• •,-^l?iV1&.''J>''^'vt •>»."-• 1 ::fWM;:~vvf\;:: " •'". "l&f^l1^'1^^ 'Y"'1''^ •, ''& '"''' •X \ •;A>-^JV--, , '.Y'/T'Vtt ------- ------- 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) ------- CONTENTS: Sec. 1 Region V Comments on your Public Participation Program ... Checklist for 208 Programs ... Outline of Opportunities for Citizen Involvement Sec. 2 ..... Paper by Lloyd Axworthy, Manitoba Assembly Sec. 3 SYNERGY, Making Public Participation Work Sec. 4 Techniques for Communicating and Involving the Public Sec. 5 ..... Uses of Media, The Distribution System . . . .'. Public Hearings, Some Comments on Effectiveness Sec. 6 The Great Lakes, A Reader on Management Improve- ment Strategies Beyond Public Hearings: Suggestive Techniques for Public Participation ------- LAKE MICHIGAN MAY 13, 1975 CITIZEN PARTICIPATION CHECKLIST FOR 208 AREAWIDE WASTEWATER MANAGEMENT PROGRAM APPLICATION AND WORK PROGRAM AREA STATE" Law, Regulations or Guidelines Yes No Discussion 101 (e) . Public participation in development, revision of plan or program provided for, encouraged and assisted. 40 C.F. R. 105.2. Agency will be responsive to public concerns and priorities. . •'. Improved popular understanding- ~of programs and actions in development of plan. Active public involvement in and scrutiny of intergovern- mental decision-making process on plan. Conferring with public before final agency decisions. Program of participation . fosters a spirit of openness and mutual trust. 40 C.F.R. 105.3. Staff re- sponsibility and budget identi- fied for each program for par- ticipation in development of the plan. 40 C.F.R. 105.4. Continuing policy, program, and technical data at earliest practicable times, accessible for informed and constructive contributions. News releases, newletters. Summaries of complex" technical materials. Arrangement for providing tech- nical and informational assist- ance to public groups for (Continued) ' ' f \ ------- -2- Law, Regulations or Guidelines Yes No Discussion citizen education, community workshops, training and dissemi- nation of information to communities . Prompt handling of requests for information. Early consultation and exchange of views with interested or affected persons or organiza- tions. (Advisory groups, etc.) Maintain a current list of interested persons Provides central public collec- tion or depository of reports' and data. Copying facilities at reasonable cost. Provision for annual report of public participation provisions and activities , including activity, public response, and disposition of significant points raised. 40 C.F.R. 105.6. Administrator or Regional Administrator re-- views and evaluates. Where requested, "-"additional • information submitted". If inadequate opportunity, re- quired additional measures taken . 40 C.F.R. 105.7. Final actions benefit from and reflect consid- eration of public hearing. Agencies hold meetings on significant matters. - Public hearing held if official finds "significant public interest" (including requests). Hearing notice to interested or affected persons, detailed fact sheets. i i 4 - f ------- Law," Regulations or Guidelines Yes No Discussion Location and time ease travel hardship Reports , documents and data to be discussed at hearing shall be available for a reasonable time prior to hearing. Schedule witnesses when necessary. No inhibition of free expres- sion. 12.1. Identify affected public interests and maintain involve- ment. Informed public developed so that participate in meaningful way to intelligent decisions. Citizens help in defining com- munity goals and problems, de- lineate types of solutions, formulate alternative solutions, assist in defining impact assess- ment of each alternative. Facilitate identification of public preferences of each alternative. Detailed public involvement program assembled after area designation. Details specific mechanism at each step in -planning process. Process structured so that de- pends absolutely upon receiving public inputs. Adjust participation programs to changing requirements. 12.3. Identify participants, establish communication channels, convince partici- pants -that inputs are needed. I t P i [ ------- — 4 — ( Law, Regulations or Guidelines Yes No Discussion Evaluate public awareness of water quality problems. Assess relative importance of water quality and other goals. Evaluate attitudes toward growth and role of water qulaity management can plan in growth control. Assess attitudes about use of land use controls for water quality regulation. Determine public attitude toward regional plans that might result in some loss of local control . Public attitude toward innova- tive pollution control tech- nology. Assess acceptability of certain impacts of a potential plan. Evaluate community attitudes toward institutional and financial alternatives to imple- ment the plan. Get public response to prelimi- nary impact assessment. Public comment on acceptance of plan to reflect community goals and preferences. Make local elected officials -/., aware of public comments and options. (For entire program). 12.4. Use mechanisms suggested and required in chart at various stages of plan. 12.5. Evaluate and review public involvement program. i ; 1 I ------- V -5- Law, Regulations or Guidelines Yes No Discussion 12.7. Provide clearly defined channels of citizen influence on decision makers. Define responsibility for carry- ing out public involvement.. Provide adequate funding. Respond to all interested citizens. Develop a formal mechanism, fully funded public participa- tion working group in partner- ship with 208 planning staff and management agency. ------- OUTLINE OF OPPORTUNITIES FOR CITIZEN INVOLVEMENT UNDER SECTIONS 106, 201, 208 and 303 OF THE WATER POLLUTION CONTROL ACT(P.L. 92-500) FINAL REPORT NO. 1 SUBMITTED BY WISCONSIN'S ENVIROIJMENTAL DECADE FUND UNDER CONTRACT 5EO-0174A ------- § 208] AREA-WIDE PLANNING (soiretimes called "section 208 planning) . This is the next higher level of sewer planning. Local governments in regions of a state with high density and serious water pollution problems are encouraged to join together to plan cooperatively for the entire area. Where this takes place, municipal planning would be completely superceded. As with the first stage of municipal planning, citizens can have an iirpact on land use and. on choosing more effective and less costly methods of sev;age treatment during the planning process and when hearings are held on the plan. ( ) 1. If you live in a populous area with severe water pollution problems, write to your state pollution control agency and ask whether your region is involved in area-wide planning. A sample letter follows: (Insert date) [choose appropriate state] Dr. Richard Briceland Illinois EPA 2200 Churchill Rd. . Springfield, 111. 62706 Mr. Ralph Purdy Michigan Water Res. Coim. Stevens T. Mason Bldg. Lansing, Mich. 48926 Dr. Ira Whitman Ohio EPA Box 1049 Columbus, Ohio 43216 Dear (Insert official's name): Mr. Ralph Pickard Indiana State Board of Health 1330 W. Michigan St. Indianapolis, Ind. 42606 Mr.' Grant Merritt Minneso'ta Pollution Control Agency 717 Delaware St., S.E. Minneapolis, Minn. 55440 Mr. Thomas Frangos Wis. Dept. of Natural Resources Box 450 Madison, Wis. 53701 We are interested in area-wide planning under section 208 of the Water Pollution Control Act amendments, PL 92-500, for the (insert name of region) region. Please inform us of the following: 1. Has the Governor identified our region as one eligible for area-wide planning? 2. If our area has been so identified has the Governor designated an agency to prepare the area-wide plan or is application of an agency for designation pending? 3. If an agency has been so designated or is applying for designation, what is the none and address of the agency and the narre of the chief official of the agency? 4. If an agency has been so designated, has the EPA approved the designation? ------- Thank you for your attention in this matter. Sincerely, cc: Mr. Harlan Hirt, chief Planning Branch EPA Region V 230 South Dearborn St. Chicago, 111. 60604 ( ) 2. If you reside in a region identified as eligible for area-wide planning, but the Governor has not designated an agency to do the planning and has not actually said he will not designate such an agency, then meet with concerned local officials and urge them to form a planning agency themselves. This is permitted by section 208 (a)(4), and the eligibility of these agencies for federal monies should encourage the officials to act. ( ) 3. If a regional agency has an application for designation pending with the state, ask to be informed when hearings on the proposed designation will be held and to be given a copy of their submittal in support of their application for designation. A sample letter follows: (Insert date) (Insert official's name from item 1) (Insert official's title) (Insert name of agency) (Insert address) Dear (Insert official's narre) : This is to inform you of our interest in area-wide planning for (Insert region). We respectfully request that you provide us with the following: 1. A copy of or opportunity to inspect the application for designation as an area-wide waste treatment management planning agency, as required by the EPA at 40 CFR 105.4; 2. Adequate notice of public hearings on the application to be conducted by the state as required by the EPA at 40 CFR 105.7 and 35.1056-1. Thank you for your attention in this regard. Sincerely, cc: Mr. Harlan Hirt, chief Planning Branch EPA Region V" 230 S. Dearborn St. ------- ( ) 4. If the application does not include provision for meaningful public participation in the planning process, attend the hearing that will be held on the application with a written statement insisting that such provision be made. Under its rules, the EPA is not supposed to approve any application that does not include public input (40 CFR 35.1054-1 (d) and (e) (9)). This can take two forms: participation in actually drafting the plan or participation on an Mvisory Corrmittee which reviews a plan after it is writtejru The former is to be greatly preferred. ( ) 5. Follow steps 4 and 5 under "Municipal Planning" in the development of the area-wide plan. ------- LEGISLATIVE ASSEMBLY 9 June 1975 FOR THE READER: This short paper was written with a view towards setting out basic ideas without much detailed elaboration. It was written at the tail-end of a legislative session when time was at a premium, so that apologies must be tendered on matters of style and organization. It will be my intention to expand upon the points raised, at the delivery of this paper. Lloyd Axworthy Member of Legislative Assembly ------- NOTES FOR AN ADDRESS: PUBLIC PARTICIPATION WORKSHOP Part 1 - Reflections on the Garrison Diversion The Garrison Diversion project is a major irrigation and water control program presently being constructed In the State of North Dakota. Over the past two years strong evidence has emerged which suggests that the Garrison project will produce serious environmental damage to the river and lake systems of the Province of Manitoba. The Canadian and Manitoba governments have been pressing their American counterparts for assurances that damage would not occur and there has been a long-playing minuet of diplomatic dealings. Thus far the matter is unresolved and has now been referred to the International Joint Commission for examination and eventual recommendation on what should be done. -.--•-. This particular example of a boundary water dispute is used to introduce this paper for two reasons. First, as a member of the Manitoba Legislature it is an issue of prime importance to me and I would be remiss not to make my concerns known to others who have an interest in environmental matters. -•-••• Secondly, it is a way of introducing the issue of citizen participation in environmental decision-making, particularly decision-making which has an international dimension. So often, discussion on citizen involvement is dealt with in disembodied theoretical terms. The Garrison case provides a number of direct ------- illustrations of the points that would otherwise be made in a more round about fashion. Before drawing the argument, however, it is necessary to note that this is not the most propitious time to be making the case for citizen involvement, nor for that matter, improved environmental protection. Times have changed from the heady days of the late sixties and early seventies when political i reform was fashionable, environmental causes popular and a spirit of change acceptable. We are now in a period of retrenchment. Prices, jobs, and insecurity over energy are high on the political agenda and there's little public patience with efforts on behalf of environmental defence which might impair or obstruct projects of economic significance. Fortunately, there is a legacy from the earlier environmental battles which demonstrates the real worth of public involvement. There now exists a number of environmental advocates who increas- ingly can present hard facts and information. And, there are in f many new jurisdictions new legal and institutional mech nisms, such as environmental impact studies and environmental agencies that can be used to communicate and give force to environmental p rob I ems. This is certainly the case in the Garrison Diversion problem. In the past, the Columbia River project being a prime example there was little if any representation of the public interest ------- other than through government agencies, and they often did not treat kindly individual rights in environmental matters. Decisions were made within governments and between governments and the people lost, in the Garrison Diversion problem this has not been the case. On both sides of the border there have been active and vocal environmental protection groups. They have been very effective in bringing to public attention the dangers involved and supplying data to the press and the legislators. This has had a very direct influence on the proceedings, at least on the Canadian side, as their efforts have supplied government critics with the necessary ammunition to maintain pressure on the provincial and federal governments. Without such a supply of I nformation,. there might have been a tendency for the issue to '" die or for the governments involved to weaken their vigilance. This role of the environmental advocates has been aided by the requirement under American Federal Law that an environmental impact statement be publicly released. The data in that state- ment has provided critics of the Diversion project with hard information that otherwise would not be available to anyone but the initiator, such as the Bureau of Reclamation, who in the past have not been too likely to reveal shortcomings of their projects An additional asset in the Garrison fight has been the exis- tence of the Envi ronmenta I CcamcJJ—o4—Moni tcb-e-y—e^laJLl i shed in the Province of Manitoba in 1972. This council has been a useful ------- forum wherin the pros and cons of the Diversion project have been openly aired in Manitoba. The Council has also produced an excellent report on Garrison, when the Provincial Government u failed in its responsibility to study the impact p'n Canada. It can be seen then, that the network of environmental spokesmen, statutory requirements that information be supplied and forums where the issue could be aired have served a useful role In this particular issue. If these different ingredients of public involvement had not been in existence then it is unlikely that there would have been nearly as much public attention focused on the issue, not anywhere near the kind of legislative pressure on government, nor the activism of the two levels of Canadian government in pursuing the case. If past evidence of boundary disputes are any criteria, the issue might have already been settled behind closed doors to the disadvantage of the many Manitoba communities that derive sustenance from the Souris River to Lake Winnipeg. This does not mean that the process of public involvement on this issue has been totally satisfactory or complete, only that it has had an influence. Certainly many of the demands of the citizen groups have not been heeded, nor is there a parti- cularly receptive attitude on the part of the governments of North Dakota or Manitoba to their activities. There is no public funding for the support of environmental advocate groups, nor any apparent willingness to sit down to listen to grievances or concerns. The role of the public activists has been as ------- adversaries and publicists, generating opposition to the plan and questioning the handling of the matter by government officials. The task of these groups is further complicated and handi- capped because of the international character of the proceedings. To begin with, a major portion of those adversely affected by the project are on the Canadian side. Representations of their concern and public pressure on their behalf carry little weight in North Dakota or Washington for that matter. In fact, the Chairman of the Manitoba Environmental Council after a trip into North Dakota reported that most people in that state were of the opinion that Canadians were for the project. Obviously, the - separation of communication systems and political systems obviate much of the trans-boundary effectiveness of public interest group pressure. There has been a high degree of co-operation between environmental groups in the two jurisdictions, and the American group opposed to Garrison have received attention in Canadian media. But, it is fair to say that in general the undefended border between the two countries still acts as an invisible barrier to the flow of communication and information about respective public concerns, a fact noted recently by Canada's Environment Minister, Jeanne Sauve, who suggested the need for American public opinion to be aroused if Canada is to be protected against serious damage by the Garrison project. ------- Furthermore, the different system of Institutional recourse presents obstacles to public action. The use of the courts as a means of taking action against the project is fraught with more difficulty than if the issue were in one country. It would certainly be more acceptable for a bordering