKTHROUGH
IN PHOTOSYNTHESIS SUCH THAT WE ARE ABLE TO
MEET BASIC ENERGY AND FIBER NEEDS DIRECTLY
THROUGH PROCESSING OF ORGANIC MATTER.
Sufficiency of resource supply. Probability that forests would
not be the best producers of plant material in large quantities
(more likely to be subtropical and tropical lowlands). As a
result there might be substantial shifts of population towards
areas of higher production.
Since forests would not be the most efficient sources of
bio-mass, the forests would probably be managed for maximum
water production, with water to be transported to other areas.
Recreation demand may shift due to shifts in population.
Ample resources for aesthetic values to be incorporated.
When applied to specific planning problems these Alternative Management philosophies would
in turn prescribe the range of alternative futures which could be considered for a specific
planning situation.
When the planner represents a public agency the scenarios are developed with full citizen par-
ticipation and are selected to ensure that the full range of values of the publics are portrayed in
the scenarios. The scenarios also provide an opportunity for management or clients to review
and provide comments on limits they see in the situation.
Once the scenarios have been developed, a selection is made — again with full participation of
the various publics — of those alternatives of sufficient probability and importance that they
should be- built into-the planning process.
-------
2. Developing Programs for Each Alternative
Then an outline'is developed which would be required to shape each alternative future. This
outline would consist of a detailed analysis of the decisions that would have to be made to
develop and implement a plan responsive to the assumptions of the particular scenario. These
decisions are programmed out over time so that it is possible to see the sequence of decisions
which must be made as well as the approximate point in time when they will have to be made.
*
These programs will substantially resemble a flowchart of decision-making junctures spread out
over time.
Each program is also analyzed to determine if any decisions must be made now to preserve this
future. These decisions are "front-ended" in the decision-making sequence — placed near the
front end so examination of them is forced as part of developing the plan. The development and
review of these programs is again a natural period for participation of the public..
3. Identifying Cross Impacts
The review of these programs does not yet result in an approval to proceed with any one pro-
gram, but rather an agreement that the program represents the probable strategy if the organi-
zation were going to commit to one parlicular future. Instead, these programs now form the
basis for cross-referencing the impacts of '.he decisions made in one program upon the programs
of the other alternative futures. A decision made in one program — such as a massive commit-
ment of capital or a decision to put roads in an undeveloped area — may reduce or eliminate the
ability of the organization to retain another alternative future as an option. These decisions are
identified as "high-cost" decisions: the cost referred to is the loss of options available to the
organization. Decisions that do not materially affect the organization's other options are "low-
cost" decisions.
The alternative futures, their accompanying programs arranged in a sequence of decision-making,
and identification of "high-cost" decision can now be summarized in a matrix. Although greatly
simplified, the summary might be presented visually in this manner:
Time
U 1 b 1 U 1 1 1
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w— LJO
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All circled decisions are high-cost decisions -- to proceed with this decision will commit
resources in such a way that limits the ability to maintain the other alternatives. For example,
the first decision in Alternative B is a high-cost decision, so immediately we have to make some
decisions affecting the other futures. The matrix also allows us to know the time sequence,
e.g. Decision 2 of Alternative D will have to be faced before Decision 2 of the other alternatives.
5
-------
4. Developing an Operating Program
Now we are down to the hard decisions.involved in actually hammering out our operating
program. We now know the range of alternative futures, some notion of what it would take to
create those alternatives, and in particular, what options we will be closing when we make a
decision.
A decision may be made to proceed with a decision that "kills off" another future. These kinds
of decisions will have to be made — but they are made with conscious awareness of the risks.
The assumptions are clarified in such a way that accidentally killing off a desirable future should
be minimized.
Typically the operating program will be a composite of several of the programs developed. We
may choose to maintain certain options by not becoming so committed to a particular alterna-
tive future that we unnecessarily lose options that in the future we may wish we had retained.
5. Decision-Making at "High Cost" Junctures
But the use of the Matrix continues: since the various programs ,3re projected out over time,
and since "high-cost" decisions are identified, the planning process is established in such a way
that the approach in time of a high-cost decision triggers a revie-v preparatory to making the
decision. Because the high-cost decisions have been identified, and because there have been time
estimates on when the high-cost decision will be reached (or at leas': a knowledge of the sequence
in which they will be reached), it is possible to direct study and research towards having the
requisite information for making this decision available at the time of the decision. Conversely,
there is no requirement to make decisions prior to their sequence in the program — in effect
major decisions are postponed until they have to be made. If the cost of not making a decision
now is to close options then that decision would be identified as a high-risk decision at the point
in the sequence of decision-making that failure to act would foreclose options.
Naturally the definition of a decision as "high-cost" itself rests on certain assumptions. But
because the critical decision-making junctures have been identified, the assumptions come up
for periodic review. Built into the review of each high-cost decision must be a review of the
assumptions upon which the projections have been based and a determination of the degree to
which the assumptions are bearing out.
In addition, each review of a high-cost decision triggers a review of the degree to which the
alternative futures continue to accurately portray the options. Some futures may have been
"killed" off, assumptions contained in others may have been inaccurate, new options may have
emerged. Thus the high cost decisions serve as a triggering mechanism for regular and timely
updating of the entire system.
Finally, the review of high cost decisions serves as a natural juncture for future citizen par-
ticipation. Rather than having to make all decisions at one point in time with only those publics
participating at that point in time, critical decisions can be programmed out in time and the
public can be involved at a point closer to the actual time of impact.
-------
ADVANTAGES OF THE ALTERNATIVE FUTURES MATRIX
As outlined above, this system has the following advantages;
1. The alternative futures remain visible even after the basic operating program has been
developed. •
2. High visibility is maintained for the impacts of the program on other options available.
3. Visibility is maintained for those decisions that produce a "point-of-no-return" impact.
4. Review processes are automatically triggered when a "High-Cost Decision" is reached, so
the planner and public both know when major additional decisions will be made.
5. Research adn data collection can be targeted in time towards those points at which they
will be needed.
6. Preparation of the futures and development and review of the programs for each future
provide natural points for.public participation.
•
UTILIZATION OF THE ALTERNATIVE FUTURES MATRIX
So far the Alternative Futures Matrix procedures have been used primarily as a training device.
using practical problems brought to the workshops by participants.1 Already we have identified
needs for more adequate methodologies for displaying in a visual manner the decision-making
sequences and the cross-impacts between alterni.tives so that they are immediately understand-
able to the public.
However, participants are enthusiastic and report that the methodology forced them to consider
a much broader range of alternatives than they would have considered in the normal planning
process. In addition, they report that the cross-impacting has frequently identified decisions
which previously they would have considered to be relatively unimportant but which had major
impacts on the other futures.2
We.are now identifying planning projects on which we will have an opportunity to employ the
entire procedure continuously over a period of time to determine whether it will satisfy the
criteria it is developed to meet.
NOTES
1. Workshops conducted include:
"Seminar on the Use of the Land, U.S. Forest Service, September, 1973, Enterprise,
Oregon.
"Environmental Quality Workshop, U.S. Forest Service, May 1074, Denver, Colorado.
•Corporate Planning Staff, Wickes Corporation, August 1974, San Diego, California.
2. Verbal evaluation of participants in the workshops indicated above.
-------
ALTERNATIVE FUTURES PILOT STUDY
The preceding article is the basis for a pilot study of the
Alternative Futures planning process sponsored by the U.S0
Bureau of Reclamation. The Alternative Futures procedures
are being applied on a total water management study of four
counties (Solano, Napa, Lake, and Yolo) in California now
being conducted by the Bureau of Reclamation.
The first activity of the study was to conduct a simulation
activity for internal staff of the Bureau applying the Alter-
native Futures procedures to a portion of the study area» In
addition to familiarizing Bureau staff with the process this
simulation served to clarify two additional points about the
use of the process:
1) Much of the "data base" which provides the "givens" of a
study turns out to have a number of assumptions about the
future embedded in it. Once assumptions are carefully
examined a great deal of "hard" data has to be re-worked
because of unconscious assumptions about the future built.
into it»
2) The linear method of presenting the decisions related to
each scenario distributed over time (see the diagram in
the preceding article) may not be the most effective method
of display and analysis. We will also be considering the
use of decision-making trees as an alternative form of analy-
sis. Each branching point in the decision-making tree is
a "High^-Cost Decision" , and assumptions underlying each de-
cision will be identified to 'serve as a guide tc decision-
makers when .they reach these points.
Between January - May of 1975 there was an extensive citizen
participation program involving the public in projecting alter-
native Futures for the four counties involved in the study„
This participation included two series of cne-day workshops
plus a series of evening meetings in eac\ county. These activ-
ities were advertised tc the general public in a brochure which
presented three provacative scenarios ar.-out thr- future and in-
vited their participation in several ways. The brochures were
distributed widely throughout the four crurt: es including bMns:
available on drug store and grocery store counters.
In the one-day workshops participants went tr.rough trie entire
process of developing futures scenarios and estimating the water
demands which would be associated with each scenario. In the
evening meetings participants had an opportunity to react to
tr:e scenarios developed in the one-day workshops ar,d identify
other problems and needs.
Copies of the workbook given the participants in the cne-day
workshops are available in limited ouar.ti ti or,.
-------
The contributions received from the public are now being analyzed
and a set of consensus scenarios prepared,, Once these scenarios
are completed it will be possible to project probable management
strategies associates with each scenario and begin to cross-refer-
ence decisions in order to identify "High Cost" Decisions and dev-
elop an operating plan. A preliminary report on the study's pro-
gress will be completed by July 1, 1975. A final report with
special emphasis on the cross-referencing technique will be avail-
able in Fall 1975.
INSTRUCTIONS FOR ONE-DAY WORKSHOPS •
TEAM ACTIVITY: IDENTIFYING FACTORS WHICH AFFECT THE FUTURE
Instructions: As a team make a list of those factors which will
affect the future in either your county or other counties in the
Four-County Study area. These may be factors that either encourage
or inhibit development. While we naturally want to identify the
important factors, you need not worry about whether or not a
particular factor is important enough to be included on the list --
your team will assign priorities to these factors in a subsequent
activity. Record your team list of factors on the form on the next
page.
TEAM ACTIVITY: EVALUATING THE IMPORTANCE OF EACH FACTOR
Instructions: As a team select the three factors you believe will
be most significant in affecting development in the Four-County
region. Two criteria you may want to consider are: (1) Amount of
impact -- how much impact this factor will have if it changes or
remains' the same; (2) Likelihood -- the probability that this impact
will occur. Indicate your selection on the form on the next page.
Then review the remaining factors, and assign them to the three
categories: High Impact, Middle Impact, Low Impact. You will find
yourself under time pressure, so regulate your time accordingly. At
the end of the time, select a spokesperson who will present a report
of your team's results to the total team.
TEAM ACTIVITY: DEVELOPING AN ALTERNATIVE FUTURES SCENARIO
Instructions: Develop a scenario -- a little "scene" -- describing
the fuliTrT~development in your county based on the theme assigned
vnUr team. To do this you may wish to review the other factors
which affect development in light of your theme, as illustrated on
page 9. The scenario should be sufficiently detailed in terms ot
population size, agricultural patterns, and location of population
centers and industry that water demands can be developed from it.
