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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

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                                             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

\














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                                  -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

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ง 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?

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              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.

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     ( ) 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

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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.

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                       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

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                                                       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

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   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

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                                                      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,

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                                                       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*vปn o vป
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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

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                                                   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.
                                           ,         ป
     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_ฃOjTimj^^
       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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S - Valuc-i Clarification Exercises
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; . i Group C — Organisational Approaches
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and -Personal Interviews
Croup y - Le^al Mechanises

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                 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
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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.

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   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.

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              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.

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.    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

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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.

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 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.

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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.

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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 	

XHSv
_i*.m_ปj!/n'3ป
— w u^ 	
n> m
cป u^
w— LJO
— — 1ป m
** Uo
t^- m
' Uo
/'"^
,^, f / n /i (• -
^5^

	 i."U'tt
-^ n/i
— -c~ UH —
— TJ- n/i —
- .f3ป PiR
'**• UO
-*-^ฎ
— r>. nc; -
— i— Ul(J
— &-D6
-^D6
— !=~ nK
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

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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.

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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.

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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 areaป 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 itป

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,.

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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

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     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:

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                             -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.__taJsฃ--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 activitiesป




      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,

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                             — 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

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                                     -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
 	—.	.	^	            ฐ


 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  ?

-------
                         -  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:aJjiฃ&--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
                         ;uฃpo^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.        *.  .
                                            ป
     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
     •ซ — . — — -- — — — -- •  ""   _ _ __ ^-"
 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.

-------
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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

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                                          •" 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.

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                               - 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
                                           ป
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.

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'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:;ฎ^ - 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 ^-?isฃi,  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.:dฃtee me sab a rs  should ha proia-
          incntly publicised for public input.   Public Ee

                              - nora -

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                            — 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
tiiaฉ 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  ฃtjCf;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
                                                                                                ป --'--' ..-,',-> .V'-
                                                                                              ปi*>*J\/s,^\/-\>
.
                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
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