state to take judicial action in the U.S. Federal Court than a bordering pro- vince. The Government of Manitoba has indeed refused to consider taking legal action on the grounds that this would interfere with the diplomatic efforts going on. There is some reason to suggest that a private Canadian Citizen may be able to take legal action In American Federal Courts, and some environmental groups in Manitoba have been discussing the strategy. It is an expensive 1 procedure, however, and without government backing not likely to happen. The same unwillingness by Canadian authorities to countenance citizen involvement is seen In their attitude towards public representations to the International Joint Commission. Under the procedures of the Commission, public hearings are to be held and r be open to interested parties. This is not much of an open invitation if the meetings are held at a location distant from the aggrieved area, and if there is no support given to aid private groups who wish to attend. When asked in Legislature whether they would assist munici- I • pallties in the Souris Basin or environmental groups in the province 1 to make their case at J.J.C., the Provincial Cabinet Minister ------- Responsible for the Environment didn't even know that this was possible, and upon learning that there was provision for public hearings refused any aid on the grounds that this was an Issue between governments, and any public concern would be 'voiced by government on behalf of the electorate. This opinion of the Manitoba Minister effectively states the problem of public involvement in environmental cases of an international flavour. First is the attitude still held by many in public life that the conventional mechanisms of representative government are sufficient in insuring that the citizen will have a voice in decisions. While representative machinery is necessary and can often perform the function of registering people's concerns, it has its failings. The size of the administrative side of government is so large that elected members cannot keep all parts under surveillance. There is often a monopoly of information held by government agencies and they will act to protect their own vested interests. Yet, the feeling persists that as long as we have elections and representative chambers, the pub I Ic i nterest is fulIy defended. ^——' ' This feeling is compounded when an environmental matter goes beyond domestic jurisdiction, for the international sphere has always been considered the domain of governmental actors only (with the exception of the Nuremburg War Trials, cases of commer- cial law and some provisions in the E.E.C., the individual is not considered to have legal standing Internationally). Thus, any ------- 8 effort to improve the opportunity of citizen involvement in matters such as Garrison have double the trouble that" such efforts have in the respective domestic juristictions. Part 2 - The Case for Involvement^ There is a popular assumption that citizen participation is a modern form of the Children's Crusade with mass numbers of idealistic individuals marching off to do battle with the heathen. The reality is that most citizens are not involved unless a specific issue directly and vitally affects them. There may be a passive approbation by many citizens that environmental protection is a good thing, but they will only become involved themselves if the water from their tap changes colour (speaking figuratively). Many will also get upset if the activities of environmental protection agencies means that they have more mosquitoes to swat, and they get downright mean if it means closing a polluting industry, particularly those who deal in slow death such as by heavy metal poisoning. People respond best to the quick and the spectacular. With' that fact in mind, dees citizen involvement have a role to play in today's decision-making and why? The above account of Garrison provides one answer. The activism of certain private citizens can provide an essential antidote to the all too prevalent tendency of government to make wrong decisions because the advice they use is wrong, because there are a few vested interests whether public or private who are calling the plays or because government ------- decisions proceed on the inertia of what has gone on before. On the other hand, there is no magic to the influence of citizen inspired environmental advocacy. It is a tough demanding business with a maximum of frustration and abuse, and too often a minimum of reward. But its role is essential. Without the involvement of a citizen movement on behalf of the environment many issues will be ignored; many issues will receive only one side of an argument and there wilt be a limited force behind efforts at maintaining the principle of a loyal opposition in today's society. As one j who is involved in the legislative arena, the citizen advocates i working in our jurisdiction have added a qualitatively different dimension to the political process by supplying both awareness, information and emphasis to environmental matters. Without them', politicians interested in environmental concerns would be highly circumscribed in being able to promote new legislation or oppo- sing government on their environmental sins of omission or commission. This role of gadfly in the political process is a far cry from the far-reaching expectations that heralded the coming of oartici- ^ patory democracy in the 1960's. Then there was going to be a new system, where a modern version of direct democracy would flourish, and citizens would share in the power of decision-making. Instead the environmental citizen movement, made up of an amalgam of interested citizens, public interest advocates, new special interest groups, research centers and the odd officially sanctioned ------- 10 advisory group, have formed into a semi-permanent coalition to sting governments into action or prevent It from taking the wrong action. They must work through and with the political process and suffer all the frustration that goes with that process. If one asks if this is important, then the answer is an obvious yes. Without this involvement many individual rights and concerns would be ignored for lack of spokesmen. Individual citizens would suffer flooding, poison air, contaminated water, overbuilt neighbourhoods and overused transportation corridors, because there was nobody to bring these issues to light and pursue them in the proper legislative, administrative and judicial levels. t As a society we would not be nearly as conscious of issues of environmental quality nor have made as much progress as we now have in gaining new or better laws. The fact that our Premier continually mutters about "environmentalists" who get in the way of hydro projects, or the Garrison diversion, is tribute to their effectiveness in sending the message to politicians. This importance of the public advocate role is heightened in matters that come under international jurisdiction because such matters are normally even more remote from public pressure and influence. Thus, the dominance of "expert" advice, and political expediency is even more pronounced in environmental decisions arrived at internat'iona I ly between governments or through international forums that deal with such matters. Recourse for the individual through the domestic political system or the courts is more difficult, ------- 11 and therefore the "glare" of public awareness that can only arise through the involvement of private citizen groups has particular validity on matters that transcend borders. A second question that is often asked \s who should be involved. This question is often used as an effective dodge by decision-makers who seek to de-limit the orbit of involvement, using criteria such as those only directly affected by a damage or groups only recognized by governmental agencies as being legiti- mate spokesmen for an aggrieved group of citizens. This is done simply as a means of excluding those "troublesome" advocate groups who will busybody their way into issues. The real truth of the matter of course is that it is only such busybody groups that have the necessary technical knowledge and skills at representation to effectively make the case. The notion of class action in such cases should be solidly entrenched in court hearings and in hearings at quasi-judicial or administrative tribunals. Any effort to limit Involvement to only aggrieved parties will immediately eviscerate the chief function of private representation which is to provide alternative courses of action and reveal information that has not been supplied through official sources. The main brunt of environmental activism comes from a network of groups that have become dedicated to environmental protection and which usual.ly rely upon public funding for their efforts. There are a limited number of. university-based research centers that supply necessary research data. There is an odd assortment of public ------- 12 interest groups such as Pollution Probe In 'our own province which are not greatly funded but have subsisted on various grants coming from Federal Government / community employment and summer employment schemes. The main fact comes down to the ability of the environmental advocates who are the main thrust of citizen involvement to command public funding through government and less frequently through foundations or private donation. The paradox is that resources come from the agencies which are most likely to bear the brunt of attack and opposition. In earlier years such funding was forthcoming. First because t there was a public climate favourable to support of such activities and government officials wanted to be on the side of the angels. And, secondly, because in the early stages such groups weren't much of a bother. Now, however, conditions have changed. Governments are under pressure to cut spending, and the first victims are groups engaged In advocacy work. Secondly, funding has a funny way of becoming limited just as such groups become effective. A good case in point was the Canadian Government's funding of ihe Canadian Arctic Resources Committee that was involved in matters of northern environ- ment. They were supported up untiI the time that they become the chief protagonists to the government-industry sponsored Mackenzie i Valley Pipeline. Now their support has been cut off. ------- 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. ------- n a ^^^w^4T*^^^^«-«n-*i--«^-^S1^J •¥**•*• .JT*r-~ teiiUfesM ' "i " ' 4 »v ", ', '"' -""• \ J \"-r • j-"^-.\, -"v *'-..-; - * * 5: '* ^'? L!>fci.*«u ^Jk*^abuieZ:w4L r'r-^' 1 T"' - i- '' r- *•* '?'• r-."' ^*^ij !'->-/! : '-*:-i 1'^:;11 L.JU£J ------- I'm pleased that you are able to attend our "Making Citizen Participation Work" Seminar. This workbook contains two articles and other resource mater- ials which wil] serve as a summary of the material covered in the seminar. At the back of the workbook is an Evaluation Form which I ask that you complete at the end of the dayc This will provide us with the information we need to improve these sessions. Also at the back of the book is a brief description of SYNERGY Consultation Services and its activities. If you wish further information there is space to indicate your interest on the Information Request Form. I look forward to spending the day with you. James L0 Creighton ------- A MGDEL FOR PUBLIC INVOLVEMENT IN THE Stage Major Public Involvement Tasks Breadth or Scopa of In.. . I. STUDY INITIATION 1. Identify probable publics. 2. Assess level of public interest in Issua, 3. Design a work plan of P.I. activities coordinated with each step of the planning process. a. Establish soics total goals /results you want from the P.I. activities. b. Review appropriate rceans of evaluating or measuring the success of your P.I. Plan. Likely limited to key indiv- iduals or leaders of identi- fiable ("target") groups. Desireable to get sores accep- tance from critical groups on overall P.I. Plan. DATA COLLECTION 1. Identify public needs, desires, and values. 2. Gather information from the publics concerning the resources. Need to provide broad public opportunities to express needs, desires, and values. Make sure these opportunities provide access for non-organized groups and/or individual citizens to identify their problems. DEVELOP ALTERNATIVES 1. Develop alternatives portraying the range of interests and values identified by the publics. 2. State (in lay language) ths social, economic, ard environmental implications of each alter- native (free of values judgements). Likely limited to key indiv- iduals or leaders of identi- fiable interest groups in order to provide the continui" of information needed to par- ticipate in tha development o: alternatives. PRESENT ALTERNATIVES 1. Obtain public reaction to the alternatives. Typically, this stage will result in a narrowing of the alternatives being pre- sented and provide more infor- mation on "Trade-Off" items. The broadest possible range of techniques should be used at this stage. This is the ideal tims for such general in- volvement: the publics have specific plans to react to, but the agency is not committed to any particular plan. CONSENSUS SHAPING 1. Obtain a consensus on the major characteristics of the plan to be recommended by the agency. (This pay require another round of stages III and IV.) This is a negotiating stage and hence usually limited to key individuals, leaders of interest groups, and others who have been active through- out the P.I. process. PRESENT RECOMMENDATIONS 1. Present the agency's recom- mended plan to the public for final review. 2. Review public comments and make final modifications as needed. (Late, but important,objections may require recycling from stage in.) This is first time the agency is in the advo cacy position. Therefore, this stage usually cojobines a number of informational techniques along with activities allowing for public reaction. Step 2 is accomplished by the on-going key leader/ individuals group. PRESENT FINAL PLAN 1. Inform publics about the final plan based on the review of responses to the recommended plan. 2. Inform public of implemen- tation plan. Strong use of msdia and other techniques to cc nunicate information to broad segments of public Also other techniques of a more personal natur to inform those who were actively involved durin some stage of your planning process. ------- THE USE OF VALUES: PUBLIC PARTICIPATION IN THE PLANNING PROCESS James L. Creighton SYNERGY Consultation Services Not too many months ago a planner in a large governmental agency discarded about 150 letters from the public on a controversial issue because they were no help to him -- they contained no facts, no specific proposals -- all they contained were feelings. Like many other planners, this planner has been faced with a dilemma: While law and agency policies have required him to seek out greater public participation in the planning process, he is ill-equipped to know what to do with the information once he has gotten it. Typically the materials he receives from the broader public appear to him to be "over-emotional", "ill- informed", and "not dealing with realities". But at the same time, any public participation program which puts all the emphasis on well documented, carefully prepared, scientific presentations from the public will build in a bias for only the well-funded interest groups. The planner is trapped between his professional training -- which typically equips him to deal with scientific fact, demonstrable propositions, and economic feasibilities, but not with feelings -- and the democratic philosophy which stresses that all the people should be involved in the decision-making, not just the special interests. After five years as a Consultant and Trainer in citizen participation to almost all the federal agencies involved in it, as well as a number of state and local agencies; I have arrived at the conclusion that in the early stages of planning the previously avoided and disgarded feelings and emotional expressions are a critical and valuable resource and go straight to the reason citizen participation is necessary. Feelings and emotions are indicators of values; and differences in values are what citizen participation is all about. This paper details the thinking which led to these conclusions, as well as a practical method by which planners can use values in the development of planning alternatives. Making "Political" Decisions Most planners argue that they do not make political decisions. They mean they do not make decisions which would, or should, be made by the political process (through elected officials or a legislative body). But a careful examination of the difference between a decision the planner makes and a decision trade through the political process indicates that the only difference is the "stake" involved — the importance of this decision in terms of the benefits and costs distributed to different segments of the public. Every planner has had the experience of making a decision he considered to be "pro- fessional" only to find it made "political" by someone's intense reaction to the decision. A decision is political by its nature if it distributes bene- fits and costs to different segments of the public -- regardless of whether or not it is made through the political process.1 ------- By this definition purely professional decisions tend to be limited to assessments of resource capability or determinations of technical feasi- bility. It is a professional decision as to what level of pollutants is now in a river, or what percentage of the pollutants a particular method will remove; it is a political question (backed by the professional infor- mation) to determine how much pollution will be tolerated. A Broader Definition of Benefits and Costs' The term "benefits and costs" immediately conjures up images of economic standards of measurement. Certainly many decisions made by planners bestow economic benefits and costs, e.g. the allowable density of a pro- posed development. But most planners have expanded their definition of benefits and costs to include conflicting uses.' A planner can make a decision which benefits hikers and cross-country skiers while assessing a cost in loss of land which can be used by snowmobilers. But I wish to add still a third dimension to the definition of benefits and costs -- the dimension of values. By values I mean those internal standards by which we judyc events or behavior to be good/bad, right/wrong, fair/unfair, just/unjust.2 They are the normative standards by which we judge the way things "ought" to be. When a planner makes a decision to allow a timber cut in an isolated backcountry part of Alaska he may hear outraged cries from apartment dwellers in New York City, based not on any direct economic gain or even any realistic'expectation that they will ever visit the land in question — but based on the fact that the planner's decision is distributing a benefit or cost on the way they believe the land ought to be managed. The benefit or cost is solely in the values dimension. 