TEAM ACTIVITY: ESTIMATING WATER NEEDS
Instructions: As a team, develop your best guess of the amounts,
"o^lUyTl^d location of water needs in your county in the_year
1990 based on the scenario developed by your team. Potential water
supply sources are listed on the following page.
-------
INFORMATION ABOUT SYNERGY CONSULTATION SERVICES;
SYNERGY Consultation Services was founded in 1969 try James L0
Creighton. SYNERGY provides training and consultation services
in the fields of citizen participation, alternative futures plan-
ning, and management of interdisciplinary teams,,
SYNERGY'S Citizen Participation/Public Involvement Skills Course
is the most widely used course in the citizen participation field
among governmental agencies. This course is designed to provide
a basic understanding of the principles of designing and conduct-
ing citizen participation programs,, The course also includes prac-
tical workshops on communication skills, meeting leadership, and
analyzing values information received from the public. Agencies
which have utilized this course include the U.S. Forest Service,
U.S. Bureau of Reclamation, Army Corps of Engineers, Federal High-
way Administration, National Park Service, Bureau of Land Manage-
ment, and a number of other federal and state agencies.
SYNERGY also provides direct consultation on the design and con-
duct of citizen participation programs, including the development
of a number of innovative citizen participation strategies. In
addition SYNERGY is involved in studios on alternative futures
planning procedures and analysis of underlying values systems and
other citizen participation methodologies. SYNERGY'S consulting
clients have included the U.S. Bureau of Reclamation, Federal
Highv/ay Administration, Army Corps of Engineers, California Dept.
of Water Resources, U.S. Forest Service, Soil Conservation Ser-
vice, and other governmental and industrial clients,
A brief brochure on the consulting services provided by SYNERGY
is included in this workbook. Training Officers or others in a
position to consider citizen participation training are invited
to request 'a complimentary copy of the participant's workbook
for the SYNERGY Citizen Participation/Public Involvement Skills
Course. A space is provided on the attached Information Request
form to request this material.
Or call or write:
SYNERGY, 133 Wilfet Circle, WstsonviSle, CaMfornia 95076 (408) 724-2836
-------
EVALUATION FORM
How well did this seminar meet your expectations?
Which course material did you find most helpful?
Do you have comments or suggestions about how the seminar
was taught?
Did the seminar brochure accurately represent the seminar?
Could you suggest improvements?
-------
INFORMATION REQUEST FORM
NAME . TITLE
AGENCY
ADDRESS '
PHONE
I would like to receive a copy of the participants' work-
book for the SYNERGY Citizen Participation/Public Involve-
ment Skills Course. My agency may have an interest in this
training.
I would like to receive more information about consulting
services offered by SYNERGY in the design and conduct of
citizen participation programs.
I would like to be kept informed of SYNERGY research in
these areas:
Alternative Futures Planning Procedures
' '_" Methods for Analyzing Values
I suggest that you contact
concerning:
Other information needed:
-------
/
i
THE FOLLOWING PAGES ARE EXCERPTS
FROM A PAPER BY
Roslyn Glasser
Dale Manty and
Gerald Nehman
PRESENTED TO
International Water Resources
Association UNESCO
Paris and Strasbourg,France
March 24-25, 1975
The entire paper is highly useful
and interesting to those concerned
with public participation and
planning. Copies can be obtained
through the authors. Ms. Glasser
is with the Ohio Environmental
Protection Agency in Columbus.
Mr. Manty is at the Ohio State
University in the Natural Resources
Department. Dr. Nehman is with
Battelle-Columbus Laboratories.
-------
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-------
THE CONSERVATION FOUNDATION
f 1717 Massachusetts Avenue NW Washington DC 20036 • (202) 265-8882 Cable: CONSERVIT
USES OF MEDIA
THE DISTRIBUTION SYSTEM
Jeannette Brinch
The Conservation Foundation
Delivered before the
International Joint' Commission
Public Participation Workshop
Ann Arbor, Michigan
. June 24-25, 1975
-------
The fact that there are so many representatives of govern-
ment agencies in this audience encourages me. You are here
because you realize that public hearings seldom give you the
kind of public involvement you need prior to making a decision.
You are looking for other methods of communication, of insuring
a more meaningful input from the people you represent. As a
citizen and as a professional environmental activist, I applaud
your desire to find new channels of communication.
What are the channels? They can be anything your imag-
ination and budget desire. Newspapers,, newsletters, information
brochures, action alert bulletins, radio, cable,' public and
commercial television, films, slides and tapes, are all viable
channels of communication. Combinations of any of these may
be used to give more variety and mind-catching appeal. And
new communications channels are being opened every day, such as
a computerized information system being developed in California,
which allows interested organizations to receive information
and to instantaneously enter their policy recommendations to a
regional planning agency via computer systems installed in their
offices.
The criteria you use to decide which media will suit your
particular' need -arise from what you want to accomplish. This
includes:
-------
-2-
— what issue or issues you want to deal with;
'— whether and what kind of response you want to elicit;
and
— what kind of audience you want to reach.
For instance, if you want the public to know who you are
and what you are about - to make them- aware of you but not nec-
essarily aware of any particular issue - you will need to con-
duct a "blanket" campaign. This means you will make use of
television, both cable and public, radio and newspapers, the
three most far-reaching communications forms, as well as any
printed material, to reach the general public. With the plethora
of visual, auditory and sensual(communications]bombardments we
all receive every day, it is imperative that you use your imagin-
ation with'these media channels.
The-television set can be used to your advantage, for
your audience can both see and hear you. On public television,
it is necessary that you have a funding source - which of course
-may be the government agency you represent - to help you finance
what is often an expensive production. You will need to put it
together with the help of a writer, producer, director, and any
other staff people you need to tell your story. You can either
bring a finished product to the station on film or videotape,
or take advantage of the many creative people within the studio
who will be happy to work with you. You might product a short •
videotape or film, with a narration, or have a panel discuss
your activities, or produce a skit or sing a song.
Cable television is relatively new and allows you to be
-------
your most innovative. Unlike public television, high financial
V costs are not part of the picture. You may use cable television
to hold a group meeting, a discussion session which exposes
the public to who you are and what you do, a sonq and dance show —
all with little or no prior technical know-how. You need only
be somewhat organized and let your imagination.__taJs£--ove^:-T-
Commercial television, although expensive and difficult
to work with, can also be used to communicate your ideas. Al-
though I stress public and cable television as effective media
channels for public participation, commerical television is
responsible to the "Fairness Doctrine" as well, and has shown
some degree of public interest orientation. So you should not
rule out commercial television when planning a media program.
( Radio is just about the least expensive media technique you
can use to get your "image" across. You can prepare tape
cassettes ahead of time, using any number of audio techniques,
including narration, sound effects, and music. The station
manager will just insert the cassette when possible during the
day's programming. Of course, many stations require that you
i work within their own format and time frame; in other words,
you must make a presentation to fit their specifications. If
you want to "blanket" the media, using radio as one channel
> of communication, it is wise to remember that you probably should
/ not use Public Service Announcements. PSA's, as they are called,
are 15-, 30- and" 60-second spot announcements, which are read
whenever the broadcaster has the time. Generally, only non-
profit groups are allowed PSA's, and have no control over when
-------
and within what context the message will be heard. So, if you
want to make people aware of you in a meaningful way, it is
worth the minimal cost for paid radio broadcasting.
To complete your "blanket" campaign in making the public
aware of your existence and activities, you will need to take
advantage of printed media, as well as broadcast media. You
may take out a paid advertisement in a newspaper, which either
informs the reader of your existence and activities, or alerts
the reader to your television and radio broadcasts. Or, you
may alert a reporter to your activities»
You may wish to send out to the general public information
brochures or newsletters recounting your current activities.
'public. This, of course, requires financial backing if you
intend to "blanket" the audience.
In a "blanket" campaign, that audience is the general
public. You want to inform, to make them aware of you. Only.._
You are not asking the audience to do anything or to make a
response to your campaign. You are trying to make yourself known
and your cause a creditable one in the eyes of the general
public.
If you want the public to be aware of a specific issue,
rather than just generally to be aware of your existence, you
will need to apply a different set of criteria and perhaps
different communications techniques.
First, you will need to pinpoint your audience. Here, your
audience is of much narrower scope than in your "blanket" cam-
paign. You are looking for an audience which will either be
particularly responsive to the issue or issues you are promoting,
-------
— 5—
or an audience which is not responsive, in hopes of changing
their minds. To select the audience, it is wise to answer the
following questions first:
— what issue or issues do you want to expose; and
— what do you know about the types of audiences reached
by different communications channels.
For instance, if-you want to bring a water diversion project
to a selected, concerned audience, you would contact conserva-
tionists, ranchers, farmers, other landowners, and any others
whose special interest would be affected by the diversion
project. You would be selected in choosing methods of com-
munication to reach this audience. You might:
— publicize in farm journals they would likely read;
— have a radio tape played over a station they would
likely listed to, such as a news show on farm prices,
we'ather, or new farming techniques; and
— send out action alerts via a farm association's
membership list.
Basically, the methods of communication you use for pub-
licizing a specific issue are the same as those for making a
broad audience aware of your existence through a "blanket"
campaign. Radio, cable, public and commerical television,
newpapers and other periodicals, action alerts, and information
bulletins, • among- others, are all useful. What differs is your
more selected audience for a more specific issue.
When you want your audience to make a response to your
communication, rather than to only be cognizant of your activ-
-------
-6-
ities or to be alerted to the issues you are most concerned
about, you may need to mix your communications techniques.
You will identify your audience - either broad or more
narrow - you will decide on the issue or issues to publicize,
and then you will need to decide what kind of response you
want the audience to make.
You must keep this in mind if you are to achieve some
degree of public participation in your decision-making. Far
too often, the first two purposes of communication spoken of
here - general organization awareness and specific issue aware-
ness - are mistaken for public participation, when actually
they are public information. A public information program
rarely encourages anyone to do anything, and thus no real input
is made on a policy decision. Public hearings are typical in
this regard - they tend to inform the public, rather than to
gain public input or action.
So, if you've decided you would truly like to involve the
public in the decision you are making, you will need to develop
communication channels which encourage this development. The
involvement may take any form,' including letter writing, member-
ship on advisory committees, citizen organizing, and direct
policy input.
For instance, if you want your audience to contact you with
a negative or positive response to a program or issue, you
may want to use-both print and broadcast media. You might ar-
range a film and narration - or a panel discussion or dramatic
presentation - over your local public television channel, and
-------
at its conclusion either give the audience a contact person or
office and telephone number with which to state a position,
or refer the audience to a newspaper article which examines
the issues more fully and then provides the contact person or
office.
You might send an action alert on an issue to a selected,
target audience and follow that with a radio or television broad-
cast with a more extensive discussion of the issue and with
information on who to contact. Or, you could reverse this order
by having the broadcast first and announcing the availability
of printed material and contacts at the'program's end.
You might want to establish a network of advisory committees
• 'throughout a region to help you make a decision on an issue of
regional significance. It would then be helpful'to produce a
public television or radio show which would reach a regional
audience; the issue could be discussed by a group representing
several interests, and at the show's conclusion, the need for
advisory committees throughout the region would be highlighted.
You would ask for volunteers, establish a contact person and
telephone number, and wait for the responses.
In any event, what you need is an informed audience, an
audience selected with enough care and fed the right information
at the right time to make an informed contribution to the decision
at hand.
Any of the media techniques explained at the beginning of
this paper are suitable for public participation programs. The
/'important element is response. You wish to inspire the audience
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-8-
to become involved. In this regard, it is not always necessary
( to start from scratch. You may have produced a number of public
information pamphlets, begun a newsletter, or arranged a slide
show for in-house staff. To turn these communications,tools in-
to public participation - not just information - mechanisms, is
a relatively easy task. All three could be adapted to suit an
audience of PTA members, neighborhood organizations, business-
men, or college students. The media would inform the audience
but instead of leaving it at that, the audience would be
asked to issue policy recommendations, to state their views, to
make an input. No need to be formal - these presentations and
personal contacts would not be hearings. Rather, they would be
1 public information and participation events. Here again, the
/• major criteria for using any media technique you wish are
response and action.
Now that I've suggested a few media techniques you can use
to suit your public participation needs, you may now be wondering
if any of these techniques have actually been put together and been
successful. With relief, I can say many of them have. The
following examples are just a few success stories.
In Denver, Colorado, an exciting public television show
has been produced for broadcast throughou€--'the Rocky Mountain
Region. Called "Feedforward," this 30-segment series has focused
on land use, water quality, energy development, growth and a
number of other environmental problems as they relate to the
Rocky Mountain Region. One-half hour segments, filmed on
location throughout the region, visually expose the audience
-------
-9-
to both the problems and the major special interests concerned
( with those problems. What has made this a public participation
program as well as an information program, are viewer groups
established throughout the region. The viewer groups have
watched the weekly series and reacted to the programs, asked
j
questions of the program's writer and director, and have used
the program's information base to focus and activate their
participation in local and regional environmental decisions.
Response to "Feedforward" has been positive; it has not only
created an informed citizenry, but it has created a channel by
which they can reach decision-makers with their input.
Also in Denver, a combination of media techniques was used
' "to open up communication on an issue of some controversy, the
/• use and misuse of the Platte River. A 12-minute-film with
v. . -s
narration was produced for public television on the Platte,
followed by almost 50 minutes of questioning via telephone of
a 3-person expert panel, all shown on the television screen.
Seventy calls were taken on the air and several hundred were
taken off the air for an hour following the show. Not only
were contacts made, but views were expressed which gave those
who were making decisions on the fate of the Platte a good idea
of the public consensus.
Media programs which present information and seek partic-
ipation may most effectively use a multi-media approach. Such
an approach was taken at one of ten regional Conservation Foundation
Water Quality Training Institutes, funded by the Environmental
Protection Agency, and aimed at informing and educating citizen
leaders on their roles and rights under the 1972 Amendments to
-------
-10-
the Federal Water Pollution Control Act. The workshop opened
( with a multi-media program, consisting of a 3-screen, 3-pro-
jectbr slide show, with a simultaneous narrative play, back-
ground music, and at its finish, a sprinkling of the audience
with water. This program served to highlight the major water
quality issues, get the audience superficially "involved"
(via the sprinkling), and to initiate" dialogue between them
on the major issues for the workshop.
Another of the Conservation Foundation Regional Water
Quality Training Institutes used a very different combination
of media techniques, role-playing and videotape. A mock
permit hearing was held during which a draft industrial dis-
' 'charge permit was distributed to all Institute participants.
/ A panel representing members of a state water quality control
board heard prepared testimony by their staff, by the in-
dustry and by the Sierra Club, as well as comments from the
Institute participants. All these helped to disclose the
kinds of issues likely to come up in a permit hearing.
The mock hearing was followed by a videotape of hearings
on a large city's sewage problems. The videotape served mainly
to emphasize the purely informational role of hearings, and
precipitated audience discussion of alternative participation
techniques. You might use role-plafS/ing and videotape to
personally involve your audience in current decision-making;
by allowing them to act out their viewpoints, the policy
decisions they might make on an issue, you might more easily
reach the correct decision.
In Santa Barbara, California, a project appropriately en-
-------
-11-
titled "ACCESS" is attempting to utilize computerized tech-
nology as the mechanism through which the public can make its
input into environmental decision-making: ACCESS (Alter-
native Comprehensive Community Environmental Study System)
has been designed to create a neutral forum through which
policy makers, citizen groups and special interests can analyze
and discuss regional problems, options and issues. A number
of communications techniques and technologies, such as regional
situation rooms and computer modeling, are being developed.
The regional situation rooms are equipped with maps, computers,
television, both broadcast and cable, and citizen polling and
feedback systems, and are used to examine real world environmental
issues, test and discuss policy alternatives and experiment with
the technology. Computer modeling and interactive computer
graphics simulate real world environmental systems. An in-
dividual can work with the simulator and interact with changing
variables.
Simply stated, ACCESS is attempting, through the use of
a technological approach, to install computers in participating
organizations by which issues may be explored at will. Re-
actions, suggestions and action initiatives are fed back into
the computer to the decision-makers.
In Raleigh, North Carolina, cable television has been used
by the local Community Council to inform constituents and elicit
responses from them on community-wide problems. The Council
meets before the television cameras, and then the telephone is
used as the feedback loop. Citizens speak both with each other
and with the Council at the television studio to make their
-------
-12-
input known.
V The Environmental Protection Agency sponsored a television
show on Lake Michigan not too long ago which allowed the ex-
pression of diverse interests on the future of Lake Michigan.
Seventeen people from communities bordering the Lake met before
the television cameras to discuss their special interests in
the Lake and the Lake's environmental future. These seventeen
people represented special interests, but they were citizens
as well/ and they were provided an access route to the decision-
makers who control the Lake's quality.
In Colorado Springs, Colorado, the Pikes Peak Area Council
of Governments has produced a slide-tape show on a current
water quality project in which they are now engaged. The 1972
/ Federal Water Pollution Control Act Amendments establish planning
processes to begin in selected areas across the country with
significant water quality control problems. Such planning
efforts are to achieve a system of land use and water quality
management which not only assures environmentally sound sewage
treatment systems, but attempts to get a handle on myriad
non-point source problems including street runoff, agricultural,
silvicultural, and construction runoff. The areawide planning
processes are to provide a mechanism for early citizen input.
The Pikes Peak Area Council of Governments, on whose shoulders
this responsibility rests, has put together a slide-tape show
which explains the planning program and pinpoints the areas for
citizen involvement. It is being circulated to a wide audience,
including neighborhood associations, civic groups, and schools,
and is to serve as both an information tool and a springboard for
-------
-13-
action.
^ The exaitiples I have just outlined represent what has become
a most important ingredient - communication for public partici-
pation -- in any organization's overall program. It is my view
that it no longer makes sense to confine one's public policy
activities to purely written material; that we only have so many
hours per day to devote to the stacks of printed matter which
come across our desks. We may find that effectiveness in both
communicating and in eliciting public involvement is enhanced
by the use of media channels — and that the decision will thus
be a more enlightened and a more popular one. Which brings me
around to my final point - how to evaluate the effectiveness of
your media program for public participation.
f If you have conducted a "blanket" campaign for organization-
al awareness/ you will want to evaluate whether or not your
organization has become familiar 'to a large segment of your
audience. A random telephone survey should accomplish this —
and you should be quite satisfied with a 2-5% return. If you
have tried to inform a segment of the public about a particular
issue, you may again use a telephone survey to test your re-
sults. Realistically, media work on a particular issue can
only go so far without triggering a response. To evaluate
whether people have become aware of a particular issue, you will
need to see a response - or else you will find yourself just
quizzing people "on the issue you have publicized.
On the other hand, if you are willing to wait some time
before evaluating your media effectiveness, and there is a
policy decision coming up which requires a vote or other show
-------
-14-
of opinion, it may be very easy to evaluate your effectiveness.
By evaluating the results of the vote, you may evaluate how
well your issue was understood by the public.
If your purpose in communication has been to elicit an
informed response, you again can simply count the number of
responses or go into more depth by evaluating the content of
the responses received. Far too often decision-makers complain
they spend huge sums of money on public information programs
and receive no response. They are all sure that they alone know
how to communicate. If your purpose is to get a response as
well as to inform - if the audience knows you want their informed
response - you will get a response. You obviously can evaluate
your media techniques by the number and quality of responses.
What I am saying here is that it is almost impossible to
accurately evaluate the effectiveness of your media program
unless a built-in feedback loop is included in the program.
v^_
This means that for true public participation in the
decision-making process, your media program must trigger a
response from your audience. The public must be provided with
a means to act on the information you are generating through
whatever media channel you use. Response and action are your
* evaluation tools. You should be assured, however, that although
you cannot measure the effectiveness in all cases, you will
get results.
-------
Paper to be given
at Session III
Public Hearings
PUBLIC HEARINGS
Some Comments on their Use & Effectiveness
David Estrin
June, 1975
Preliminary Draft
-------
"To those who worship (or at least espouse) the
doctrine of public participation as being fundamental
to sound planning and decision making, the ritual
of public hearings is familiar. Indeed to attack
the ritual is to commit heresy.
But it must be admitted that there are many
sympathizers with the doctrine of public participation
who say that too often the public hearing ritual not
only fails to bring worshippers of participation
closer to their ultimate goal of revitalizing demo-
cratic practices, it rather in some cases leads to
rule by frenzied extremists.
In 1974 a University of Toronto sociology
professor labelled "an exercise in futility and likely
to give rise to quite misleading conclusions" public
meetings being held by the Canadian Institute of
International Affairs on the subject of world pop-
ulation policy. The Institute had arranged public
consultation meetings in various cities "to enable
the Canadian people to express their views regarding
both Canada's position at the U.N. World Population
Conference and a population policy for Canada".
-------
— 2 ~
According to Professor Anthony H. Richmond,
" in contrast with a scientifically designed sample
survey of opinions, public meetings are likely to ^
elicit the views of entirely unrepresentative sections
ofthe population,particularly extremists represent-
**^
ing minority positions."
And no lesser a professional than Dr. O.K. Solandt,
former chairman of the Science Council of Canada,
in his final " Solandt Commission Report "(on the
environmental effects and routing alternatives for a
500 kilovolt transmission line that Ontario Hydro
planned to build through rural lands and across the
Niagara Escarpment in southern Ontario) stated that "the
%
public_Jaearings mechanism may be evolving into an
institutional structure by means of which a minority _
can short-circuit the established mechanisms of
—. . ^ °
democracy and achieve its own ends without the op-
position even being mobilized or heard."
Why is it that such professionals challenge
the public hearing ritual ? How can they be so
vehemently against a forum historically associated
with the democratic process ?
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- 3 -
One answer appears to be that because public
participation is now in vogue, public meetings are
the first methodology that occurs to governments and
institutions who wish to quickly appear to remedy
structures which were purposefully designed in prior
times to avoid such participation. It is because
public hearings have been added on rather than
integrated into pre-existing policies and statutory
procedures in an attempt to quickly bring the public
into the process, and that concurrently there has
been a failure to recognize that public hearings are
not valid methods of involvement in certain circum-
~" ""• •'-' ~^""~'"->
stances, that the criticisms made above r and others r
s~~~"
are validJLv made.
It is worthwile at this point to look at the
diversity of objects which public hearings seem to be
expected to fulfill under a variety of laws.