3 Values choices are essentially choices between two positive goods. For example, if the issue is the use of seat belts one must find a position which balances "comfort" with "safety". If the issue is the mandatory use of seat belts, one must find the balance point between "individual freedom" and "public safety". All of these values indicated are good, desirable, positive; no one is against any of these values, the issue is which values should prevail in this instance. The act of "valuing" is one of finding the proper balance point between the two values in a given situation at a particular point in time.4 A policy is a balance point selected between competing values. Competing policies are competing judgments as to the relative importance of parti- cular values in a particular situation. This is illustrated below: Positive Positive Value Value 0 Policy Policy Policy Fig- l A B C ------- Each policy is .a balance point between two "goods". An individual may oppose a policy of an agency because he considers that the policy does not adequately recognize the importance of a "good" he supports. To the planner this individual may appear to be an "aginner" -- an individual who will consistently oppose anything proposed by the agency. But this opposition is based on this individual's positive support of some value which he believes the agency consistently does not properly value. It is one of the characteristics of values arguments that the opponent will usually appear "over-emotional and irrational", committed to premises that he cannot rationally justify. The difficulty is that both^ sides -- both the planner and the various publics -- see the other asHocked into preconceptions that no number of facts will shake. For values are a per- ception of reality based on our own set of personal rules governing our feelings. By virtue of unique life experiences, upbringing, training, and personal introspection each individual develops his own set of "meanings" for his experiences. These "meanings" -- and values are major standards by which we evaluate events to provide meaning to them -- cause each of us to have an individualized reality, a perception of reality which is always to some extent unique to that individual. When we confront someone with an individualized reality based on values which are substantially different, then the rules by v-hich we judge reality are contradictory. We usually cope with this threat to our definition of reality by judging to the other person to be ill-informed or badly-motivated. When one individual views an act as an "outstanding program to stimulate economic well-being" while another individual views the same act as a "vicious desecration of nature's natural order", they are operating with individualized realities with premises so fundamentally different that these individuals appear to be emotionally committed to unjustifiable positions. One reason that much information from the public is viewed as over-emotional and irrational is that it conflicts in much the same way with unconscious values held by the planner, or the agency for which the planner works. For underlying each agency's mandate and basic operating policies are very definite values. For example, many natural resources agencies have "multiple use" policies which attempt to balance the conflicting interests by providing a number of uses from the same land. Typically this orientation is described as "the Greatest Good for the Greatest Number". However, this orientation predisposes agency planners to naturally seek out ways of accommodating several uses, and avoid solutions that maximize single uses to the exclusion of other uses. When individuals or groups advocate that land be used solely for the one use they consider to be the "highest good", planners will tend to consider these individuals as selfish and self-serving, inconsiderate of . other needs and interests, and will instinctively resist such proposals. Tho noT'i'^'i^C r**F "f ha annnr-w ^nrl •f'Ko ur> 1 i i o c TrfKav-an-f -Trv -J- hr>m -Fr\ vm ^ K-s v*v»n o v» « I I %_ uWllWIV-O VSI IrllV^ W* y V_ I I V^ V y IAIIV4 1*1 I ^ VMI14V^^> tltlfV-I^IIL* 111 1*1 I C>l t I * IUIIII Ci L./C1II I t_ I of resistance to the proposals of individuals whose values differ from those of the agency. Yet it is my conviction that the environmental battles of the present are primarily on the values dimension. While the battles of the past may have been among those most immediately affected and concerned about economics and use, the battles of the present are a struggle among competing funda- mental values about how the land should be used and the life-styles asso- ciated with that use. The demands for citizen participation in the plan- -3- ------- ning process are demands that agencies be accountable to a broader range of alternative values. —-—— Accountability for Political Decisions It is the essence of a democracy that there be accountability back to the public for decisions made by the government. If a school superintendent makes a decision about busing of school children there are immediate demands that the school board make the final "decision; the logic being that the school board can be held accountable to public sentiment at the next election. A central theme in our philosophy is that governments can rule only with the consent of the governed. Yet the national malaise is the fear that no one is able to make the system responsive; that increasingly there is no way to hold the governmant account- able. The reasons are multiple: the vastly increased size of the bureau- cracy, the increased technical complexity of the decisions, the specializa- tion of disciplines and agencies involved in decisions. There ar'; many other explanations given as well, but whatever the reason the citizen still feels uncertain of his ability to exercise any control over "his" govern- ment. To illustrate this problem, let's explore the chain of accountability for a federal policy or project (Fig. 2): T REPRESENTATIVES EXECUTIVE 3 1 i Othsr Influences' Courts, State, Local Gov'ts.etc. -Citizen—& Participation V DECISION MAKER Fig. 2 First the public selects representatives. Already some degree of account- ability is lost because they cannot select these representatives on one issue alone. They must buy them "as a package" with the possibility of stands on one issue cancelling out stands on another. Issue-by-issue accountability is already diminished. ------- The public also selects the President, the Executive. But it is a differ- ent public -- a national public — than the local or state publics which elect the representatives. The result is that each may be accountable to a different version of public need. Out of the interaction between these conflicting definitions of public need comes the legislation which defines "policy" for the agency. But_ these policies are in turn modified as they are interpreted by the various layers of bureaucracy who are in turn impacted by the courts, other agencies, state and local governments. The result is that by the time we reach our planner the chain of account- ability is very long and tenuous indeed. Typically there is a time lag of several years or more before a shift in public sentiment is reflected in policies which are recognized and followed down at the level of the individual planner. And even when these changes occur there is little possibility of issue-by-issue accountability: the giant bureaucratic /heels turn too slowly for decisions already "in the pipeline" to be -adapted to the change in policy. Vet somehow the system usually works. Many of the natural resource and .levelopment agencies went on for years being the "good guys" among the governmental agencies. It is only recently they have been portrayed as the "bad guy". What made the difference? JjTeJ^l_tijT_q_Cpnsen_sus and the New Battleground It is my belief that the long chain of accountability still worked as long as there was a framework created by a consensus of values within our society about the proper use of the land. So long as decisions did not stray too far from the great middle of this consensus there was little demand for accountability -- only those groups most directly affected by economics or use needed to contest the issues. One way to conceptualize this consensus is as a normal bell-shaped curve with the great consensus in the middle and an overwhelming majority occupy- ing a relatively homogenous values position. o o Fig. 3 ------- s • Since the issue is "the proper use of the land" -- and bearing in mind that valuing is an act of selectin a balance point between two positive goods -- the polar extremes can be stated as follows: ECONOMIC DEVELOPMENT -- Optimal development of the land "to meet man's material needs. , » ENVIRONMENTAL QUALITY — Optimal maintenance of the total eco-system. Continuing our image of the consensus as a bell-shaped curve, we can place the bell-shaped curve on this scale of values with Economic Development at one end and Preservation at the other. (Fig. 4). o- Economic Development -O Normal Range of Negotiation Environmental Quality Agency Policies Fig. 4 Since the agencies v/hose policies affect land use (with the exception of the Environmental Protection Agency) were established during the period when this consensus existed, they operate within organizational mandates and philoso- phies which reflect this consensus. The Environmentalist Movement which began in the mid-'60s was, in my opinion, a function of the breakdov/n of this consensus. Instead of an homogenous cluster towards the center,the consensus broke down and began to spread over a broader range of values. Graphically the result would look more like a melted eskimo pie than a normal bell shaped curve (Fig. 5). -6- ------- o— Economic Development Fig. 5 Environmental QuaJity The effect of this was to leave agency mandates and policies stranded with- out a consensus. Political strength v/as distributed across a broader range of values. New groups emerged who saw the agencies as adversaries -- and from their values position, rightly so, because the agencies now spoke on behalf of one segment of the public (occupying the values position on which formerly there was a consensus) rather than a consensus of the public at large. The agencies were "adversaries" because they could wield vast aJministrative and economic powers on behalf of those values embedded in ejency mandates and policies. Finally, because power was distributed, strong new political forces emerged to challenge the groups and agencies vhich represented the old consensus. 'Each issue became a desperate battle for political superiority. Groups began to demand issue-by-issue account- ability because each issue became a testing ground of political strength. o- -o \ I ' ' \ ' . .' . .-"- t . I / / v -7* — V Q- -O Economic Development Fig. 6. Public A Public B Public C Environmen Quality ------- Providing Issue-by- Issue Accou ntability: Public But the line of accountability was far too drawn out and tenuous to provide issue-by-issue accountability. To survive, the system had to find an adap- tive mechanism to provide this accountability in the short-term while buying time until either a new consensus would form (one of the groups would esta- blish clear political dominance), or the land use agencies' would learn ways of responding to the greater divergence of values. The adaptive mechanism was public participation. Returning to our earlier diagram of the line of accountability: By con- structing a link directly across the chasm between the public and the planner through public participation, the system could provide issue-by-issue account- ability while still maintaining a representative form of government. The planner himself would be the direct recipient of the thoughts and feel- ings of groups which normally did not have access to decision-making within the agencies. The Use of Values Now back to our tragedy of the discarded letters (referred to at the begin- ning of this article). These letters were discarded because they contained no specific proposals, only feelings and general philosophical statements about the way the land should be managed. In effect they were discarded because they only contained values data. But if the purpose of public participation is to ensure consideration of the total range of values held by the public, then information about values held by the pjjblic was the most important information this planner could receive. His failure was to consider unimportant the information which would be most helpful in ensuring that public participation would do the job it was designed to do. But the fact remains that even if he had appreciated the importance of the letters, he probably would not have known what to do with the information in them anyway. Few, if any, tools have been provided to the planner to assist him in utilizing the emotional, subjective and "irrational" world of values. Having confronted this problem with numerous clients, I have been develop- ing a technique for analyzing contributions from the public for underlying values and using these values specifically as the basis for developing the alternatives to be displayed for the public as part of the public partici- pation process. Identifying Values Typically values -are implied in people's speech or behavior rather than explicitly stated. While they play a strong role in shaping our lives, when they are stated explicitly they sound vaguely like "motherhood" or "apple pie" and are difficult to defend except as an act of faith. (For example, the writer of the Declaration of Independence fell back on the phrase "we hold these truths to be r>clf-evident" to justify values as fundamental as Life, Liberty and the Purr.uit of Happiness.) ------- Because values are rarely stated explicitly, we have found it necessary to train planners to ijJimliJbLllJJPjLi^j values. The first part of this training involves teaching specificconTnuTncations skills designed to acknowledge both content and feelings. We have found that a greater comfort with feelings is generally necessary for effective public participation and is especially important in learning to identify values. Until there is a value placed on the emotional component of communication there is little sensitivity to the fund of information from the public that communicates values. To get planners started in identifying values, we first suggest they pay attention 'to three strategems used to communicate values: 1) Use of Values-Laden Language - This includes terms such as "raping the land", "locking up the land", "bureaucratic juggernaut", etc. Some of my favorite examples of values-laden language comes from within the agencies. The Forest Service refers to certain stands of timber as "overmature, decadent timber" because the trees have ceased to grow as rapidly as they did when they were young. The same tn.es, if located near a highway right-of-way, would be viewed by the Federal Highway Administration as "fixed hazardous objects." The point is that the terminology reflects an orientation: the Forest Service is viewing the trees for potential timber harvest, while the Federal Highway Administration is viewing them as a potential safety hazard to drivers. This orientaJ;K)n_£OjTimj^^ work within which_jthe_j^ejicjI5Inp-exating. Naturally the different publics have their own collections of choice values-laden terms which can serve as a guide to their values for the planner. 2) Predicting a Dire Consequence - People will predict that an action wTTl eliminate all the jobs in a locale, or will predict that the air won't be fit to breathe if an action is carried out. The kind of consequence they fear will reflect their values. The man from the Chamber of Commerce will predict a loss of jobs, while the preservationist will predict a total disruption of the eco-system. By implication, the consequences they select also indicate their values. 3) Referring to a Venerable Source - People may quote the Bible, the Constitution, the Declaration of Independence, famous Presidents or writers as proof that their position is the only right one. The strategy is to quote a source so venerable that people won't dare question the individual's position for fear of appearing to attack the venerated source. The difficulty is that sources which are venerated by one group may appear downright disreputable to another. The individual citing the latest Department of Commerce report on the Gross National Product is unimpressive to the individual who would more likely quote Henry David Thoreau. However, their selection of venerable sources is a source of information to the planner about their values. ------- Jon-.-ur.i en t ion Ch.i rac to r is t ics O ) U 'J .n O « •— O O U O O tv> »~ o o 00 2 . 2 T 1 1 "1 1 1 2 — i — — - — ' i *.> o 11. o O .'.CM O <-' i" O O ^ V» "" CJ Cj s* c- *^ o eon 1 1 3 2 3 1 1 1 3 ! • -^ ^ j -o •• CJ f. W 1 -0 iJ 0 0 o *-> y~* n i i" o o o — . ~> _• >.. o O -f. o ••- ^ \z o c. •-"4 -~r\ U -J "y v.-* r1 O | O *j i> c4 c. i •--. o ; •" u ;-! Techniques for Cor.'.raunlcat-in?, and Involving the I'ublic •., 0 ' 17 ». 1 _-. O O 0 2 2 2 3 i . 1 2 •> 1 2 •_• =, ! <: ^ i = u i ! 2 1 0 2 ! 0 2 2 ^ 2 3 3 2 1 0 1 t ] 3 2 3 3 2 o 3 3 • 3 3 3 3 3 3 3 3 Group A - Largo Group Moci tings 1 - Public Hearings 2 - Public Xectings Croup 3 - Small Group Meetings 3 - Prcccr.tatf or.s to Comunily Groups 4 - Site Visits 5 — Advisory 2ody o - 7ai.k Torcc 7 - Role Playing Exercises . S - Valuc-i Clarification Exercises 9 - Workshops 10 - Delphi Exercises ; . i Group C — Organisational Approaches Object Ivor, of nduc.ii ion and Porticip.v.ion Vv-c'.....