Information and Decision Making Hearings
There appear to be four varieties in this
category :
1) Those for securing information and general opinions
on a subject prior to the undertaking (usually by
experts) of a major study leading to a final report
containing recommendations. Examples : IJC hearings
held at the commencement of studies pursuant to two
-------
_ 4 —
references regarding Great Lakes Water Quality, and
Pollution of the Great Lakes System from Land Use
Activities. Here the IJC material preceeding the -
hearings stated they were preliminary public hearings
"for the purpose of receiving information relevant
to the subject matter of the studies." They have
been described as "a very open-ended hearing, since
there was no study plan or report upon which to
comment."
2) Those for the expression of opinions which are
in reaction to general policies or recommendations
tentatively adopted. For example, the public
(, meetings held by the Canadian Institute of Inter-
national Affairs (supra); hearing currently being
held across Canada by a Joint House-Senate Committee to
gather reactions to the federal government's Green
Paper on Immigration Policy; hearings held to
receive public reaction to the interim report of the
International Great Lakes Levels Board to the
International Joint Commission; hearings by Planning
Boards in Ontario municipalities at a point prior to
recommendation for adoption by municipal councils
of Official Plans or changes in zoning by-laws.
3) Those which provide a forum for reactions to
I
courses of definite action proposed in some final
-------
- 5 -
/ report or in a draft piece of legislation. For example,
the hearings held over the Village Lake Louise Develop-
ment proposal in Banff National Park, hearings held
after the government had advertised for development
proposals and had made a legal agreement with a
consortium allowing for development of its plan;
hearings held after a decision to expropriate pro-
perty (exercise power of eminent domain) has been
made to determine whether that taking is necessary
in the circumstances; IJC hearings in 1970 on a
final report concerned with pollution in the lower
lakes which report, inter alia, recommended that a
program of phosphorous control be implemented; hear-
ings currently being held by the Ontario Environmental
Hearing Board on a report containing recommendations
for action to prevent continuing health hazards asso-
ciated with secondary lead smelters; hearings before
the Ontario Municipal Board to sanction Official Plans
or changes in zoning by-laws adopted by municipal
councils; hearings before a House of Commons Committee
considering an Environmental Contaminants Bill which
would regulate many aspects of industrial activities
in Canada.
4) Those for obtaining facts and opinions which will
be evaluated in relation to the plans of a project
proponent ( including governments ) desiring to start
.a large specific project or activity . For example,
-------
- 6 -
hearings being held by Mr. Justice Berger in regard
to conditions that might be imposed on a right of
way for a Mackenzie Valley Gas Pipeline in the
Northwest Territories; hearings to be held before
the National Energy Board by competing companies
for a "certificate of public convenience and nece-
ssity" to actually construct such a pipeline; the
Solandt Commission Hearings (supra) ; hearings by
the Ontario Environmental Hearing Board required
prior to approval of most waste disposal sites in
Ontario and certain types of sewage works; hearings
held over the federal government's plans to build
a second Toronto international airport near Pickering.
Manipulative Hearings
Of these there appear to be three varieties :
1) One type appears to qualify as positive manip-
ulation (assuming one agrees with the objects of
those seeking public support) and is usually part of
a policy designed to generate public support either
for action recommended by a body which itself has
little power or for specific plans by government to
deal with powerful interest groups. The IJC has
itself acknowledged that it sees public hearings
as a mechanism to achieve the first object described:
"The Commission's established credibility and influence
-------
- 7 -
must be mainJ:aJji£&--aft€WTOp
public meetings, surveys and programs to disseminate
information) ... and be carried on in such a way
as to serve the important purpose of imrpoving the
Commission's position with respect to the public's
knowledge of and trust in the Cbmmiss"ion l"s--work".
As another writer has put it :
The
powers f
;u£po^t_jvh^n__j:jt_4najces__i1is_
.the qcLSiejcnments . . . public
pressure brought to bear upon the governments
may prove most effective in getting ...
action taken. The public hearing is the major
communications link between the Commission
and the public. Conducting these hearings is
the main way that the IJC build up public
support. This is a benefit quite apart from
receiving information and opinions, and from
the Commission's point of view is probably
more important.
As examples of hearings in situations where
governments desire to take strong actions but feel
the need to elucidate the problem before bringing
in what otherwise may appear as harsh laws one might
refer to the Cliche Commission inquiry into Quebec's
labour problems or the Anti-Crime probe in that
province. Out-of the Cliche Commission revelations
came laws putting the largest Quebec Construction
Union in trusteeship and reversing the traditional
burden of proof on a citizen to prove himself not
guilty of an offence - in this case of being a participant in an
-------
- 8 -
illegal strike.
2) In quite the opposite way, public hearings may
be an important part of a scheme whereby a govern-
ment not anxious to take action on a controversial
issue may gain reasons for inaction. Particularly
in hearings involving complex issues the public may
indeed become bored with the controversy or confused
by the differing expert viewpoints and in the result
the government appears to have some justification
for delaying action until "clearer evidence" emerges.
An example is the way in which the demand for action
over ambient air lead levels in residential neigh-
bourhoods adjoining secondary lead smelters in
Toronto has been handled by the Ontario Government.
It first refused to take any action, then appointed
a committee of experts to make recommendations and
then, after receiving the report of the experts,
decided to have the Environmental Hearing Board
undertake lengthy hearings on the recommendations,
which hearings were poorly attended and of such
duration as to leave not only the public but conc^
erned experts bewildered as to whether the Board
will be ever capable of coming out with a final and
clear recommendation for action.
-------
- 9 -
3) They may be an attempt by the power broker to
give token recognition to the concept of public
participation by providing some opportunity for
ventilation of opposing viewpoints. However, in
reality the hearing is part of a slick public rela-
tions program designed to "
—•<"
principle (or^oae alternative most favored by the
—— "~
proponent) by emphasizing the attributes and
glossing over or ignoring entirely the negative
aspects or further alternatives, "Planning" for
many hydro and highway routing projects has, in
the past at least, qualified for this category.
Having identified some uses of public hearings,
and having seen in these examples a variety of
different purposes motivating the hearings, it is
not surprising that the criticisms set out at the
outset, and others, continue to be made of such
procedures. For it is obvious that public hearings
are only one device that ought to be used to obtain
the public participation objectives of the procedures
with which they are connected. Public hearings,
as suggested at the outset, are too often viewed
as the panacea for public involvement and yet, given
the multitude -of specific objectives exemplified
above, in themselves may not be truly useful.
-------
- 10 -
It would appear from analyses done and ob-
servations made at some of the hearing processes
referred to above, that public involvement varies,
and that variation, it is suggested, is related
to the following :
a) the degree to which individuals or organized
groups perceive themselves to be affected
by the subject matter of the hearing;
b) the immediacy of the perceived action that
may result following the hearing;
c) the power or perceived power of the
institution supposedly interested in the
results of the hearing to take action on
issues raised at such hearings;
d) the ability of persons appearing at the
hearing to have any influence in regard
to the subject matter of discussion.
Assuming that persons feel that the conditions
above are such as to make their participation worth-
while, such participation may still be affected
by the following variables :
e) amount and timeliness of notice regarding
the subject matter of the hearing and the
degree to which such notice or other pre~
-------
- 11 -
hearing methods give information about
factors (a) - (d) above;
f) the degree of information in non-technical
language available prior to such hearings
concerning the subject of the hearing and
the availability of knowledgeable officials
to discuss such information;
g) the formalities of the hearing process, and
where formalities are present, the availa- .
bility of persons experienced with the
hearing procedures to explain these in ad-
vance, to prevent intimidation and encourage
/ participation, and the availability of
other resources, such as legal assistance,
money for research, or availability of
community organizers.
It is suggested that unless the public can
perceive the factors suggested and that the other
factors above identified are present, public hearings
may well be a wasted effort.
When hearings are held in circumstances which
give rise to such perceptions and are so organized
then participation may be more meaningful, positive,
and representative than were the forums criticized
in the remarks quoted at the outset.
-------
THE GREAT LAKES OF THE UNITED STATES AND CANADA
A Reader On
Management Improvement Strategies
Editors
Leonard B. Dworsky - Professor, Civil Engineering and Director, Water
Resources and Marine Sciences Center, Cornell University
Charles F. Swezey - Executive Officer—Canada-United States Inter-University
Seminar, Cornell University*
The Reader is based on the report of the Canada-United States Inter-University
Seminar, "A Proposal for Improving the Management of the Great Lakes of
the United States and Canada."
And Papers Prepared By
James A. Burkholder Natural Resources Management in the
Great Lakes Basin
Dale Reynolds An Information System for the Management
of Lake Ontario
An/id L. Thomsen Participation in Water and Land Management
Lawrence W. Saunders Toward a National Population Redistribution
Policy: Some Policy Issues
Donald R. Kisicki Environmental Management of the Great
Lakes International Boundary Area's: A
Case Study of the Niagara Urban Region
James M. Wolf Land Management in the Lake Ontario Basin
Douglas M. Carlson Management of the Biological Resources of
the Lake Ontario Basin
In Collaboration With
David J. Allee - Professor, Agricultural Economics and Associate Director
Water Resources and Marine Sciences Center, Cornell University
Charles D. Gates - Professor, Environmental Engineering, Cornell University
As Part of A
Great Lakes Experimental Operations Office
Established By The
Cornell University Water Resources and Marine Sciences Center
*Charles F. Swezey, currently Coastal Zone Ecologist, Office of Coastal
Environment, National Oceanic & Atmospheric Administration, Rockville,
Maryland
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BEYOND PUBLIC HEARINGS:
.. SUGGESTIVE TECHNIQUES FOR PUBLIC PARTICIPATION
IN A TRANS-NATIONAL RESOURCE MANAGEMENT ENVIRONMENT
Jerry Belli Priscoli, Project Manager
Innovation Information and Analysis
Project
Program of Policy Studies in Science
and Technology
The George Washington University
Washington, D.C.
Delivered:
International Joint Commission
Research Advisory Board
Standing Committee on Social Sciences
Public Participation Workshop
Ann Arbor, Michigan, June 24-25, 1975.
-------
BEYOND PUBLIC HEARINGS
Like beauty, what constitutes "public participation" is in.the
eyes of the beholder. At its basic level, participation means that
those affected by decisions should have a role in the making of such
decisions. Institutionalization of this citizen decision norm has
support in social contact and representational theory in.which elected
accountable officials are either trusted to make decisions or act as
a conduit for public views. However, as society has become more
*
complex, major social choice decisions have come to be made not in
institutional legislative environments but in less accountable Regulatory
2
Administrative and Planning environments. The citizen participation
movement of the 1960s was recognition of this shift in the locus of
•v
O
social choice decision making.
Beyond responding to the emergent institutional shift, public
participation is also a symptom of the increasing discontinuity between
the nature of social choice decisions (esp. Resources) and jurisdictional
boundaries. In this light participation is often looked to as a means of
•mobilizing a regional affected constituency without regard for jurisdiction or
boundaries. Such regional groupings can occur at the intra or
international level. Title II's R.B.C. and Federal Interstate compacts
are two of the more recent in a long series of intra-national U.S.
regional organizations designed to overcome the jurisdictional problems.
At the international level the concept of mobilizing regionally
defined constituencies into larger societal institutions has been at the
-------
5
heart of discussion on Nation-Building. However, the
mobilizing cross-national affected party constituencies around specific
Issue areas without regard for jurisdiction boundaries in order to
simultaneously influence multiple national planning and/or administrative
decisions is still relatively new academically. Some authors have
recently gone so far as to suggest application of a modified Title II
intra-national body to the international problem of the treat Lakes.
The fact that public participation is done intra or internationally,
or can be part of administrative, planning or legislative functioning,
•complicates the difficult task of clarifying the goals of public
participation. Any evaluation of public participation, either generally
or in specific cases, must be done against some goals of such programs.
The water resources planning literature and actual programs often fail
8
to clarify the nature of such goals. At the broad level it is possible
to classify the goals of public participation as data generation;
evaluation, and public services. Data generation refers to defining needs,
.for the .public of a _jpg1nn. Evaluation generally
involves identification of alternative action, impact location, and
potential social reactions. The public service goals of participation include
representing the public, acting as a "surrogate" public sounding board,
aiding in publ-ic acceptance of a plan and/or decision and helping to
develop a consensus in a region.
In general, governmental regulatory decision making is most concerned
with evaluating goals of alternative identification, impact location and
reaction. Long "term government planning, while concerned with evaluation,
is more likely to be involved with the goal of data generation on regional
needs, issues, and goals. Traditional legislative decision making and,
-------
indeed, some short term implementation planning tends to focus on service
goals such as plan acceptance and representation.. Thus, the multiplicity
of goals embodied in public participation depends on the functional and
geographic characteristics of decision making environments as well as the
multiple perceptions of those actually involved in implementing' such
programs.
*4
The problem of evaluating techniques for public participation then
becomes one of matching component techniques to specific goals and
.implementing the appropriate techniques in management. The specific goals
being matched depend in great measure on the decision making environment
within which the public participation program is operating. *. .
»
There is a multiplicity of techniques available for public participation
Q
programs. Their effectiveness depends on what goals they are expected
to serve and in what type of decision environment they are used.
striking fact of the literature on public participation is its
emphasis on techniques coupled with an absence of contextual analysis of
the effectiveness of these techniques.^ Legislative requirements for
public participation programs by failing to provide specific guidelines
encourage the concentration solely on technique. Each program must spend
a major portion of its energy and resources deciding which technique is
•« — . — — -- — — — -- • "" _ _ __ ^-"
appropriate for their study.
The danger of a solitary emphasis on technique, besides obscuring .
important goal considerations, is the encouragement it gives to non critical
borrowing and adopting of techniques. For example, a "community action
program" used in one model city may not be suitable for- use in another
model city, much less in an international environment. Therefore, in
order to avoid the dangers of overemphasis on technique, the managers of
-------
public participation programs must establish their goal priori
on the basis of these priorities, plus cost, evaluate which techniques
would best serve which goals.
Complicating the problem of matching techniques to goals" is the
basic confusion in public participation between the citizen as actor and
the citizen as data base. Sometimes public participation is thought to
be "public" decision making, while at other times it is taken to mean
expanded consideration of social impacts both long and short run. Public
participation in its broadest sense can and should combine data gathering
on populations and activity of elements from that population. - Furthermore,
it is not necessary that the active elements of a population should be
those who generate data on that population. Data generation can be done
by numerous experts. To move beyond public hearings, public participation
must seek varying combinations of skills built on integrated use of social
science expertise and population opinion leading elites. Since there is
no "one way" to find the balance the remainder of this paper offers
suggestions as to how multiple techniques can encourage both activity by
elements of population; and generation of data on those populations in
terms of the broad goals of public participation.
Techniques of doing public participation can be seen falling into
five broad categories: organization frameworks, field work, simulation,
expert paneling, survey work, base line data generation, and
- political-legal techniques. Within each of these broad areas several
specific techniques can be identified.
Table 1 is a matrix placing techniques of public participation against
^ the goals of public participation. The checks in the cells indicate a
subjective evaluation as to what techniques best serve which goals.
-------
Traditional
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While each technique can have an effect on other goals the fin
of the chart is to relate techniques to their best suited goals.
For instance, one of the major problems with citizen advisory
committees is that citizen'advisors are recruited on the basis of one goal,
and are expected to serve multiple goals. As the chart demonstrates
e • — "• " ——-^
CAC's serve best in a broad services capacity by actinias a sounding
_^____-._—________^__^___^__ ^ ——^ ~ -S
r_ . _ .
board or becoming opinion leading elites. While CAC's can'generate data
on public needs, issues and goals, they are likely to be inaccurate sources
of such data because they are by nature selective and non-representative.
CAC's also run the risk of producing misleading evaluations of alternative
action calculations, impact location, and potential reactions. If _
citizen advisory committees are seen in inte'rest aggregation roles as
representatives for a region, they can undermine the credibility of
legitimate representative institutions.'^1 However, if CAC's break down
structural separation of citizen-planner; develop cross-role functional
coalitions of interest, and recruit a broad range of interest group
leaders, they can act as an effective mechanism for cooption and integration
of opinion leading elites.into decision making.
Major alternative organizational frameworks to CAC's for incorporating
public values into the social choice process are technology assessment (TA),
advocacy hearings and Ombudsmen. TA represents a relatively new research
framework designed specifically to locate secondary and unanticipated
12
consequences of alternative actions. As such its main strengths rest on
its ability to identify needs, issues and goals as well as to evaluate such
data. Recent attempts have been implemented in combining both a TA framework
13
and CAC structure.
-------
- r
Advocacy hearings represent a middle ground between a pfr8*fi& Mai
and a full scale trial in a lower court. Such a technique is really a
fine tuning of the public hearing technique; it attempts to overcome the
open-ended nature of hearing procedure, the lack of rules of evidence,
and the short commentary periods of such hearings. As such advocacy
hearings are geared to evaluation and broad service goals. They are also
>
often seen as means for reducing litigation and court burdens.-
An Ombudsmen approach is best suited to-short turn around responsive
situations. Such an institutional arrangement is primarily useful as a
sounding board, surrogate public representative and location and reaction
index for impacts. Telecommunication techniques, such as "wired city,"
IB
"televoting," etc. are also useful as means for locating impacts, a
sounding board, and data generators. However, both of these techniques
suffer by the fact that the quality of data is limited by changes ir, sample
size and that they, by overburdening the public with choices run the risk
of inducing political apathy.
Field techniques, are primarily suited to evaluative and broad service
goals. Workshops have frequently been used in water resources planning,
demonstrations in administrative implementation decisions, and field _
offices in monitoring programsP While workshops have often stressed their
role in data generation, the selective ad-hoc nature of those attending the
workshops weakens the validity of the data generated. However, workshops,
if properly structured with clearly defined roles and objectives can provide
interesting evaluations of alternatives, impact locations,.and potential
reactions. The workshop's manageable number of people offers unique
opportunities ranging from graphic display to encounter techniques.18
-------
- 8 -
Field offices, because of continual commitment to monitoring*^?
provide important longitudinal impact location and reaction data if
classification of data is well conceived. On the other hand, the high
degree of institutionalization and links to "official" bodies character-
istic of field offices inhibit their "public credibility." Demonstration
projects are usually aimed toward selling or educating the public to a
project, not encouraging participation. However, it is p'ossible that
demonstrations repeated over time can provide unique social laboratory
.conditions from which trained experts can monitor relationships between
changes in project content and changes in public attitudes while controlling
time and geography. . .
Participant observation by the public of all planning, legislative
and administrative decisions which effect them has roots in the concept of.
^_—_
town meetings. Depending on the degree to which "observer" publics actually
participate in any decision environment, excellent selective data on needs,
issues and goals can be accumulated from public participation observation.
As the stakes in actual decision process rise, the necessity of making value
choice trade-offs also rises.. From the arguments over values, issues and
goals, profiles of the participants emerge. Unfortunately, constraints of
size and recruitment limit the number of publics who could participate.
Employment of telecommunication techniques could open up decision environments
to increased observation yet such techniques are not likely to increase
participation; they also run the risk of turning decision making into a
spectator sport."
While simulation techniques have been frequently used in technical
water resources planning.-integration^fbcial -analysis into them has--proyed a
difficult task. The major problem with simulation techniques is that they are
-------
•" 9 — . • ... rsosW5*3-]'
used to project the optimal political environment possible for^pfarr*
support. However, in the absence of data and uncertainties of reaction
of future contingencies, simulation can provide excellent evaluative and
data generation.
Many varieties of simulation from machine-machine to man-machine exist.
While machine simulation has the advantage of generating models with
small staff and near laboratory conditions, it is orily as good as the data
provided. Such simulations often have difficulty sensing new social
20
~ . parameters. Man-machine simulation, though suffering from selective data,
has the advantage of allowing for interaction of planners and other publics
-in advisory group structures or workshop settings. The KSIM cross-impact
- simulation system for water resources planning has been helpful in
problem formulation, variable identification and impact location and reaction.
^ Gaming and role playing are spin-offs of the man-machine simulation
v discussed above. Like simulations, data generated by these techniques.on
the evaluation process and impact reactions can be significant. Games have
been developed in business, education, urban areas, ' civil rights, health
22
care, ecology and politics and government. Even Technology Assessment
has seen innovative attempts at gaming in the forms of the BREAKTHROUGH
23
games—Energy Crisis, TA, and R&D.
Other game-like simulations such as the computer-aided graphic
instruction network PLATO in Illinois, or Harold Lasswell's social
planetarium and future firms are innovative attempts at participatory future
24
projection.
Games can be as limiting as they are useful. The closer role playing
' < comes to the real world, the more valid the game. Yet as the game
— increasingly approximates the real world, the necessity for such a game
decreases.
-------
- 10 -
T\ D A r a
Simulation can offer numerous ways of limiting variables, building
scenarios and generating data. They are, however, limited by the nature
of participants, the requirements for specific expertise and their
basically heuristic nature. All too often simulation is used as a
convenient substitute for the "real political" world and as a crutch to
decision makers, making them feel that they have made manageable the
unmanageable.
. Because of their relatively low costs in time and money expert paneling
techniques are most frequently used in technology forecasting and technology
25
assessment studies. With proper controls, clear research designs, and
well-designed questions, expert panels can be a very effective mechanism
for generating data and providing evaluation. In some cases, such as "Policy
Capturing, they can also be used as a mechanism for public-expert interaction
to develop value preference profiles on key issues. They can also uc
f)C
combined with workshops and citizen advisory groups. Possibilities of
27
expert paneling range from brainstorming to formal Delphi techniques.
Such expert techniques are built around the concept that experts about
f
a population are generating data on that population. When combined with
surveys or other techniques involving elements of specific populations;
experts can provide comprehensive data and evaluation background for minimal
costs. However, in order to be fully used they require experienced
management.
0
Without doubt the best method to get at "the regional public" values
and attitudes is survey "research work. There is a range of possible survey app
all require expertise and money. To a surprising degree, however, some of
these problems could be avoided by using a,specialized market research
• \
firm offering specific survey pack-ages at varying costs. ' Attitude,
-------
opinion and value surveys will provide the best data on a regional
population and, when combined with theoretical research, very solid
evaluation. Selective telephone surveys and/or interviews are inexpensive,
relatively easy, and offer possibilities of combination withother field
work techniques. One innovative compromise approach used in a recent
technology assessment is a"mini-survey-bayesian"statistical analysis used
28 • •
as a check on expert panel social impact projections. As this mini
survey suggests, there is a great deal of room for experimentation in this
area.