^,, c; ^ •a ci fi o ^—t C M o i! ' o "o P-t C/i O W4 ^< •^ r; 4 J ,^ d o *^> "J '^. >-* r: 1 1 2 2 'j rH O V) *^^. w o [L ! < u r. { r"- v it C s-- O ' "^ ! '„ "6 " O *5 1 > »• ^ *-» *5 ; t ' ' iJ O -^ j j j • rf .» ' '^ J 'j 0 - - • " - ! j 2 2 • 2 3 3 2 2 1 3 3 3 3 3 •! 2 2 3 2 •> 1 j i I i i 2 I i 2 • 3 2 | 3 2 i 2 1 2 3 S 2 2 O 3 I 3 i ! 2 2 1 1 3 2 2 2 3 3 1 2 1 1 3 3 3 1 2 • 2 3 1 1 1 1 1 1 2 3 3 2 2 3 3 2 I 2 2 ;. 3 3 3 3 2 1 1 2 1 3 2 2 ; i 112 3 3 2 3 11 - Regional and/or Local Offices 12 - Citizen Representation on Policy Boards 3 13 - Orr.bucsr.an and Co-.r.unity Advocate 3 i ]•'. - Public Interest Ccncc-r Group D - Xedia 1 15 - Information Par.ohlets, Brochures, and 1 2 2 1 2 3 3 i i ! ! 1 3 1 1 3 1 1 2 3 3 i • • Suncnary Reports 16 - Slide ar.d Kilra Presentations 17 - Tape Recorded Information Network IS - Radio Talk Shows 19 - Press Releases and Xeu-s Letters Group E - Cc-^.ur.ity Interaction 20 - Response to Public Inquiries 21 - Attitude Surveys - Mailed, Telephone, and -Personal Interviews Croup y - Le^al Mechanises 22 - Citizen Suits 23 - Environmental Ir.pact Review Statement 1 I 2 2 ; 3 2 2 1 2 2 2 1 1 3 2 1 3 o 3 j 2 i 2 3 j 2 I. 2 352; 2 i i i 1 ' i ; I 3 ! 1 ! 2 i I 1 |l! i 2 i 3 : 1 . ; 3i2i ! ' 1 1 2 3 3 j : j 3 3 3 i 3 i 3 j 3 i Footr.otco appear on next FIGURE IV. CAPABILITIES OF ENVIRONMENTAL RESOURCES EDUCATION AND PUBLIC PARTICIPATION TECHNIQUES ------- Footnotes for Ficure IV (1) These evaluations are based on a simple set of numbers -1,2, and 3 respectively, representing low, satisfactory, and high degrees as noted below: Key: "Degree of Public Contact Achieved" 1 = few people contacted 3 - a vast audience contacted "Degree of Impact on Decision Makers" 1 = very little impact 3 = significant imoact -o' "Degree of User Sophistication" 1 = requires technically oriented audience 3 - audience need cot be literate "Ease of Use and Preparation" (from agency point of view) 1 = little skill needed 3 = requires special training % "Ability to Respond to Varied Interests" 1 = responds to a few needs 3 = responds to many needs "Degree of Two-Way Communication" 1 = very little 3 - high degree (2) Assumes the ultimate decision makers are not present. ------- co P- I~T Q «^ pi. 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W P- < 3 tX p- I— rr o ft P- ro to x to p. rr rr D •-( O S3 )-H C/2 > c/ .^ r>- **i H :> o r^> CO "-3 ^_* i ------- While these three guides merely serve to make planners aware of values, we have found that these guides combined with the communications skills training provides a sufficient introduction that soon planners are able to reliably identify the values of one individual or groups as compared with another. The Methodology for Developing Alternatives Based on Values^ The basic methodology for developing alternatives based on values is as fol1ows: 1. Analyze Public Contributions for Underlying Values Issues Using all of the guidelines indicated above, the planner analyzes all the contributions -- whether letters, reports, comments at meetings -- to determine which values issues appear to separate the various publics. Once the planner has isolated the major values issues he canmset up values continuums with the opposing values at opposite ends as illu- strated earlier. He nay also be able to identify other positions which constitute mid-points along the continuum. We have found that is is often possible to capture the differences between publics with as-few as two continuums. This allows the planner to set up a simple matrix as a way of displaying the continuums. For example, the matrix which most frequently defines the issues in federal public works projects is as follows: Gov't Action/ Public Welfare Or Safety Limited Gov't Controls Maintaining Individual Freedom And Free Enterprise Individual Freedom/ Free Enterprise . individual Freedom/ Economic Development 1 1 1 1 1 L ' r Limited Gov't 1 Controls/ ' I" A Ddance of • -A- i Op per (unities . i j 1 I t 1 i Gov't Action/ Environmental Quality Fig. 7 Economic Development A Balance of Opportunities Environmenta Quality -10- ------- When there are more than two continuums necessary to distinguish the publics then other display methods may have to be used. For example: Environ- mental Quality Goy't Action Safety Economic Develop ment Fig. 8 Individual Freedom The planner may then want to conduct a "trial run" on the values con- tinuums he has selected by tentatively placing significant groups in the position he believes they occupy on the display. If the display does not succeed in differentiating the different groups the planner will have to reexamine the continuums selected, as they apparently are not the-dis- tinguishing values issues. 2. Identify Clusters of Publics Using the actual information received from groups and individuals (so as to avoid preconceptions as to what their positions may be), the planner indicates the location on his display of the publics he has identified. It will probably prove desireable to use acetate overlays so that groups and individuals are displayed on separate sheets other than having to decide how many individuals a group leader represents. The resultant display will resemble a frequency distribution based on the publics' contributions. For example (Fig. 9): ------- Government Individual Clusters Economic Development Environmental Quality Fig. 9 For the purposes of this analysis it is not necessary to have a precise numerical tally; we are attempting only to identify significant clusters of individuals or groups around values positions. In the graph above, for example, there are four significant clusters, even though there are numerical differences in size between the clusters. 3. Write Descriptions of the Values for Each Cluster Using the numerical tally as a guide, the planner now writes a brief description of the values that appear to be associated with each cluster. It is these descriptive paragraphs that will be shared with the public. It is our experience that the displays can be misunder- stood (an individual doesn't like seeing himself as nothing more than a mark on a chart), while the philosophical summaries are quite accept- able. To be certain that the values of the different groups are accurately portrayed the planner may want to share the statements he has developed with selected groups important to each cluster to ensure that the statements capture their positions. This also ensures a clearer understanding of the values for which the group stands. 4. Develop an Alternative for Each Values Cluster Using the value summaries as recommendations of the group the best professional job he incorporates the values held a guide, and where available the actual as a "reality check", the planner now does can of developing an alternative which best by each values cluster. In effect, it is a form of advocacy planning, except advocacy planning on behalf of all the different values positions. -12- ------- One problem that frequently emerges is that the alternative which best portrays a particular values position run afoul of laws, financing proce- dures, or agency mandates. But our experience suggests that it is extremely important that these alternatives not be excluded," but that the limitations be identified as part of the Implications (Step 5). The reasons for this are: a) There is a natural tendency for agencies to limit alternatives to those which have been acceptable within the agency in the past. Yet the whole point of public participation is to seriously con- sider a broader range of values. b) Some of the constraints which the agency believe to be real can be surmounted when the public feels strongly enough about an issue. For example, contracts that have already been let can be bc.ight back if enough importance is attached to doing so. Alternatives sources of financing can be found if people feel stronjly enough about a project. c) People feel excluded from the process if after sharing their thoughts and feelings no alternatives are developed which indicate that the agency heard and understood those thoughts and feelings. d) If the public is never confronted with the implications of its values - if the agency always rules out options that it con- siders "way out" - then the public is never smarter about the consequences of what it is proposing. Public participation does also serve the function of public education. 5. Identify Implications of Each Alternative The planner has "taken on" different values premises to develop the alternatives, but now he must describe the implications of the alter- natives in as "values-free" a manner as possible. These implications include all the economic, social, and environmental consequences of each alternative, but ideally these implications can be stated with sufficient objectivity that almost everyone - regardless of values position - can agree that the implications are accurately stated. To do this the planner must learn to describe implications with a minimum of values-laden language. For example, we have learned from experience - some of it a trifle bitter - that implications should not be stated as "pro" or "con". An anticipated increase in population in an area, for example, is positive to one person and negative to another. The implication should be stated as factually as possible, e.g. "anticipated increase in population of 5-10%." -13- ------- 6. Evaluation of the Alternatives Through Public Participation Once the alternatives and implications are developed (and they may have been developed with the assistance of a task force or steering committee made up of the various public interests) they are then shared with the public through the whole gamut of public participation techniques including public meetings, workshops, newspaper articles, show-me-trips, etc. While the great bulk of the public will rule out certain of the extremes when faced with the implications, this narrowing-down process is not being done for them by a paternalistic agency. As a result they feel - and are - a genuine part of the decision-making. In addition they may devise ways of improving the alternatives, or combining features of several alternatives to avoid undesirable implications. By listening to public comment carefully, the planner also acquires a great deal of information as to which trade-offs would be acceptable, and which not. Nothing about this technique removes the agency from its final decision- making role; the technique simply serves to clarify the fundamental values differences, expose them to the public along with the implications of each alternative, and provide the decision-maker with substantial information on how the public would negotiate the differences. Our experience is that when this technique is used as part of a thorough and open public participation program that the various interests will arrive at substantial areas of common agreement. The Validity of Values Analysis: Since this process has been taught as a part of training programs with a number of agencies we have had a chance to get at least a subjective response of on-the-ground planners to this approach. Uniformly they have been enthu- siastic about the method, feeling that it opened up entirely new material that they had not considered, and that it provided them with an approach that more nearly fit the emotional realities of their planning situation. Two examples of the value of this method were presented in an advanced training program we put on for the U.S. Forest Service in Juneau, Alaska: The F.andenhall Glacier: For some time the planners for the Mendenhall Glacier Recreation Area had been stymied' by the apparently overwhelming divergence of views they had received in letters from the public. Analyzing the letters for specific proposals they had identified over 200 alternative proposals. Naturally, there was no way to respond to the vast majority of the proposals without turning the entire area into wall-to-wall concrete. In addition, the Glacier area was politically sensitive since the glacier is only 15 minutes from downtown Juneau, capital of Alaska. The small valley in front of the glacier contains housing for .'most of the governmental and business elite of Juneau. ------- Using the method of values analysis described above, the planners reviewed the letters a second time for the values communicated by the publics. To their astonishment they found that in terms of values there was almost complete unanimity on a minimum human impact approach to the recreation area. In effect the letters said, "the most important thing is to keep the area in its natural state, but it would be nice to have nature walks (4-wheel drive trails, bicycle trails, etc., etc.)." As a result of using the values analysis the planners felt they were now able to proceed to develop alternatives that would be generally accept- able to the public, incorporating only low impact developments in the alternatives. The South Tongass National Forest: Planners from the South Tongass National Forest (Alaska) also participated in this" training program and used as their material a large politically sensitive planning unit on which they had just completed public participation and were ready to announce a decision. With the public input fresh in theiv minds they were able to quickly identify four values positions around which significant publics had clustered. But when they reviewed v.he alternatives they had developed it became apparent that they had not developed an alternative for one of the values positions around which some of the most politically active groups clustered. While this was caused in large measure by an effort to stay within pre-existing contracts with a logging firm, they could see that this did pose a potential for court action by the groups which could maintain that their viewpoint had not been considered. And in fact this predicted "dire consequence" did occur. The planners now believe that by using the values analysis approach on future projects they will reduce the risks of significant publics feeling unrepresented by the alternatives developed. Areas of Further Research While the technique appears to be extremely promising there do remain areas which will need to be developed further in actual case studies. These include: 1) Developing further guidelines to assist planners in recognizing and identifying values. 2) Developing techniques for identifying v.ilues which will have high degrees of statistical reliability so that a different planner would arrive at the same identification. 3) Development of additional methods of displaying values issues, including more adequate ways of displayin-j problems involving more than two continuums. 4) Identifying those public participation techniques which are most helpful in evaluating a broad range of alternatives. ------- Conclusion • If the purpose of public participation is to ensure that the full range of values held by the public be incorporated in the planning process, not just those values normally accepted by agencies, then it will be necessary to learn to recognize and deal with emotional values-laden contributions of the public, not just the factual information with which the planner is more comfortable. By recognizing emotional contributions as a rich resource for information about values held by the public the planner can begin to extend understanding to values he would not ordinarily consider. The technique of developing alternatives based on all major values positions held by the public ensures that the planner is not an advocate for some groups, and an adversary of others. It is also a clear communication to the public that the agency is responsive and accountable to all the publics. Notes: 1. This definition is adapted from a distinction of "party politics" (who ( occupies the seats of power) and "policy politics" (what happens - decisions which grant benefits and bestow costs) by Dr. R.W. Behan, University of Montana, from a presentation to a Tri-Forest Conference of the U.S. Forest Service, April 27, 1972, at Boise, Idaho. 2. This definition of values is taken from Clarifying Public Controversy, Fred M. Newmann and Donald W. Oliver; Little, Brown & Co., 1970, p. 43. 3. Newmann and Oliver, op cit, p. 44. 0 4. Statistical terminology would refer to the two polar extremes as dimensions and the actual point in between selected by the individual as the value. I have chosen, however, to use terms more familiar to the general public. 5. Newmann and Oliver, op cit, p. 44. ------- . A Strategy for Planning with Alternative Futures James L. Creighton SYNERGY Consultation Services There is an old science fiction plot in which a man enters a time machine and goes back in time millions of years. Upon stepping out of the machine into the ancient past, he accidentally squashes a small, furry animal. When he returns to present time, he finds that the sky is green, everybody has four eyes and three arms — he has made everything different by going into the past and destroying the small, furry animal which was the critical link in the evolutionary chain which would have resulted in what we call the "present." The point in sharing this little tale is that many desirable futures are "killed" by a decision that appears insignificant at the time but that ultimately closes off a desirable future. This problem becomes extreme when it is difficult to predict a most probable future — when there could be several alternatives of nearly equal probability or desirability. Let me illustrate with an actual planning problem as a behavioral science consultant. I was named to a team proposing to develop a master plan for a major new campus of a large state university. The new campus was to be largely oriented towards graduage studies in the social sciences. The ultimate enrollment would be 25,000 students. At present a small agricultural college occupies a portion of the land and the faculty of this college would play a significant role in the decision-making. These are the problems we faced: 1) It was impossible to pick any one future as the single most probable future. With higher education in the volatile state it was in at that time, it was virtually impossible to pick any single future as the one most likely to occur. Instead we would have to construct a range of alternative futures of nearly equal probability. 