Beyond survey work, certain other possibilities for extending data
generation on populations exist. For example "election" data can provide
»
issue salience profiles for regions and base projections of a population's
political response. Geo-coding techniques of displaying and aggregating
census data are increasingly belngused in health care planning.
further area that is generally neglected is the use of secondary survey
analysis and data banks as bases for developing population profiles and
30
assessing possible impacts. Advantages of such techniques are that they
are relatively accessible and inexpensive. Disadvantages are that the data
is time bound, and classification systems might not be well suited to all
decision environments. Also access to and integration of such data calls
for extension of expertise to social science areas.
Traditionally, participation of the public has meant voting for
^presentation. All too often the significance of both the vote andtKe
-v. , • — '
legislature is passed off.- as meaningless, over political, and non-technical
Nevertheless, insofar as decisions are key social choice decisions, use of
traditional modes of public participation is particularly crucial in
performing broad service roles of decision acceptance and representation.
-------
Thus, use of referendums and politicization of issues in campaigns
' should also be .considered as participation options. Closer integration
of legislatures and their representatives to non-legislature decision
making environments is another critical option.
i , Conclusions
Having presented various techniques and goals of public participation—
What is the decision maker left with? What guidelines should (s)he follow?
1 To begin with, there is no "one-way" to "do" public participation.
Techniques depend on clear articulation of goals which itself depends on
the decision making environment. The decision making environment can be
characterized in various ways, but for public participation the geographic
and functional characteristics are most important. Once having established
, goals, the best general policy is employment of multiple techniques built
on Integration of a wide range of expertise, government officials, and the
general public.
It is most important to distinguish when activity by_ people of a region
is needed as opposed to data and projections about people in a region. The
first instance calls for selective recruitment of opinion leading elites.
The second requires social science expertise. Correct phasing of these
elements in the decision making environment is critical.
Finally, in any case where "public participation" is deemed necessary,
t
multiple links between decision makers and the public should be maintained.
No one group of citizens or techniques will be representative of the public.
Thus, such links-can provide mutual checks on varying source input to
decision making.
Overall, the greatest payoffs for most non-legislative decisions will
come through the enhancement of base line data techniques—particularly in
-------
use of secondary survey analysis. More emphasis should also be placed
on primary survey techniques. However, the most likely techniques to be
refined, due to cost problems, are expert panel techniques. Beyond these
techniques lies .the opportunity for citizen advisory groups of opinion
leading elites, and social science experts to .combine' with government
officials in developing a variety of techniques.
Public participation as a concept is tooc^oriboVically important to
~~ ~~
be employed
Needed .is a clearer
emphasis on goals to be attained and less fascination, with employment of
techniques simply because they exist. The Harvard Political Scientist
Samuel Huntington offers a caveat pertinent to the current indiscriminant
use of the public participation concept. He states:
To the extent that Americans become carried away " • .
by their political ideals, they are in danger of
doing away with their political institutions. 31
-------
FOOTNOTES
1.. For background on this dualism note: "Burke and His Bristol
Constituency" and "Burke and the French Revolution" in Essays
on Government (ed) by Ernest Barker, 2nd Ed., Oxford, 1951.
Also; Social Contract (ed) by Ernest Barker, Oxford University
Press, New York, 1962.
On this legislative-executive relationship note: S. Huritington,
"Congressional Responses to the Twentieth Century: in The
Congress and America's Future (ed) D.B. Truman, Prentice-Hall, Inc.
1965.
3. 'For further expansion on this ppint note: William B. Eimicke,
Public Administration in a Democratic Context: Theory and
. Practice. Sage Professional Paper: Administration and Policy
Studies Series #03-016, Beverly Hills, 1974.
4. For background on such jurisdictional -problems note: Martha
Derthick, Between State and Nation: Regional Organizations of the
United States. Brookings Institute, Washington, D.C., 1974.
5. Note: Karl W. Deutsch and W.J.. Foltz (ed), Nation Building-.
Aldine Press, Chicago, 1966; K.W. Deutsch, Nationalism and Social
Cpmmun. ication, M.I.T. Press, Cambridge, 1953.
6. Within the field of International Relations the movement of study
to Transnational Relations is such an example. Note: R.O. Keohane
: and J.S. Nye, Jr. (ed), "Transnational Relations and World Politics,"
International Organization, Vol. XXV, No. 3, Summer 1971.
7. For example: L.B. Dworsky, G.R. Francis, C.F. Swezey, "Management
. of the International Great Lakes," National Resources Journal,
Vol. 14, No. 1, January 1974, pp. 103-139.
•
8. On this problem of goal clarification and the following typology
note: Jerry Delli Priscoli, Public Participation in Level B
Planning: A Preliminary View, Special Consulting Report to the
•U.S. Water Resources Council, Washington, D.C., October 1974.
-------
For suggestions and analysis of techniques of
in fields other than water resources planning; note: Richard
Yukubousky "Community Interaction Techniques in Continuing
Transportation Systems Planning: A Framework for Application" in •
Citizen Participation and Housing Development. Transportation
Research Board, National Research Council, #481, 1974:
R. Yukubousky "Citizen Participation in Transportation Planning - A
Selected Bibliography," New York State Department of
Transportation. Albany, May 1972.
10. Various political scientists ha*e raised some concern over this
• - .- problem, note: Lyle E. Schaller, "Is the Citizen Advisory Committee
a Threat to Representative Government?" Public Administration
Review, 24:3, September 1964rr;_ 179; Nelson W. Polsby and A.
Wildavsky, "Toward Participatory Democracy?" The Wall Street Journal.
August 3, 1972. x-
11. For further development on these points note: Jerry Delli Priscoli,
"Innovations in Public Participation in Water Resources Planning,"
• • - -Proceedings of the Second National Conference on Water Reuse:
"Water's Interface with Energy, Air and Solids. American Institute
of Chemi.cal Engineers, Chicago, May 7, 1975.
12.
For good overviews of Technology Assessment note: Vary T. Coates,
-lecnnology and Public Policy: Tne Krocess or 'lechnology Assessment
•in the Federal Government, Program of Policy Studies in Science and
Technology, The George Washington University, Washington, D.C.,
July 1972: Francois Hetman, Society and the Assessment of Technolo
. - - . Premises, Concepts, Methodology, Experiments, Areas of Application,
Organization for Economic Cooperation and Development, Washington
- "and Paris, 1974.
13. Note: Technology Assessment of Terrestial Solar Energy Resource
Development, Arthur D. Little, Inc., Cambridge, Mass.; Note:
Sherry Arnstein "A Case History Stressing Public Involvement in
TA— " in TA Update '74: ISTA Conference Series on Technology
Assessment (ed) R.C. DiCicco and J.R. Wall, Control Data Corp. ,
Arlington, Virginia, September 1974.
f
" -
14. On this point note: Grant P. Thompson, Courts and Water: The
Role of the Judicial Process, NTIS Acquisition #RB 211974. .
15. On this point note: F.A. Anderson, NEPA in the Courts. Baltimore,
Johns Hopkins University Press, 1973.
-------
23.
16. On this point note: T.M. Clement, Jr., and Pamela iT Mountain,
Engineering a Victory In Our Environment: A Citizen's Guide to
the U.S. Army Corps of Engineers, Washington, D.C., U.S. Government
Printing Office, 1972.
17. On the general subject of Onbudsman note: Stanley V." Anderson (ed)
Ombudsmen for American Government?, Prentice-Hall, Englewood
Cliffs, 1968, and Larry B. Hill, "Institutionalization, the
Ombudsman and Bureaucracy," American Political Science Review,
Vol. LXVIII, September 1974, No. 3, p. 1075.
• 4
18. For an interesting look at Telecommunications, techniques and the
policy process note: Fred B. Wood, The Potential for Congressional
Use of Emergent Telecommunications: An Exploratory Assessment,
.Program of Policy Studies in Science and Technology, The George
• Washington University, Washington, D.C., May 1974, Monograph #20.
19. There is a great deal of literature on this point. One of the best
. -places to start is with The Susquehanna Communication Participation
• Study, T.-E. Borton, et al., Michigan University, Ann Arbor,
December 1970, NTIS, #AD 717-023.
20. For general overview of concepts in simulation-and modeling, note:
Denis L. Little, Models and Simulation—Some Definitions. Institute
for the Future, Middletown, April 1970.
21. Note: Pamela A. Kruzic, Cross-Impact Simulation in Water Resources
Planning, Stanford Research Institute, November 1974.
22. Note: David W. Zuckerman and Robert E. Horn, The Guide to Simulation
Games for Education and Training, Information Resources, Inc.,
Cambridge, Mass., 1970: Peter House, "An Environmental Gaming
Simulation Laboratory," American Institute of Planners Journal, Vol.
35, No. 6, November 1969: Note: Urban Systems, Inc., SMOG, DIRTY
WATER, ECOLOGY and POPULATION.
f
On such games note: Craig Decker, "Dissemination and Testing of a
Set of Technology Assessment Games for Encouraging Public
Participation in Technology Assessment." Program of Policy Studies
in Science and Technology, The George Washington University, November
1974.
-------
24. H. Lasswell "A Community Decision Center on Social Planeta'ri
T. Vonier and R. Scribner, "Community Information Expositions,
Issue Orientated Displays and Popular Understanding of Social
Problems," AAS, 1973, Stuart Umpleby, "Is Greater Citizen
' Participation in Planning Possible and Desirable?" Technological
Forecasting, and Social Change, No. 4, 61-76.
25. Op. Cit.; Hetman, Society.
26. Jean Johnson, Policy Capturing, Mini -Technology Assessment for
World Futures Society, December 4, 1974. • '
27. For some. further background on these points note: Selv/yn Enzer,
... Delphi and Cross-Impact Techniques: An Effective. Combination for
Systematic Features Analysis, Proceedings of the International
•" Future Research Conference, Kyoto, Japan. J.R. Salancik, W. Wenger
and E. Heifer, "The Construction of Delphi Events Statements,"
Technological Forecasting and Social Change, Vol. 3, 1971, pp. 65-73;
"'Denis Little, "Social Indicators, Policy Analysis and Simulation,"
... - Futures, September 1972, p. 220.
28. Kurt Finsterbush and P. A. Weitzel-O'Neil , A Methodology for the
Analysis of Social Impacts, Braddock, Dunn and McDonald, Inc.,
"... August 1974.
29, Note: U.S. Department of Commerce, Census Use Study (CUS), Report
#15, June 1974.
30. Note: Herbert H. Hyman, Secondary Analysis of Sample Surveys
Principles, Procedures and Potentialities, John Wiley & Sons, Inc.,
1972.
31. Samuel Huntington, "Paradigms of American Politics: Beyond the
One, the Two and the Many," Political Science Quarterly, Vol. 89,
No. 1, March 1974, p. 22.
-------
-------
'what to Look for in a 208 Public Participation July 22, 1975
1'rojram
I-'rsak iU Corrado, Director
uffice of Public Affairs
20 y 'Project Officers
iiara is a brief guideline for judging work by 208 agendas on
their public participation prograsa. Soae of it is subjective,
but all of it is baaed oa past expariaoce.,
ifud:;®^ - The See. 10I(a) budget should be around 10% a$
a iainiiatca. Public Affairs would lika to review sub-
coatraeta in excess of $2500 for cost effectiveness.
- Any public participation program in excess of
$50,000 in total costs should have a Kdniaum of one full
"tiaa parsoa assigned to public participation, All other
program, no matter what siaa, should hava the equivalent
of oatj tian-yaar for this activity. There nust bo a
specific contact for public participation in eacy
i-ll:iiaiua P r o g rara - jxny 203 program isutft at the outset
ostabliah a jaachanisra that affirmatively aeeks to involve
all 5?ajar poitits* of view ia the region (fanner, citizen
activist, real aateita developer, labor,, industry) ia the
process,
Ala a, each prosrans nust davelop a r-KJcaanism which is opea-
eftued ao that usahers of tha general pxiblic who ^-?is£i, caa
participate in the plao d^velopffisat.
llj is necessitates aii information prog'caa that informs the
general public that ths plan ia under davelopznent and that
participation is possible.
Therefore, ay a aiaiaiua, each program should have*
1. a cltisen* cdviaory board whidi neets oa a monthly
basis p-uhllcly to raview piaa devBlopseat and eocsaent.
Technical rasourcaa needed by tha committee to help it
review tha progr^sa should be provided by a specific
contact.
2. a public iuforsation program should be put togather
which iaforiua tha public, via isaas Eiedia, of tha 200
process. Nam 3 of cOiS.:d£tee me sab a rs should ha proia-
incntly publicised for public input. Public Ee
- nora -
-------
— 2 —
should be held at key stages by the advisory coimittee
for public review.
Special Cases - In special cases where thera has been
sigaificant public interest on public participation in the
203 process, like HPIC, and where there is significant
budget resources, a. staff person on the 208 agency who is
directly responsible to the citizens advisory committee
is advised. This implies that the person is chosen for the
job by the advisory consmittee.
Technical Assistance - During the first few months, Region
V Public Affairs will provide technical assistance in plan
development to EPA 208 project officers. As of this time
a "cookbook11 has been prepared for each agency v;ith public
participation ideas. Shortly, a slide show will be raade
available for each agency to use.
At the same time, Region V State public affairs directors are being
trained in public participation activities in order that they irdght
take over technical assistance on public participation by October
of this year.
For review of budgets and/or other technical assistance at this
tiia© pleas a contact Frank Corrado 3-5800 or com. line 337.
Frank M. Corrado
cc: Skip Price
Bill Cloe
James Bowyer
State ?AOs
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*"•
h-.- '1
t :
f.
K-
by Alvin Toffler
Noted futurist author Alvin Toffler, the originator of the term
"anticipatory democracy," here explains what it is and what
he thinks it can accomplish. Toffler believes that democratic
political systems face two crucial problems today —lack of
future-consciousness and lack of citizen participation. Anti-
cipatory democracy is designed to cope with both these prob-
lems simultaneously.
Anticipatory democracy is a pro-
cess—a way of reaching decisions that
determine our future. It can be used to
help us regain control over tomorrow.
Two crucial problems endanger the
stability and survival of our political
system today.
First: Lack of future-consciousness.
Instead of anticipating the problems
and opportunities of the future, we
lurch from crisis to crisis. The energy
shortage, runaway inflation, ecological
troubles —all reflect the failure of our
political leaders at federal, state, and
local levels to look beyond the next elec-
tion. Our political system is "future-
blind." With but few exceptions, the
same failure of foresight marks our cor-
porations, trade unions, schools, hospi-
tals, voluntary organizations, and com-
munities as well. The result is political
and social future shock.
Second: Lack of participation. Our
government and other institutions have
grown so large and complicated that
most people feel powerless. They com-
plain of being "planned upon." They are
seldom consulted or asked for ideas
about their own future. On the rare oc-
casions when they are, it is ritualistic
rather than real consultation. Blue-col-
lar workers, poor people, the elderly,
the youth, even the affluent among us,
feel frozen out of the decision process.
And as more and more millions feel
powerless, the danger of violence and
authoritarianism increases.
Moreover, if this is true within the
country, it is even more true of the
world situation in which the previously
powerless are demanding the right to
participate in shaping the global future.
Anticipatory democracy (A/D) is a
way to tackle both these critical prob-
lems simultaneously. It connects up
future-consciousness with real partici-
pation.
Thus the term "anticipatory"
stresses the need for greater attention
to the long-range future. The term "de-
mocracy" stresses the need for vastly
increased popular participation and
feedback.
There is no single or magical way to
build a truly anticipatory democracy. In
general, we need to support any pro-
gram or action that increases future-
awareness in the society, while
simultaneously creating new channels
for genuine, broad-based citizen partic-
ipation. This means, among other
things, an emphasis not on "elite" or
"technocratic" futures work, but on
mass involvement. We certainly need
experts and specialists; they are in-
dispen^able, in fact. But in an anti-
cipatory democracy, goals are not set
by elites or experts alone. Thus, where
futures activity exists, we need to open
it to all sectors of society, making a.
special effort to involve women, the
-------
.r
•11
Alviii Toffler appears at a re-
cent congressional meeting on
future thinking. Speaking is
Senator Jolin C. Cuher, an
low a Democrat who is a lead-
ing ach ocate of futurism in
Congress.
Photo: Sally W. Cornish
>
*- <~
poor, working people, minority groups,
young and old —and to involve them at
all levels of leadership as well. Conver-
sely, where participatory activities ex-
ist at community, state, or federal
levels, or within various corporate or
voluntary organizations, we need to press
for attention to longer-range futures.
A/D Activities Take Many Forms
Anticipatory democracy may take
many different forms, including the
following:
1. Creation of city or statewide
"2000" organizations. These bring
thousands of citizens together to help
define long-range goals. These goals are
sometimes then embodied in legislation.
Examples include Hawaii 2000, Iowa
2000, and Alternatives for Washing-
ton—all three at the state level; Seattle
2000 at the city level. Some sort of
"2000" activity has been identified in
over 20 states.
2. Certain important movements
in American society are inherently pro-.
participative: they work to open the
society to the full participation of
women, ethnic minorities, the elderly,
the poor, or others who are frequently
excluded from decision processes in the
system. Working with these movements
to introduce greater future-conscious-
i less, more attention to long-term goals,
•iv. arenes? of new technologies or social
trends that may impact on them, con-
tributes to the spread of A/D.
3. Media feedback programs.
Radio and TV audiences are seldom
given a chance to voice their views —
particularly about the future. The use
of TV, radio, cable TV, cassette, the
print media and other communications
systems to present alternative futures
and provide channels for audience feed-
back simultaneously increases both par-
ticipation and future consciousness.
4. Congressional reform. Passage
of a "foresight provision" (HR 988) in
the U.S. House of Representives now
for the first time requires that most
standing committees engage in futures
research and long-range analysis. By
strengthening the Congress vis a. vis the
Executive Branch, it increases the po-
tential for democratic participation as
well. For example, anticipatory democ-
racy organizations like Alternatives for
Washington or Iowa 2000 could
systematically feed citizens' views on
the future into foresight discussions in
Congress. We need "foresight provi-
sions" in the Senate, and in state legis-
latures and city councils as well.
5. Community Action Programs.
Nearly 900 CAPs exist in all parts of
the nation. Aimed at combatting pover-
ty, they all involve some form of partici-
patory planning, often neighborhood
based. Attempts to strengthen partici-
pation and to extend planning beyond
the short term also help the move
toward anticipatory democracy.
6. Referenda. There are many
ways to link referenda to long-term
future issues. (The British just made a
long-range decision to stay in the Com-
mon Market—and relied on the referen-
da to tell Parliament how the country
felt on the issue.)
7. Steps aimed at involving
workers, consumers, minorities,
women, and community groups in deci-
sion-making in industry and govern-
ment—when linked to long-term plan-
ning—further the process of A/D. The
Congressional Office of Technology
Assessment, for example, has an active
Citizens Advisory panel that becomes
deeply involved in decisions about the
very long-range effects of new tech-
nologies. Movements for worker partic-
ipation or self-management in industry,
for consumer watchdog agencies, for
participatory management can all be
encouraged to become more future-con-
scious. Unless participation affects the
planning process, it has little impact.
8. Futurizing the programs of
organizations like the Young Women's
Christian Association, the Red Cross, or
the National Education Association—to
choose three at random—helps spread
the necessary awareness through the
network of existing voluntary organiza-
tions.
9. Opening up global or transna-
tional organizations to greater partici-
pation and future-consciousness. The
United Nations conferences, especially
the informal meetings that occur
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simultaneously with them, are oppor-
tunities for introducing A/D on the
global scale. Such conferences as those
devoted to the law of the sea in Caracas,
population in Bucharest, environment in
Stockholm, food in Rome, women in
Mexico City, and the forthcoming one
on human settlements in Vancouver are
events at which globally-oriented peo-
ple and non-governmental organiza-
tions with local constituencies can get
together to exchange information and
strategies, and to influence formal
policy.
10. Creation of participatory plan-
ning' mechanisms within community
organizations. For example, bringing
the entire membership of a church, or a
"A sjsfem break of some kind is com-
ing; a new civili/ation is beginning to
emerge."
Porslblo A/D
Members of Alvin Toffler's A/D
(Anticipatory Democracy) Network
compiled the following list of possi-
ble A/D activities. They emphasize
that these are some possibilities —
not necessarily recommendations. It
is up to you to decide whether any of
them are appropriate. You may want
to adapt them or, better yet, invent
your own!
o Visit your city council or state
legislature and urge passage of a
"foresight provision" modelled after
H.R. 9S8 in the House of Represen-
tatives.
o Set up "futurist consciousness
teams" to attend political rallies and
meetings. These teams would ask
speakers to explain what effect their
proposed programs might have on,
say, the year 1985 or 2000. By press-
ing for a discussion of long-range
consequences, the entire political
discussion is raised to a higher level.
Another question that can be asked:
"If we don't really know what effect
your proposal will have by 1935,
\\hat proceduies ought we to be
following to find out?"
o Phone a radio talk show and sug-
gest a program on the future, invit-
ing listeners to suggest goals for the
community over the next 15 or 25-
year period. Such shows have
already been tried out in San Diego,
Dallas, Atlanta, Xuw Orleans, and
other cities. A good response can be
used to get interested listeners
together to form an A/D group.
o Contact the city or state planning
agency and suggest citizen partici-
pation activities like Alternatives
for Washington. Provide the agency
with the names of individuals v,ho
will take the initiative in organizing
these activities, and sources of infor-
mation on previous activities of this
kind.
o Get a group of futurists to visit
the nearest Community Action
Agency or Community Action Pro-
gram and a?k: 1. What the futurists
can offer in the way of methods, in-
sights, perspectives. 2. What the
futurists can learn from community
experiences with public participation
in planning.
o Organize speaking teams for
community groups that express an
interest in A/D or futurism.
o Working with your local Bicen-
tennial planning group, arrange for
an anticipatory democracy booth at
local events. Use booth to distribute
A/D literature, but also to get ideas
and criticism about the future of
your community from the public.
o Approach major companies in
your area and ask them to make
public in at least a general sense
their plans for new investment, jobs,
technologies, etc. Publicize their
reactions a.- well as their plans. Ask
to what degree consumers,
employees or public officials were
consulted in drawing up the plans.
x "< ,
"There is a tremendous amount o
pent-up political emotion in this conn
fry. People feel (liaf (lie future is bein{
bumbled aviay."
o Place ballot boxes in local super-
markets, shopping centers or
movies, with ballots asking passers-
by to check off the three things they
most like and the three things ihey
most dislike about the community.