2) Decisions made now would be made within a radically different values framework than that which would be in existence once the campus was in operation. The agricultural school faculty tended to be conservative and traditional in their values and teaching orientations. On the other hand, the predominant social science faculty which would soon occupy the campus would tend to be much more liberal and experimental. Decisions which would be considered brave by the current faculty might be considered as unbearable limitations by the future occupants. PLANNING TO CREATE AND PRESERVE OPTIONS This kind of situation has led me to believe that a major function of planning must be to pre- serve and create options rather than close them — and an implication of this is that a planning process should identify when decisions close off futures that the decision-maker might subse- quently wish to be able to consider. This problem can be illustrated by another science fiction plot in which a man is drinking in a bar. Our hero, whom we'll name Joe, leaves the bar and as he leaves it he must decide whether to turn left down the street or right up the street. Because it is a science fiction plot he is able to do both. Joe Left runs into an old friend who has just invented a great new product. They go into business together, make their fortunes, and live out their years as wealthy and happy men. 1 ------- Joe Right also runs into a friend who invites him back in for another drink, beginning a binge that plants Joe Right firmly on the path of alcoholism. However, Joe pulls out of it and becomes a national leader in Alcoholics Anonymous, proving that talent will receive its reward. The point is that the decision as Joe left the bar was one of those no-turning-back decisions after which everything is different. The trick is to know that you are reaching one of these decisions. One method is to use voodoo. The voodoo advocates call these critical junctions "cusps" and have elaborate rituals — involving readings of the entrails of chickens — to assist in predicting when a cusp has been reached and what path to take. Now we are all too rational for voodoo, so we hire planners. But we can reasonably expect at least as much from a planner as from the entrails of a chicken, namely some guidance as to when we can reach decision points beyond which our whole history will fundamentally change. But the difficulty is that most planning loses track of the critical assumptions. If alternatives were considered, they are usually lost from sight once "the plan" is agreed upon. Or, they go unnoticed as obscure technical assumptions. To illustrate: A governmental client was planning for future water needs in a region. A bitter battle raged in the planning team whether the amount to be needed would be four billion or five billion acre feet of water. But hidden deep in a 500 page report was an assumption that agricul- tural yields would continue to improve at the same rate as they had in the past, during the period of the introduction of nitrogen fertilizers, substantially increased irrigation, etc. But if this assumption was not correct — and there was considerable evidence that it was at least ques- tionable — the estimate could have to be raised to as much as 25 billion acre feet of water. But worse yet, nothing about the planning process was going to provide the decision-maker with any information to evaluate whatever the technical assumption was in fact bearing out. The need is for the planning system to maintain visibility for the assumptions and provide a methodology for conscious review of their continuing appropriateness. The need for this method of review is greatly increased with most public planning since the time scale from conception to completion of most public works projects now runs close to 25 years. This raises considerable dilemmas for agencies now attempting to incorporate citizen partici- pation in the planning process. With the average American moving once every four years and with major shifts in values from one generation to the next, the planner is quite literally dealing with a different public now than he will as the planning nears completion. While most agencies badly need to consult the public as part of the decision-making process, the consultation be- comes meaningless unless the planning process provides a systematic method by which fundamental premises may be subjected to review. A planning process which makes all the major decisions at the "front end" will force the planner into continuing conflict with the public he faces. CRITERIA FOR AN EFFECTIVE PLANNING PROCESS These philosophical meanderings lead me to believe in these three criteria for an effective planning process: 1) The planning process should protect and create options. ------- 2) The planning process should identify th6se decisions beyond which we are committed and may have "killed off" a desirable future. 3) The planning process should'provide visibility to the assumptions made in planning, and provide a system for reviewing the validity of these assumptions and selecting other futures throughout the duration of the planning process. THE ALTERNATIVE FUTURES APPROACH In an effort to meet these criteria, I have devised a methodology which I call the "Alternative Futures Matrix." The basic notion behind the Alternative Futures Matrix is to identify the range of alternative futures; identify the cross impacts of programs designed to implement each future; and devise a decision-making process which allows for subsequent review of those decisions which materially close off any of the futures. In this manner a broad range of futures is kept alive for the longest possible period oT time, and decisions are brought closer to the point in time when the impacts of the decision will be felt. In addition, each decision is made with maximum visibility as to the implications of ea :h decision on the full range of alternatives. A description of the Alternative Futures Matrix methodology follows: DEVELOPING AN ALTERNATIVE FUTURES MATRIX 1. Developing Alternative Futures Scenarios The first task in developing an Alternative Futures Matrix is to develop a range of alternative futures —scenarios based on the most probable projections of alternatives given both the external and internal factors affecting the particular planning situation. External factors can include such things as general economic conditions, actions of other or- ganizations, the political climate, a technological breakthrough. Which factors are critical varies from situation to situation. Internal factors also differ widely depending on the type of organization. In private industry these factors can include such things ss an innovative marketing strategy, market position, financial position. Governmental agencies share with private industry such critical factors as personnel strengths and weaknesses, adequacy of research programs, and in particular the values of top management and tru.1 climate thes? values may create in the organization. These values — whether they be competition, cooperation, innovation, integrity, candor, growth, productivity — are the standards by which events adn behavior in the organization are judged to be good/bad, right/wrong, successful/unstircessful, and substantially shape the range of alternative futures which can be considered. An example of scenarios is given below. These scenarios were developed by a group of Forest Service employees during a tiaining program on the Alternative Futures Matrix and are their assessment of what the Forest Service land management philosophy would be given three divergent projections of the future. The three futures were based on directions from the in- structor to develop one future based on a straight-line projection from the present, one assuming some fundamental shift in values, and another assuming a major technological breakthrough. ------- BASIC ASSUMPTION: Predicted Outcome: Likely Forest Service Management Philosophy: BASIC ASSUMPTION: Predicted Outcome: Likely Forest Service Management Philosophy: BASIC ASSUMPTION: Predicted Outcome: Likely Forest Service Management Philosophy: ALL POPULATION AND ECONOMIC PATTERNS WILL CONTINUE THEIR PRESENT TRENDS. Famine; starvation; extreme competition for resources be- tween nations; a shift in balance of power towards resource producing nations and away from resource consuming nations. Maximum orientation towards timber and mineral commodity production; minimal concern for aesthetics; recreation and wildlife uses allowed only when not in conflict with com- modity output. A WORLD-WIDE SHIFT IN VALUES WILL TAKE PLACE ALLOWING FOR SUBSTANTIAL REDUCTION IN BIRTH RATE. Similar to Future #1 over short run but some stabilization subsequently as population and resources balance out. Oriented to production of commodities over the short run but with an eye to preserving amenities to be available after immediate crisis is past. ASSUME A MAJOR TECHNOLOGICAL BREAKTHROUGH IN PHOTOSYNTHESIS SUCH THAT WE ARE ABLE TO MEET BASIC ENERGY AND FIBER NEEDS DIRECTLY THROUGH PROCESSING OF ORGANIC MATTER. Sufficiency of resource supply. Probability that forests would not be the best producers of plant material in large quantities (more likely to be subtropical and tropical lowlands). As a result there might be substantial shifts of population towards areas of higher production. Since forests would not be the most efficient sources of bio-mass, the forests would probably be managed for maximum water production, with water to be transported to other areas. Recreation demand may shift due to shifts in population. Ample resources for aesthetic values to be incorporated. When applied to specific planning problems these Alternative Management philosophies would in turn prescribe the range of alternative futures which could be considered for a specific planning situation. When the planner represents a public agency the scenarios are developed with full citizen par- ticipation and are selected to ensure that the full range of values of the publics are portrayed in the scenarios. The scenarios also provide an opportunity for management or clients to review and provide comments on limits they see in the situation. Once the scenarios have been developed, a selection is made — again with full participation of the various publics — of those alternatives of sufficient probability and importance that they should be- built into-the planning process. ------- 2. Developing Programs for Each Alternative Then an outline'is developed which would be required to shape each alternative future. This outline would consist of a detailed analysis of the decisions that would have to be made to develop and implement a plan responsive to the assumptions of the particular scenario. These decisions are programmed out over time so that it is possible to see the sequence of decisions which must be made as well as the approximate point in time when they will have to be made. * These programs will substantially resemble a flowchart of decision-making junctures spread out over time. Each program is also analyzed to determine if any decisions must be made now to preserve this future. These decisions are "front-ended" in the decision-making sequence — placed near the front end so examination of them is forced as part of developing the plan. The development and review of these programs is again a natural period for participation of the public.. 3. Identifying Cross Impacts The review of these programs does not yet result in an approval to proceed with any one pro- gram, but rather an agreement that the program represents the probable strategy if the organi- zation were going to commit to one parlicular future. Instead, these programs now form the basis for cross-referencing the impacts of '.he decisions made in one program upon the programs of the other alternative futures. A decision made in one program — such as a massive commit- ment of capital or a decision to put roads in an undeveloped area — may reduce or eliminate the ability of the organization to retain another alternative future as an option. These decisions are identified as "high-cost" decisions: the cost referred to is the loss of options available to the organization. Decisions that do not materially affect the organization's other options are "low- cost" decisions. The alternative futures, their accompanying programs arranged in a sequence of decision-making, and identification of "high-cost" decision can now be summarized in a matrix. Although greatly simplified, the summary might be presented visually in this manner: Time U 1 b 1 U 1 1 1 XHSv _i*.m_»j!/n'3» — w u^ n> m c» u^ w— LJO — — 1» m ** Uo t^- m ' Uo /'"^ ,^, f / n /i (• - ^5^ i."U'tt -^ n/i — -c~ UH — — TJ- n/i — - .f3» PiR '**• UO -*-^® — 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 ------- 4. Developing an Operating Program Now we are down to the hard decisions.involved in actually hammering out our operating program. We now know the range of alternative futures, some notion of what it would take to create those alternatives, and in particular, what options we will be closing when we make a decision. A decision may be made to proceed with a decision that "kills off" another future. These kinds of decisions will have to be made — but they are made with conscious awareness of the risks. The assumptions are clarified in such a way that accidentally killing off a desirable future should be minimized. Typically the operating program will be a composite of several of the programs developed. We may choose to maintain certain options by not becoming so committed to a particular alterna- tive future that we unnecessarily lose options that in the future we may wish we had retained. 5. Decision-Making at "High Cost" Junctures But the use of the Matrix continues: since the various programs ,3re projected out over time, and since "high-cost" decisions are identified, the planning process is established in such a way that the approach in time of a high-cost decision triggers a revie-v preparatory to making the decision. Because the high-cost decisions have been identified, and because there have been time estimates on when the high-cost decision will be reached (or at leas': a knowledge of the sequence in which they will be reached), it is possible to direct study and research towards having the requisite information for making this decision available at the time of the decision. Conversely, there is no requirement to make decisions prior to their sequence in the program — in effect major decisions are postponed until they have to be made. If the cost of not making a decision now is to close options then that decision would be identified as a high-risk decision at the point in the sequence of decision-making that failure to act would foreclose options. Naturally the definition of a decision as "high-cost" itself rests on certain assumptions. But because the critical decision-making junctures have been identified, the assumptions come up for periodic review. Built into the review of each high-cost decision must be a review of the assumptions upon which the projections have been based and a determination of the degree to which the assumptions are bearing out. In addition, each review of a high-cost decision triggers a review of the degree to which the alternative futures continue to accurately portray the options. Some futures may have been "killed" off, assumptions contained in others may have been inaccurate, new options may have emerged. Thus the high cost decisions serve as a triggering mechanism for regular and timely updating of the entire system. Finally, the review of high cost decisions serves as a natural juncture for future citizen par- ticipation. Rather than having to make all decisions at one point in time with only those publics participating at that point in time, critical decisions can be programmed out in time and the public can be involved at a point closer to the actual time of impact. ------- ADVANTAGES OF THE ALTERNATIVE FUTURES MATRIX As outlined above, this system has the following advantages; 1. The alternative futures remain visible even after the basic operating program has been developed. • 2. High visibility is maintained for the impacts of the program on other options available. 3. Visibility is maintained for those decisions that produce a "point-of-no-return" impact. 4. Review processes are automatically triggered when a "High-Cost Decision" is reached, so the planner and public both know when major additional decisions will be made. 5. Research adn data collection can be targeted in time towards those points at which they will be needed. 6. Preparation of the futures and development and review of the programs for each future provide natural points for.public participation. • UTILIZATION OF THE ALTERNATIVE FUTURES MATRIX So far the Alternative Futures Matrix procedures have been used primarily as a training device. using practical problems brought to the workshops by participants.1 Already we have identified needs for more adequate methodologies for displaying in a visual manner the decision-making sequences and the cross-impacts between alterni.tives so that they are immediately understand- able to the public. However, participants are enthusiastic and report that the methodology forced them to consider a much broader range of alternatives than they would have considered in the normal planning process. In addition, they report that the cross-impacting has frequently identified decisions which previously they would have considered to be relatively unimportant but which had major impacts on the other futures.2 We.are now identifying planning projects on which we will have an opportunity to employ the entire procedure continuously over a period of time to determine whether it will satisfy the criteria it is developed to meet. NOTES 1. Workshops conducted include: "Seminar on the Use of the Land, U.S. Forest Service, September, 1973, Enterprise, Oregon. "Environmental Quality Workshop, U.S. Forest Service, May 1074, Denver, Colorado. •Corporate Planning Staff, Wickes Corporation, August 1974, San Diego, California. 2. Verbal evaluation of participants in the workshops indicated above. ------- ALTERNATIVE FUTURES PILOT STUDY The preceding article is the basis for a pilot study of the Alternative Futures planning process sponsored by the U.S0 Bureau of Reclamation. The Alternative Futures procedures are being applied on a total water management study of four counties (Solano, Napa, Lake, and Yolo) in California now being conducted by the Bureau of Reclamation. The first activity of the study was to conduct a simulation activity for internal staff of the Bureau applying the Alter- native Futures procedures to a portion of the study area» In addition to familiarizing Bureau staff with the process this simulation served to clarify two additional points about the use of the process: 1) Much of the "data base" which provides the "givens" of a study turns out to have a number of assumptions about the future embedded in it. Once assumptions are carefully examined a great deal of "hard" data has to be re-worked because of unconscious assumptions about the future built. into it» 2) The linear method of presenting the decisions related to each scenario distributed over time (see the diagram in the preceding article) may not be the most effective method of display and analysis. We will also be considering the use of decision-making trees as an alternative form of analy- sis. Each branching point in the decision-making tree is a "High^-Cost Decision" , and assumptions underlying each de- cision will be identified to 'serve as a guide tc decision- makers when .they reach these points. Between January - May of 1975 there was an extensive citizen participation program involving the public in projecting alter- native Futures for the four counties involved in the study„ This participation included two series of cne-day workshops plus a series of evening meetings in eac\ county. These activ- ities were advertised tc the general public in a brochure which presented three provacative scenarios ar.-out thr- future and in- vited their participation in several ways. The brochures were distributed widely throughout the four crurt: es including bMns: available on drug store and grocery store counters. In the one-day workshops participants went tr.rough trie entire process of developing futures scenarios and estimating the water demands which would be associated with each scenario. In the evening meetings participants had an opportunity to react to tr:e scenarios developed in the one-day workshops ar,d identify other problems and needs. Copies of the workbook given the participants in the cne-day workshops are available in limited ouar.ti ti or,. ------- The contributions received from the public are now being analyzed and a set of consensus scenarios prepared,, Once these scenarios are completed it will be possible to project probable management strategies associates with each scenario and begin to cross-refer- ence decisions in order to identify "High Cost" Decisions and dev- elop an operating plan. A preliminary report on the study's pro- gress will be completed by July 1, 1975. A final report with special emphasis on the cross-referencing technique will be avail- able in Fall 1975. INSTRUCTIONS FOR ONE-DAY WORKSHOPS • TEAM ACTIVITY: IDENTIFYING FACTORS WHICH AFFECT THE FUTURE Instructions: As a team make a list of those factors which will affect the future in either your county or other counties in the Four-County Study area. These may be factors that either encourage or inhibit development. While we naturally want to identify the important factors, you need not worry about whether or not a particular factor is important enough to be included on the list -- your team will assign priorities to these factors in a subsequent activity. Record your team list of factors on the form on the next page. TEAM ACTIVITY: EVALUATING THE IMPORTANCE OF EACH FACTOR Instructions: As a team select the three factors you believe will be most significant in affecting development in the Four-County region. Two criteria you may want to consider are: (1) Amount of impact -- how much impact this factor will have if it changes or remains' the same; (2) Likelihood -- the probability that this impact will occur. Indicate your selection on the form on the next page. Then review the remaining factors, and assign them to the three categories: High Impact, Middle Impact, Low Impact. You will find yourself under time pressure, so regulate your time accordingly. At the end of the time, select a spokesperson who will present a report of your team's results to the total team. TEAM ACTIVITY: DEVELOPING AN ALTERNATIVE FUTURES SCENARIO Instructions: Develop a scenario -- a little "scene" -- describing the fuliTrT~development in your county based on the theme assigned vnUr team. To do this you may wish to review the other factors which affect development in light of your theme, as illustrated on page 9. The scenario should be sufficiently detailed in terms ot population size, agricultural patterns, and location of population centers and industry that water demands can be developed from it. TEAM ACTIVITY: ESTIMATING WATER NEEDS Instructions: As a team, develop your best guess of the amounts, "o^lUyTl^d location of water needs in your county in the_year 1990 based on the scenario developed by your team. Potential water supply sources are listed on the following page. ------- INFORMATION ABOUT SYNERGY CONSULTATION SERVICES; SYNERGY Consultation Services was founded in 1969 try James L0 Creighton. SYNERGY provides training and consultation services in the fields of citizen participation, alternative futures plan- ning, and management of interdisciplinary teams,, SYNERGY'S Citizen Participation/Public Involvement Skills Course is the most widely used course in the citizen participation field among governmental agencies. This course is designed to provide a basic understanding of the principles of designing and conduct- ing citizen participation programs,, The course also includes prac- tical workshops on communication skills, meeting leadership, and analyzing values information received from the public. Agencies which have utilized this course include the U.S. Forest Service, U.S. Bureau of Reclamation, Army Corps of Engineers, Federal High- way Administration, National Park Service, Bureau of Land Manage- ment, and a number of other federal and state agencies. SYNERGY also provides direct consultation on the design and con- duct of citizen participation programs, including the development of a number of innovative citizen participation strategies. In addition SYNERGY is involved in studios on alternative futures planning procedures and analysis of underlying values systems and other citizen participation methodologies. SYNERGY'S consulting clients have included the U.S. Bureau of Reclamation, Federal Highv/ay Administration, Army Corps of Engineers, California Dept. of Water Resources, U.S. Forest Service, Soil Conservation Ser- vice, and other governmental and industrial clients, A brief brochure on the consulting services provided by SYNERGY is included in this workbook. Training Officers or others in a position to consider citizen participation training are invited to request 'a complimentary copy of the participant's workbook for the SYNERGY Citizen Participation/Public Involvement Skills Course. A space is provided on the attached Information Request form to request this material. Or call or write: SYNERGY, 133 Wilfet Circle, WstsonviSle, CaMfornia 95076 (408) 724-2836 ------- EVALUATION FORM How well did this seminar meet your expectations? Which course material did you find most helpful? Do you have comments or suggestions about how the seminar was taught? Did the seminar brochure accurately represent the seminar? Could you suggest improvements? ------- INFORMATION REQUEST FORM NAME . TITLE AGENCY ADDRESS ' PHONE I would like to receive a copy of the participants' work- book for the SYNERGY Citizen Participation/Public Involve- ment Skills Course. My agency may have an interest in this training. I would like to receive more information about consulting services offered by SYNERGY in the design and conduct of citizen participation programs. I would like to be kept informed of SYNERGY research in these areas: Alternative Futures Planning Procedures ' '_" Methods for Analyzing Values I suggest that you contact concerning: Other information needed: ------- / i THE FOLLOWING PAGES ARE EXCERPTS FROM A PAPER BY Roslyn Glasser Dale Manty and Gerald Nehman PRESENTED TO International Water Resources Association UNESCO Paris and Strasbourg,France March 24-25, 1975 The entire paper is highly useful and interesting to those concerned with public participation and planning. Copies can be obtained through the authors. Ms. Glasser is with the Ohio Environmental Protection Agency in Columbus. Mr. Manty is at the Ohio State University in the Natural Resources Department. Dr. Nehman is with Battelle-Columbus Laboratories. ------- 1 !-! 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O N Mi ra rr O 3 ra p< to 3 co !-» rr ra !CJ fJ X < % "Tj *^* ra ra 7^ 3 H rr to > D* I-'- O ra < r^J ra w to • J7J* P- 1 — ' *^1 P-» rj to ^ H cs ra ^_ <~ £ 0 "r? > 2 ^ i rr /-i P- O | 3 w C- *"r2 ra > i c- H ! b z ^ i ^ i 1 h-5 : t-i i o "z. j j^ o i •— 1 S O c: C-l CO j ! 1 j | '. ( 1 || 1 f| • ------- THE CONSERVATION FOUNDATION f 1717 Massachusetts Avenue NW Washington DC 20036 • (202) 265-8882 Cable: CONSERVIT USES OF MEDIA THE DISTRIBUTION SYSTEM Jeannette Brinch The Conservation Foundation Delivered before the International Joint' Commission Public Participation Workshop Ann Arbor, Michigan . June 24-25, 1975 ------- The fact that there are so many representatives of govern- ment agencies in this audience encourages me. You are here because you realize that public hearings seldom give you the kind of public involvement you need prior to making a decision. You are looking for other methods of communication, of insuring a more meaningful input from the people you represent. As a citizen and as a professional environmental activist, I applaud your desire to find new channels of communication. What are the channels? They can be anything your imag- ination and budget desire. Newspapers,, newsletters, information brochures, action alert bulletins, radio, cable,' public and commercial television, films, slides and tapes, are all viable channels of communication. Combinations of any of these may be used to give more variety and mind-catching appeal. And new communications channels are being opened every day, such as a computerized information system being developed in California, which allows interested organizations to receive information and to instantaneously enter their policy recommendations to a regional planning agency via computer systems installed in their offices. The criteria you use to decide which media will suit your particular' need -arise from what you want to accomplish. This includes: ------- -2- — what issue or issues you want to deal with; '— whether and what kind of response you want to elicit; and — what kind of audience you want to reach. For instance, if you want the public to know who you are and what you are about - to make them- aware of you but not nec- essarily aware of any particular issue - you will need to con- duct a "blanket" campaign. This means you will make use of television, both cable and public, radio and newspapers, the three most far-reaching communications forms, as well as any printed material, to reach the general public. With the plethora of visual, auditory and sensual(communications]bombardments we all receive every day, it is imperative that you use your imagin- ation with'these media channels. The-television set can be used to your advantage, for your audience can both see and hear you. On public television, it is necessary that you have a funding source - which of course -may be the government agency you represent - to help you finance what is often an expensive production. You will need to put it together with the help of a writer, producer, director, and any other staff people you need to tell your story. You can either bring a finished product to the station on film or videotape, or take advantage of the many creative people within the studio who will be happy to work with you. You might product a short • videotape or film, with a narration, or have a panel discuss your activities, or produce a skit or sing a song. Cable television is relatively new and allows you to be ------- your most innovative. Unlike public television, high financial V costs are not part of the picture. You may use cable television to hold a group meeting, a discussion session which exposes the public to who you are and what you do, a sonq and dance show — all with little or no prior technical know-how. You need only be somewhat organized and let your imagination.__taJs£--ove^:-T- Commercial television, although expensive and difficult to work with, can also be used to communicate your ideas. Al- though I stress public and cable television as effective media channels for public participation, commerical television is responsible to the "Fairness Doctrine" as well, and has shown some degree of public interest orientation. So you should not rule out commercial television when planning a media program. ( Radio is just about the least expensive media technique you can use to get your "image" across. You can prepare tape cassettes ahead of time, using any number of audio techniques, including narration, sound effects, and music. The station manager will just insert the cassette when possible during the day's programming. Of course, many stations require that you i work within their own format and time frame; in other words, you must make a presentation to fit their specifications. If you want to "blanket" the media, using radio as one channel > of communication, it is wise to remember that you probably should / not use Public Service Announcements. PSA's, as they are called, are 15-, 30- and" 60-second spot announcements, which are read whenever the broadcaster has the time. Generally, only non- profit groups are allowed PSA's, and have no control over when ------- and within what context the message will be heard. So, if you want to make people aware of you in a meaningful way, it is worth the minimal cost for paid radio broadcasting. To complete your "blanket" campaign in making the public aware of your existence and activities, you will need to take advantage of printed media, as well as broadcast media. You may take out a paid advertisement in a newspaper, which either informs the reader of your existence and activities, or alerts the reader to your television and radio broadcasts. Or, you may alert a reporter to your activities» You may wish to send out to the general public information brochures or newsletters recounting your current activities. 'public. This, of course, requires financial backing if you intend to "blanket" the audience. In a "blanket" campaign, that audience is the general public. You want to inform, to make them aware of you. Only.._ You are not asking the audience to do anything or to make a response to your campaign. You are trying to make yourself known and your cause a creditable one in the eyes of the general public. If you want the public to be aware of a specific issue, rather than just generally to be aware of your existence, you will need to apply a different set of criteria and perhaps different communications techniques. First, you will need to pinpoint your audience. Here, your audience is of much narrower scope than in your "blanket" cam- paign. You are looking for an audience which will either be particularly responsive to the issue or issues you are promoting, ------- — 5— or an audience which is not responsive, in hopes of changing their minds. To select the audience, it is wise to answer the following questions first: — what issue or issues do you want to expose; and — what do you know about the types of audiences reached by different communications channels. For instance, if-you want to bring a water diversion project to a selected, concerned audience, you would contact conserva- tionists, ranchers, farmers, other landowners, and any others whose special interest would be affected by the diversion project. You would be selected in choosing methods of com- munication to reach this audience. You might: — publicize in farm journals they would likely read; — have a radio tape played over a station they would likely listed to, such as a news show on farm prices, we'ather, or new farming techniques; and — send out action alerts via a farm association's membership list. Basically, the methods of communication you use for pub- licizing a specific issue are the same as those for making a broad audience aware of your existence through a "blanket" campaign. Radio, cable, public and commerical television, newpapers and other periodicals, action alerts, and information bulletins, • among- others, are all useful. What differs is your more selected audience for a more specific issue. When you want your audience to make a response to your communication, rather than to only be cognizant of your activ- ------- -6- ities or to be alerted to the issues you are most concerned about, you may need to mix your communications techniques. You will identify your audience - either broad or more narrow - you will decide on the issue or issues to publicize, and then you will need to decide what kind of response you want the audience to make. You must keep this in mind if you are to achieve some degree of public participation in your decision-making. Far too often, the first two purposes of communication spoken of here - general organization awareness and specific issue aware- ness - are mistaken for public participation, when actually they are public information. A public information program rarely encourages anyone to do anything, and thus no real input is made on a policy decision. Public hearings are typical in this regard - they tend to inform the public, rather than to gain public input or action. So, if you've decided you would truly like to involve the public in the decision you are making, you