Pass findings to local press and rele-
vant officials. What are they doing
now to preserve the good and eradi-
cate the bad by 1985?
o Organize an open discussion of
long-term goals in a church or syn-
agogue to define its purposes in rela-
tion to the community over a 10 to
25-year period.
o Working with doctors, the nurs-
ing association, and other com-
munity health groups, try to organ-
ize a community-wide "health
plebescite,'' asking, through the
mass media and other channels, for
ordinary people to tell what they
think is wrong, and what they think
will be needed to improve health ser-
vices by 19S5. Compare their
priorities with the local health
budget.
o Approach parent-teacher associ-
ations, teachers' organizations, and
students to run an Education 1935 or
Education 2000 Conference through
which parents and teachers, as well
as professionals, have a chance to
voice problems, hopes and fears
about the future and to suggest ways
of futurizing education.
Anticipatory democracy is not a
single "thing" —it is a process. It can
be created in a wide variety of ways.
It's up to you to create your own.
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?
"NVlr.it I call 'the general crisis of in-
dustrial society' has hit the global eco-
nomic system."
Tovtfeii1 £tjCf;Ec.8 on
o I TV r L: • ; a
m L-ol[i:i:oB
America's continued economic problems have caused many
people to reevaluate their opposition to long-term planning.
But government and industry are still under the influence of an
industrial mentality which assumes that planning must be
centralized and hierarchical. Future Shock author Alvin
Tofiler believes that the multichannel super-industrial society
now evolving will require a flexible, decentralized planning
process open to ordinary people as well as experts.
broadly representative group of
parents, teachers and students in a
school, or patients, medical staff and
service employees in a hospital into the
planning process advances anticipatory
democracy. Provided the process is
truly paiticipatory and the time horizon
reaches beyond, say, 10 years, it
str. Athens A and helps educate people
to ji1-'; -i more active role in the national
politic-1 system as -veil.
11. Democratizing the World
future Society through expanding its
Membership to include groups now un-
di • nrf,-_. iiled, ana to assure fully
dernocra1 V internal procedures is yet
another L'. •[> In the direction of A/D.
Preventing futurism from becoming
prematurely aeademicized or super-
proftssionali/.ed helps avoid its use as a
tool for mystification of the public.
These are all examples of A/D ac-
tivity. They are not given in any order
of precedence, but they reflect the
diversity of possibilities. Dozens more
could no doubt be cited. We need to iii-
rciit many additional kinds of A/D ac-
tivity. This will require the help of
millions of people from every discipline,
from every walk of life, every profes-
sio", filmic and clas< background. A de-
rn _y that doesn't anticipate the
f i. cannot survive. A society that is
;, .id at anticipating but allows the
future to be captured by elites is no
lunger a democracy. As we move into
the future, anticipatory democracies
will be the only surviving kind.
A!\ in TofOr i- the author of Falun Sli'fk
;,! cl Tin Kco-.^i'iinn Itijitjit. Fur mort nsfor-
ir.aiio'-; on }.:< -iriticipatury
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A ) \ / •* / H ? ^. / A 7 A / S
» --'--' ..-,',-> .V'-
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.
epistemological assumptions about
time1, space, causation, certain concep-
tual models about how society works.
Put those all together and you have a
culture. And it is that culture which I
think is now unraveling —and that may
well be the best news that the planet
has had in about 300 years."
Bureaucracies Are Obsolete
The demise of industrialism is no
cause for pessimism, Toi'ler insisted,
because industrialism assumed that
"certain types of structures could han-
dle all the basic decisions necessary to
manage the society." But those struc-
tures--bureaucracy, parliamentary de-
mocracy, and centrali/.ed planning —are
breaking down today. Bureaucracies
work best in a routine, orderly, predic-
table environment, but we no longer
have such an environment. Centralized
"Acceleration is one of
the key features of the
super-indus tria I
revolution," Toffler
declared. "Events are
occurring so fast that we
forget them before we
Jia.ve had a chance to
learn from them."
-Alvin Tojjl.er
planning has shown seiious weaknesses
and even the communist countries are
trying to decentralize the planning pro-
cess because of the enormous informa-
tion overload at the top levels." Parlia-
m<.-ntary democracy is now under
severe attack in all of the industrial
countries, mostly because of obsolete
structures which "were products of the
industrial revolution and reflect an in-
dustrial mentality."
Acceleration is one of the key
features of the super-industrial revolu-
tion, Tof.ler declared. E\ents are occur-
ring -.-o fast that v.e forget thorn before
we have had a chance to lourn from
them. Son.e of our basic assumptions
about the electoral process are being
challenged by this rapid ch:-.nge. To filer
explained one such challenge:
"We bc-lif. e, for example, that we
geographical dis.li ids. Hut this a--, .iinp-
tion v, as born of an agric.illui al era
v.hen people were rooted to the land
and th.p land was the mo^t important
factor of production. The assumption
there is that if you don't like \\hat your
representative has done in the last two
years, you can vote him out. The
assumption on which the system was
based never took into account the
possibility that 42 million Amoiieans
would change their residences each
year a.nd that I may not be able to vote
against my congressman because I am
no longer in his district. And now he
faces a new constituency which knows
little or nothing about his past record."
This fluid situation increases the
difficulty of forming lasting political
coalitions.
The other key feature of the super-
industrial revolution, Toffler asserted,
is "a shift from industrial standardiza-
tion and homogeneity to heterogeneity
and destandardi/.ation. We are becom-
ing a much more diverse society based
on new, more diverse technological
bases, more varied occupational
specialties, different lifestyles, conflict-
ing \alue systems, differentiated age-
groupings in the society, and a renewed
ethnicization in the United States. We
are becoming what the Japanese call a
mult ich.-tnnel society."
Tin's diversification is happening in all
the industrial countries, often taking
the form of secessionist movements,
notably in Canada, Fiance, and the
United Kingdom.
Although politicians are lamenting
the loss of unity and consensus, Toffler
insisted that the shift to super-in-
dustrial diversity is "a fundamental
survival shift," which, unfortunately,
has caused piubk-nis that "our weak
and fragile institutions can no longer
solve." While the result has been frag-
mentation, dissension, and conflict,
Toffler pointed out that "diversity can
be based on symbiosis as well as clash
and conflict." The overload on our deci-
sion-making systems has created a po-
litical malaise that could lead to a new
kind of fascism. But the possibility also
exists of "a major leap forui-.nl to a
more decent ecologically ba'.inced,
equitable, and di-mociatic society."
Riulicallj Different PlaiiniiiK Is
Needed
To achieve this breakthrough, Toffler
.-uggosted, we must break free of the
industrial mentality v.hich has been
' i
years, but is no longer applicable in
many new situations. He explained how
that industrial mentality has particu-
larly affected the nature of planning:
"We have seen, in the history of plan-
ning, continual efforts to standardize in-
formation, to centralize it, to concentr-
ate power, to embrace larger and larger
units or systems within the plan and to
add experts. All of that acids up to in-
dustrial-style planning, technocratic
planning. This industrial mentality is
now being challenged by an alternathe
consciousness. It is being challengt-d not
only by angry people v,ho might be
called 'plannees' — people v. hr> are plan-
ner! upon —but by many people who dc
not know they are ph-nnoes. In fact, we
are all consumers-of-plans, and con
sumer ru\olt will continue to occur a;
more and more of the life-suppor!
systems in this society begin to brea'r
down. Technocratic plai.ning, like
bureaucracy, is de-signed for und.lFen.-n
tiated or simple industrial societies an<
for slow-change conditions. But the
U.S. is no longer a traditional indiistria
society, let alone a simple one. Ilenct
v, e need a radically different approach
to planning."
Intf-gi atod coordination of plr.r.nim
at the national level is needed, ToiTie
conceded, but "we need to n-ali/.e tha
the nation-state way no longer be thi
single or most appropriate focus fur i
lot of this activity. We are going to tu-cc
subnational planning on a cU-ceP.ti.iluei
basis, s-ectoral planning, institution;!
planning. We are going to r.ecd custom
tailored, continually flexible '.ml di.ir.g
ing plans, and those cannot be custom
tailored from the top. Moivovt'r, nation
are becoming !e--s and K-ss ii-dvp.T.den
of one •.•.n.itht.-r and tlv.-ivf.jre we ar
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;-,";•> i
"T7ze sexual mores,
family siructures, and
value systems of the
• society !~npinge on the
economic system and
( alter it in sometimes
much more important
0 ways than are trackable
in any of our econometric
models and, fancy input-
output systems."
• -Alvin Tojjler
going to need to have. transnational in-
puts into tliat planning process."
Tofflc-r r.ho warned against economic
planning which fails to take into account
social, cultural, and political problems.
He declared that "the sexual mores,
family structures, and value sy.-tems of
the society impinge on the .-conomic
system MIC! alter it in soir.eti'-U'S much
mure important \\.iys than are tracka-
hle in any of our econometric models
and f.uicy ii'put-ou'put systems."
OJC'.H:: ;\ Pcopk-Can Help
Altli'.'iyh ue ru'ffl e.xpols, nays
m.*-t Vie fn.,iid to involve ordinary peo-
'\iii-: i'i, K. :ij.sr, October 1975
pie in the planning process. Toffler used
the analogy of the human eye to de-
scribe what is needed:
"We need people \\ho can see straight
ahead and deep into the problems.
Those are the experts. But \ve also need
peripheral vision and e.xperts are
generally not very good at providing
peripheral vision. And I \\mi1d suggest
that what we need is a whnlu set of new
ways of relating 'experts' —people who
have Ph.D.s and specialized expertise —
and lay-experts- -those who are ex-
tremely expert about their little piece
of the environment, whith may turn out
to be very impoitunt to the rest of us as
well."
As we shift from industiialism to
super-irdustrn'.lUm, Toffler suggested,
network forms of organization will sup-
plant pyramidal-bureaucratic forms.
The networks will have to be partici-
patory, Tolller insisted, and state plan-
ning programs like Hawaii 2000, Iowa
2000, and Alternatives for Vv'avhmgton
could serve as initial models for such
''anticipatory democracy'' networks.
Expressing satisfaction that busi-
nessmen and go1, ernmeiit officials are
joining the public in taking long-term
planning more seriously, Toffler
neverthele.-s confessed to a nervous
feeling "when I srje big business, big
govcinmont, and big unions all agreeing
on something."
Toffler closed his speech with a warn-
ing that "there' i- a tremendous amount
of pent-up political emotion in this
country. People feel that the future is
being bu'nbled a\\ay. And for this
reason I believe we are entering ii^o,.
"Tech nocratic plo.nn ing,
like bureaucracy, is
designed for
undifferentiatcd or
simple industrial
societies and for slow-
change conditions. But
the U.S. is no longer a
traditional industrial
society, let alone a simple
one. Hence, -we need a
radically different
approach to planning."
-Alvin Tojjler
the most exciting and turbulent period
in the history of planning, in the history
of the United States, in the history of
industrial society, in the history of the
globe. And unless we prove to be highly
inventive social innovators, unless \ve
begin to invent models that open those
channels, we u ill attempt to apply
yesterday's obsolete methods to tomor-
row's piohh-ms, with di-a-trou^ results
for democracy." He concluded with a
plea to all futurists to help in finding
ways to "dcstandardi'/.e, decentralixe,
decoricentrate, descale, and demociat-
219
t i *? *-*^t
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