will need to develop communication channels which encourage this development. The involvement may take any form,' including letter writing, member- ship on advisory committees, citizen organizing, and direct policy input. For instance, if you want your audience to contact you with a negative or positive response to a program or issue, you may want to use-both print and broadcast media. You might ar- range a film and narration - or a panel discussion or dramatic presentation - over your local public television channel, and ------- at its conclusion either give the audience a contact person or office and telephone number with which to state a position, or refer the audience to a newspaper article which examines the issues more fully and then provides the contact person or office. You might send an action alert on an issue to a selected, target audience and follow that with a radio or television broad- cast with a more extensive discussion of the issue and with information on who to contact. Or, you could reverse this order by having the broadcast first and announcing the availability of printed material and contacts at the'program's end. You might want to establish a network of advisory committees • 'throughout a region to help you make a decision on an issue of regional significance. It would then be helpful'to produce a public television or radio show which would reach a regional audience; the issue could be discussed by a group representing several interests, and at the show's conclusion, the need for advisory committees throughout the region would be highlighted. You would ask for volunteers, establish a contact person and telephone number, and wait for the responses. In any event, what you need is an informed audience, an audience selected with enough care and fed the right information at the right time to make an informed contribution to the decision at hand. Any of the media techniques explained at the beginning of this paper are suitable for public participation programs. The /'important element is response. You wish to inspire the audience ------- -8- to become involved. In this regard, it is not always necessary ( to start from scratch. You may have produced a number of public information pamphlets, begun a newsletter, or arranged a slide show for in-house staff. To turn these communications,tools in- to public participation - not just information - mechanisms, is a relatively easy task. All three could be adapted to suit an audience of PTA members, neighborhood organizations, business- men, or college students. The media would inform the audience but instead of leaving it at that, the audience would be asked to issue policy recommendations, to state their views, to make an input. No need to be formal - these presentations and personal contacts would not be hearings. Rather, they would be 1 public information and participation events. Here again, the /• major criteria for using any media technique you wish are response and action. Now that I've suggested a few media techniques you can use to suit your public participation needs, you may now be wondering if any of these techniques have actually been put together and been successful. With relief, I can say many of them have. The following examples are just a few success stories. In Denver, Colorado, an exciting public television show has been produced for broadcast throughou€--'the Rocky Mountain Region. Called "Feedforward," this 30-segment series has focused on land use, water quality, energy development, growth and a number of other environmental problems as they relate to the Rocky Mountain Region. One-half hour segments, filmed on location throughout the region, visually expose the audience ------- -9- to both the problems and the major special interests concerned ( with those problems. What has made this a public participation program as well as an information program, are viewer groups established throughout the region. The viewer groups have watched the weekly series and reacted to the programs, asked j questions of the program's writer and director, and have used the program's information base to focus and activate their participation in local and regional environmental decisions. Response to "Feedforward" has been positive; it has not only created an informed citizenry, but it has created a channel by which they can reach decision-makers with their input. Also in Denver, a combination of media techniques was used ' "to open up communication on an issue of some controversy, the /• use and misuse of the Platte River. A 12-minute-film with v. . -s narration was produced for public television on the Platte, followed by almost 50 minutes of questioning via telephone of a 3-person expert panel, all shown on the television screen. Seventy calls were taken on the air and several hundred were taken off the air for an hour following the show. Not only were contacts made, but views were expressed which gave those who were making decisions on the fate of the Platte a good idea of the public consensus. Media programs which present information and seek partic- ipation may most effectively use a multi-media approach. Such an approach was taken at one of ten regional Conservation Foundation Water Quality Training Institutes, funded by the Environmental Protection Agency, and aimed at informing and educating citizen leaders on their roles and rights under the 1972 Amendments to ------- -10- the Federal Water Pollution Control Act. The workshop opened ( with a multi-media program, consisting of a 3-screen, 3-pro- jectbr slide show, with a simultaneous narrative play, back- ground music, and at its finish, a sprinkling of the audience with water. This program served to highlight the major water quality issues, get the audience superficially "involved" (via the sprinkling), and to initiate" dialogue between them on the major issues for the workshop. Another of the Conservation Foundation Regional Water Quality Training Institutes used a very different combination of media techniques, role-playing and videotape. A mock permit hearing was held during which a draft industrial dis- ' 'charge permit was distributed to all Institute participants. / A panel representing members of a state water quality control board heard prepared testimony by their staff, by the in- dustry and by the Sierra Club, as well as comments from the Institute participants. All these helped to disclose the kinds of issues likely to come up in a permit hearing. The mock hearing was followed by a videotape of hearings on a large city's sewage problems. The videotape served mainly to emphasize the purely informational role of hearings, and precipitated audience discussion of alternative participation techniques. You might use role-plafS/ing and videotape to personally involve your audience in current decision-making; by allowing them to act out their viewpoints, the policy decisions they might make on an issue, you might more easily reach the correct decision. In Santa Barbara, California, a project appropriately en- ------- -11- titled "ACCESS" is attempting to utilize computerized tech- nology as the mechanism through which the public can make its input into environmental decision-making: ACCESS (Alter- native Comprehensive Community Environmental Study System) has been designed to create a neutral forum through which policy makers, citizen groups and special interests can analyze and discuss regional problems, options and issues. A number of communications techniques and technologies, such as regional situation rooms and computer modeling, are being developed. The regional situation rooms are equipped with maps, computers, television, both broadcast and cable, and citizen polling and feedback systems, and are used to examine real world environmental issues, test and discuss policy alternatives and experiment with the technology. Computer modeling and interactive computer graphics simulate real world environmental systems. An in- dividual can work with the simulator and interact with changing variables. Simply stated, ACCESS is attempting, through the use of a technological approach, to install computers in participating organizations by which issues may be explored at will. Re- actions, suggestions and action initiatives are fed back into the computer to the decision-makers. In Raleigh, North Carolina, cable television has been used by the local Community Council to inform constituents and elicit responses from them on community-wide problems. The Council meets before the television cameras, and then the telephone is used as the feedback loop. Citizens speak both with each other and with the Council at the television studio to make their ------- -12- input known. V The Environmental Protection Agency sponsored a television show on Lake Michigan not too long ago which allowed the ex- pression of diverse interests on the future of Lake Michigan. Seventeen people from communities bordering the Lake met before the television cameras to discuss their special interests in the Lake and the Lake's environmental future. These seventeen people represented special interests, but they were citizens as well/ and they were provided an access route to the decision- makers who control the Lake's quality. In Colorado Springs, Colorado, the Pikes Peak Area Council of Governments has produced a slide-tape show on a current water quality project in which they are now engaged. The 1972 / Federal Water Pollution Control Act Amendments establish planning processes to begin in selected areas across the country with significant water quality control problems. Such planning efforts are to achieve a system of land use and water quality management which not only assures environmentally sound sewage treatment systems, but attempts to get a handle on myriad non-point source problems including street runoff, agricultural, silvicultural, and construction runoff. The areawide planning processes are to provide a mechanism for early citizen input. The Pikes Peak Area Council of Governments, on whose shoulders this responsibility rests, has put together a slide-tape show which explains the planning program and pinpoints the areas for citizen involvement. It is being circulated to a wide audience, including neighborhood associations, civic groups, and schools, and is to serve as both an information tool and a springboard for ------- -13- action. ^ The exaitiples I have just outlined represent what has become a most important ingredient - communication for public partici- pation -- in any organization's overall program. It is my view that it no longer makes sense to confine one's public policy activities to purely written material; that we only have so many hours per day to devote to the stacks of printed matter which come across our desks. We may find that effectiveness in both communicating and in eliciting public involvement is enhanced by the use of media channels — and that the decision will thus be a more enlightened and a more popular one. Which brings me around to my final point - how to evaluate the effectiveness of your media program for public participation. f If you have conducted a "blanket" campaign for organization- al awareness/ you will want to evaluate whether or not your organization has become familiar 'to a large segment of your audience. A random telephone survey should accomplish this — and you should be quite satisfied with a 2-5% return. If you have tried to inform a segment of the public about a particular issue, you may again use a telephone survey to test your re- sults. Realistically, media work on a particular issue can only go so far without triggering a response. To evaluate whether people have become aware of a particular issue, you will need to see a response - or else you will find yourself just quizzing people "on the issue you have publicized. On the other hand, if you are willing to wait some time before evaluating your media effectiveness, and there is a policy decision coming up which requires a vote or other show ------- -14- of opinion, it may be very easy to evaluate your effectiveness. By evaluating the results of the vote, you may evaluate how well your issue was understood by the public. If your purpose in communication has been to elicit an informed response, you again can simply count the number of responses or go into more depth by evaluating the content of the responses received. Far too often decision-makers complain they spend huge sums of money on public information programs and receive no response. They are all sure that they alone know how to communicate. If your purpose is to get a response as well as to inform - if the audience knows you want their informed response - you will get a response. You obviously can evaluate your media techniques by the number and quality of responses. What I am saying here is that it is almost impossible to accurately evaluate the effectiveness of your media program unless a built-in feedback loop is included in the program. v^_ This means that for true public participation in the decision-making process, your media program must trigger a response from your audience. The public must be provided with a means to act on the information you are generating through whatever media channel you use. Response and action are your * evaluation tools. You should be assured, however, that although you cannot measure the effectiveness in all cases, you will get results. ------- Paper to be given at Session III Public Hearings PUBLIC HEARINGS Some Comments on their Use & Effectiveness David Estrin June, 1975 Preliminary Draft ------- "To those who worship (or at least espouse) the doctrine of public participation as being fundamental to sound planning and decision making, the ritual of public hearings is familiar. Indeed to attack the ritual is to commit heresy. But it must be admitted that there are many sympathizers with the doctrine of public participation who say that too often the public hearing ritual not only fails to bring worshippers of participation closer to their ultimate goal of revitalizing demo- cratic practices, it rather in some cases leads to rule by frenzied extremists. In 1974 a University of Toronto sociology professor labelled "an exercise in futility and likely to give rise to quite misleading conclusions" public meetings being held by the Canadian Institute of International Affairs on the subject of world pop- ulation policy. The Institute had arranged public consultation meetings in various cities "to enable the Canadian people to express their views regarding both Canada's position at the U.N. World Population Conference and a population policy for Canada". ------- — 2 ~ According to Professor Anthony H. Richmond, " in contrast with a scientifically designed sample survey of opinions, public meetings are likely to ^ elicit the views of entirely unrepresentative sections ofthe population,particularly extremists represent- **^ ing minority positions." And no lesser a professional than Dr. O.K. Solandt, former chairman of the Science Council of Canada, in his final " Solandt Commission Report "(on the environmental effects and routing alternatives for a 500 kilovolt transmission line that Ontario Hydro planned to build through rural lands and across the Niagara Escarpment in southern Ontario) stated that "the % public_Jaearings mechanism may be evolving into an institutional structure by means of which a minority _ can short-circuit the established mechanisms of —. . ^ ° democracy and achieve its own ends without the op- position even being mobilized or heard." Why is it that such professionals challenge the public hearing ritual ? How can they be so vehemently against a forum historically associated with the democratic process ? ------- - 3 - One answer appears to be that because public participation is now in vogue, public meetings are the first methodology that occurs to governments and institutions who wish to quickly appear to remedy structures which were purposefully designed in prior times to avoid such participation. It is because public hearings have been added on rather than integrated into pre-existing policies and statutory procedures in an attempt to quickly bring the public into the process, and that concurrently there has been a failure to recognize that public hearings are not valid methods of involvement in certain circum- ~" ""• •'-' ~^""~'"-> stances, that the criticisms made above r and others r s~~~" are validJLv made. It is worthwile at this point to look at the diversity of objects which public hearings seem to be expected to fulfill under a variety of laws. Information and Decision Making Hearings There appear to be four varieties in this category : 1) Those for securing information and general opinions on a subject prior to the undertaking (usually by experts) of a major study leading to a final report containing recommendations. Examples : IJC hearings held at the commencement of studies pursuant to two ------- _ 4 — references regarding Great Lakes Water Quality, and Pollution of the Great Lakes System from Land Use Activities. Here the IJC material preceeding the - hearings stated they were preliminary public hearings "for the purpose of receiving information relevant to the subject matter of the studies." They have been described as "a very open-ended hearing, since there was no study plan or report upon which to comment." 2) Those for the expression of opinions which are in reaction to general policies or recommendations tentatively adopted. For example, the public (, meetings held by the Canadian Institute of Inter- national Affairs (supra); hearing currently being held across Canada by a Joint House-Senate Committee to gather reactions to the federal government's Green Paper on Immigration Policy; hearings held to receive public reaction to the interim report of the International Great Lakes Levels Board to the International Joint Commission; hearings by Planning Boards in Ontario municipalities at a point prior to recommendation for adoption by municipal councils of Official Plans or changes in zoning by-laws. 3) Those which provide a forum for reactions to I courses of definite action proposed in some final ------- - 5 - / report or in a draft piece of legislation. For example, the hearings held over the Village Lake Louise Develop- ment proposal in Banff National Park, hearings held after the government had advertised for development proposals and had made a legal agreement with a consortium allowing for development of its plan; hearings held after a decision to expropriate pro- perty (exercise power of eminent domain) has been made to determine whether that taking is necessary in the circumstances; IJC hearings in 1970 on a final report concerned with pollution in the lower lakes which report, inter alia, recommended that a program of phosphorous control be implemented; hear- ings currently being held by the Ontario Environmental Hearing Board on a report containing recommendations for action to prevent continuing health hazards asso- ciated with secondary lead smelters; hearings before the Ontario Municipal Board to sanction Official Plans or changes in zoning by-laws adopted by municipal councils; hearings before a House of Commons Committee considering an Environmental Contaminants Bill which would regulate many aspects of industrial activities in Canada. 4) Those for obtaining facts and opinions which will be evaluated in relation to the plans of a project proponent ( including governments ) desiring to start .a large specific project or activity . For example, ------- - 6 - hearings being held by Mr. Justice Berger in regard to conditions that might be imposed on a right of way for a Mackenzie Valley Gas Pipeline in the Northwest Territories; hearings to be held before the National Energy Board by competing companies for a "certificate of public convenience and nece- ssity" to actually construct such a pipeline; the Solandt Commission Hearings (supra) ; hearings by the Ontario Environmental Hearing Board required prior to approval of most waste disposal sites in Ontario and certain types of sewage works; hearings held over the federal government's plans to build a second Toronto international airport near Pickering. Manipulative Hearings Of these there appear to be three varieties : 1) One type appears to qualify as positive manip- ulation (assuming one agrees with the objects of those seeking public support) and is usually part of a policy designed to generate public support either for action recommended by a body which itself has little power or for specific plans by government to deal with powerful interest groups. The IJC has itself acknowledged that it sees public hearings as a mechanism to achieve the first object described: "The Commission's established credibility and influence ------- - 7 - must be mainJ:aJji£&--aft€WTOp public meetings, surveys and programs to disseminate information) ... and be carried on in such a way as to serve the important purpose of imrpoving the Commission's position with respect to the public's knowledge of and trust in the Cbmmiss"ion l"s--work". As another writer has put it : The powers f ;u£po^t_jvh^n__j:jt_4najces__i1is_ .the qcLSiejcnments . . . public pressure brought to bear upon the governments may prove most effective in getting ... action taken. The public hearing is the major communications link between the Commission and the public. Conducting these hearings is the main way that the IJC build up public support. This is a benefit quite apart from receiving information and opinions, and from the Commission's point of view is probably more important. As examples of hearings in situations where governments desire to take strong actions but feel the need to elucidate the problem before bringing in what otherwise may appear as harsh laws one might refer to the Cliche Commission inquiry into Quebec's labour problems or the Anti-Crime probe in that province. Out-of the Cliche Commission revelations came laws putting the largest Quebec Construction Union in trusteeship and reversing the traditional burden of proof on a citizen to prove himself not guilty of an offence - in this case of being a participant in an ------- - 8 - illegal strike. 2) In quite the opposite way, public hearings may be an important part of a scheme whereby a govern- ment not anxious to take action on a controversial issue may gain reasons for inaction. Particularly in hearings involving complex issues the public may indeed become bored with the controversy or confused by the differing expert viewpoints and in the result the government appears to have some justification for delaying action until "clearer evidence" emerges. An example is the way in which the demand for action over ambient air lead levels in residential neigh- bourhoods adjoining secondary lead smelters in Toronto has been handled by the Ontario Government. It first refused to take any action, then appointed a committee of experts to make recommendations and then, after receiving the report of the experts, decided to have the Environmental Hearing Board undertake lengthy hearings on the recommendations, which hearings were poorly attended and of such duration as to leave not only the public but conc^ erned experts bewildered as to whether the Board will be ever capable of coming out with a final and clear recommendation for action. ------- - 9 - 3) They may be an attempt by the power broker to give token recognition to the concept of public participation by providing some opportunity for ventilation of opposing viewpoints. However, in reality the hearing is part of a slick public rela- tions program designed to " —•<" principle (or^oae alternative most favored by the —— "~ proponent) by emphasizing the attributes and glossing over or ignoring entirely the negative aspects or further alternatives, "Planning" for many hydro and highway routing projects has, in the past at least, qualified for this category. Having identified some uses of public hearings, and having seen in these examples a variety of different purposes motivating the hearings, it is not surprising that the criticisms set out at the outset, and others, continue to be made of such procedures. For it is obvious that public hearings are only one device that ought to be used to obtain the public participation objectives of the procedures with which they are connected. Public hearings, as suggested at the outset, are too often viewed as the panacea for public involvement and yet, given the multitude -of specific objectives exemplified above, in themselves may not be truly useful. ------- - 10 - It would appear from analyses done and ob- servations made at some of the hearing processes referred to above, that public involvement varies, and that variation, it is suggested, is related to the following : a) the degree to which individuals or organized groups perceive themselves to be affected by the subject matter of the hearing; b) the immediacy of the perceived action that may result following the hearing; c) the power or perceived power of the institution supposedly interested in the results of the hearing to take action on issues raised at such hearings; d) the ability of persons appearing at the hearing to have any influence in regard to the subject matter of discussion. Assuming that persons feel that the conditions above are such as to make their participation worth- while, such participation may still be affected by the following variables : e) amount and timeliness of notice regarding the subject matter of the hearing and the degree to which such notice or other pre~ ------- - 11 - hearing methods give information about factors (a) - (d) above; f) the degree of information in non-technical language available prior to such hearings concerning the subject of the hearing and the availability of knowledgeable officials to discuss such information; g) the formalities of the hearing process, and where formalities are present, the availa- . bility of persons experienced with the hearing procedures to explain these in ad- vance, to prevent intimidation and encourage / participation, and the availability of other resources, such as legal assistance, money for research, or availability of community organizers. It is suggested that unless the public can perceive the factors suggested and that the other factors above identified are present, public hearings may well be a wasted effort. When hearings are held in circumstances which give rise to such perceptions and are so organized then participation may be more meaningful, positive, and representative than were the forums criticized in the remarks quoted at the outset. ------- THE GREAT LAKES OF THE UNITED STATES AND CANADA A Reader On Management Improvement Strategies Editors Leonard B. Dworsky - Professor, Civil Engineering and Director, Water Resources and Marine Sciences Center, Cornell University Charles F. Swezey - Executive Officer—Canada-United States Inter-University Seminar, Cornell University* The Reader is based on the report of the Canada-United States Inter-University Seminar, "A Proposal for Improving the Management of the Great Lakes of the United States and Canada." And Papers Prepared By James A. Burkholder Natural Resources Management in the Great Lakes Basin Dale Reynolds An Information System for the Management of Lake Ontario An/id L. Thomsen Participation in Water and Land Management Lawrence W. Saunders Toward a National Population Redistribution Policy: Some Policy Issues Donald R. Kisicki Environmental Management of the Great Lakes International Boundary Area's: A Case Study of the Niagara Urban Region James M. Wolf Land Management in the Lake Ontario Basin Douglas M. Carlson Management of the Biological Resources of the Lake Ontario Basin In Collaboration With David J. Allee - Professor, Agricultural Economics and Associate Director Water Resources and Marine Sciences Center, Cornell University Charles D. Gates - Professor, Environmental Engineering, Cornell University As Part of A Great Lakes Experimental Operations Office Established By The Cornell University Water Resources and Marine Sciences Center *Charles F. Swezey, currently Coastal Zone Ecologist, Office of Coastal Environment, National Oceanic & Atmospheric Administration, Rockville, Maryland ------- e x t— CJ in o OJ CL i. CJ >> 1 « /•*> T~ XJ CJ CJ 4J> C -i- oi E JC O 4Jt (Jt it- in O CJ JC 3 CJ JO S *° C 3 n cj o CO Kl JO, CO • -r- to O JC ea in jo QJ > m £ § >> C •O O >•» J * t. c CJ CJ CJ S- CJ CJ 4J JC, C o u CJ O 14- t. *O "O ofore operated without effective restraint simply . t CJ CJ o .c t. -/ (C H ic Ignored or abdicated its responsibilities. The JO CL QJ -1 % CJ 3 c; CJ JO ent years has been radically altered. People are CJ QJ C •r- f- o to 3 .,_ in OJ JC 1— XJ in CJ 5 OJ ro in GJ D O OJ t- ro i. 3 rO C J- 5 | ro in re cn c c ro £ -o C. QJ CL O CL _E C. to C D! GJ 0 O CL GJ to in OJ 4J> 4J> CJ ID QJ CJ C c o u c c JC S • .X JO 3 CL een successful in stopping those activities or at leas JO ro JC f. c. o 1 * CJ GJ ^_ XI irection. 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Working outside D. jrganizations •f 4-J c OJ XJ •f— ^ t — JD ro JD O i. O- 4-1 C O o. i- 5 4-1 in 4 J c CJ in QJ J_ CL OJ s_ 4-1 ro JC 4-1 OJ c 0 tn CJ i- CJ JC 4-1 U- o traints to organize the unorganized on any kind in c o u OJ E •r— 4_> X) c ro in CJ (j S. 3 0 in CJ j- in VI ro JD ro - c o •r- cn 01 S- J^ o ^^ 4_1 •r— C 3 O u o ave been proposed for identifying conn.iunity JC V) QJ 3 CT • r- C, _r~ O OJ J-J 01 QJ t- JC I- ues are easily adapted to Identifying individuals cr c JC o +-i JC cn 3 O 4_> ro JC 4J in CL 3 0 S- cn X) c ro e positional approach, the reputational approach JC 4-1 CJ 5- ro >, OJ JC i— . tn E O .^_ V) *r~ U OJ XI J^ 0 ro o V- CL CL ro r— ro c: o VJ •r— O OJ *^J CJ JC 4-J x> c ro proach" is used to identify individuals and CL ro f— ro c o •p— 4_) •r- tn 0 _CL OJ JC (— 1 c o in o CJ — 4J U QJ l»- 14- ro o 4-* S- o ^ JD XJ OJ 4J O QJ H- l^~ ro 01 jD O 4J C o +J •r- in S ro c QJ S- ro o ^ in CL 3 0 S- Cn c- C c c ro "cL r— ro u o V, CJ •r- 4-1 in i- QJ > C" O in CL 3 O cn 4-1 in CJ i. OJ 4-1 1C ro u CJ CL V) XJ CJ Kt •P— C ro cn i_ O . cn c V ro C committees, local planners, industrial and c OJ N 4-J • *^- 0 QJ ^ -r— 4-1 U ro .. in CL 3 O cn od plain residents, etc. can be identified on a o 14- *. in f— ro u H- 'l O in V) QJ >r- in 3 JD • in >p_ V) ro ,*— ro c o 4-1 ,f— in O CL approach" consists of asking informants to name ro c o 4J ro 3 CL CJ j_ i CJ JC t— uentials. The informants can be seTected P-- 1«- c >, •ff .,— C 3 c O a^ C ro L. X> C ro e of community members. Public agencies involved r^. CL E ro VI E O X) c ro i- ro ^_ O _ QJ C O O- ro jp O in CJ JC t- in d 01 3 C C O in C ro re CJ JD ro 3 ro c QJ 4-> n- CJ OJ 1- ro ro OJ s_ ro O) JC c sed. In this technique all those identified 3 CJ JD O in ro c ro CJ 3 Cr c JC o CJ 4-> formers" as well in identifying othrr influentials. c in ro 4-1 O ro o •^ CJ in ro CJ ro d until no new influentials are identified in GJ 3 C 4-J C o u in in GJ o S- CL QJ JC 1 — ------- o C- CJ CJ i. ro OJ CJ o CJ CL in OJ in c QJ 3 cr 3 4J TO GJ o CJ JO _ _ ^ f— o ^3 ro 3 -^ . tn i CJ o VI x> c o JD 3 QJ O C OJ in QJ CL O CO c 4-> QJ § (/} CJ O> jr CJ (U ^£ fO s. CJ c CJ c?i f- •»— o o ro QJ i_ o 4~> r~ CJ _c ^ o CT> c JZ f Goals and Objectives. o c o 4 « to 3 £ o r— chnical Studies. QJ 1— t*- o in 4J 3 in QJ cr: CM f Alternatives. o c o 4J* ro ~i c ^ o u. cn Alternatives. i^_ o c o f * ro ^ ro UJ ,-j. C ro SI ro E: LL. O C o 4J ro C CJ in s~ CL. LT) lie in the formulation of goals and objectives i n 3 O- OJ .( i cn c > o , , rovides the opportunity to establish good workir CL ^ ff— GJ in 3 ro u OJ JO [ * c ^j J_ O CL E OJ S- cu >OJ 0 VI 4J C o E CJ QJ Cn QJ CO in ro -5 O, OJ o o u QJ JC 4J* .| » ro in Q. in c .*_* 4J> TO CU of the necessity of commitment. It allows the OJ o c QJ in JO ro QJ 4-> O OJ in 3 ro o OJ to get to know and understand one another which o c cn a QJ JC 4J> X) c ro u •*- JO ^ CL t the public participation and decision-making 3 O JC cn 3 O i. JC 4_J 4J C ro 4-? i. CL E in t tn in CU u o L. JO. c involvement through the technical studies is i c .,— JO 3 CL Cn C, c ro 4J c •y i -j e potentially valuable results: CJ i. JC Jj OJ •o •r- ^ o S- Q. O >, r— QJ JX 1 — TO ro x> 14- o E u OJ O. tn S- OJ X) ro o i- JO ra v- 0 c o 4J» •^ tn •f— 3 cr o ^ of assembled data; and c o "f* 4J U »^- u — »i— j_ QJ CJ of relationship with public. 4J C CJ E u i_ o lt- c •r— OJ cr: ro can be especially valuable in this phase. CJ CL o QJ CL r~ ro u »r- C U QJ 4Jt r— TO U O — 1 ion in formulating and evaluating alternatives 4_) TO cx *l— o • r- 4J S- ro CL (J r— JO CL. he dialogue function of public participation •+-> O 4-> >^ t—~ •^ i. ro E *r- CL in QJ 4-> TO ^~ OJ L. 1 J- CJ ro t*- o CJ cn C ra OJ X) c CL X QJ "5 OJ in ro CL in jc c 3 CL C •r— U •t— f— t~l 3 CL. . e ro 1- CO O i- CL ter understanding of feasibilities, develop a 4J- CJ JO TO CL O ^~ QJ > QJ X) in QJ > 4J ro c: f the complexity of the problems including the 0 cn c X) c ro 4-> in i. CJ c 3 s_ OJ 4_> OJ ^o r— OJ L o OJ c TO J^ cr tv u -C o TO o s_ ex 0. • ^~. x> c; f XI c TO tn CL 3 O l- O of organization, OJ QJ cn CJ , i/i OJ c: CJ > "'^ ro c: CJ in OJ CL CJ i- S- •r— QJ ^Z 4J* CO C •^ "O . i- ro en CJ s. XI CJ X) TO t- CO QJ TO Decisions can be • O ,0* OJ o c o; r? r-* t*- c •r— O CU CL O o - (O •• *•**> +J •r- r-~ •»— JTl •r. 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Delivered: International Joint Commission Research Advisory Board Standing Committee on Social Sciences Public Participation Workshop Ann Arbor, Michigan, June 24-25, 1975. ------- BEYOND PUBLIC HEARINGS Like beauty, what constitutes "public participation" is in.the eyes of the beholder. At its basic level, participation means that those affected by decisions should have a role in the making of such decisions. Institutionalization of this citizen decision norm has support in social contact and representational theory in.which elected accountable officials are either trusted to make decisions or act as a conduit for public views. However, as society has become more * complex, major social choice decisions have come to be made not in institutional legislative environments but in less accountable Regulatory 2 Administrative and Planning environments. The citizen participation movement of the 1960s was recognition of this shift in the locus of •v O social choice decision making. Beyond responding to the emergent institutional shift, public participation is also a symptom of the increasing discontinuity between the nature of social choice decisions (esp. Resources) and jurisdictional boundaries. In this light participation is often looked to as a means of •mobilizing a regional affected constituency without regard for jurisdiction or boundaries. Such regional groupings can occur at the intra or international level. Title II's R.B.C. and Federal Interstate compacts are two of the more recent in a long series of intra-national U.S. regional organizations designed to overcome the jurisdictional problems. At the international level the concept of mobilizing regionally defined constituencies into larger societal institutions has been at the ------- 5 heart of discussion on Nation-Building. However, the mobilizing cross-national affected party constituencies around specific Issue areas without regard for jurisdiction boundaries in order to simultaneously influence multiple national planning and/or administrative decisions is still relatively new academically. Some authors have recently gone so far as to suggest application of a modified Title II intra-national body to the international problem of the treat Lakes. The fact that public participation is done intra or internationally, or can be part of administrative, planning or legislative functioning, •complicates the difficult task of clarifying the goals of public participation. Any evaluation of public participation, either generally or in specific cases, must be done against some goals of such programs. The water resources planning literature and actual programs often fail 8 to clarify the nature of such goals. At the broad level it is possible to classify the goals of public participation as data generation; evaluation, and public services. Data generation refers to defining needs, .for the .public of a _jpg1nn. Evaluation generally involves identification of alternative action, impact location, and potential social reactions. The public service goals of participation include representing the public, acting as a "surrogate" public sounding board, aiding in publ-ic acceptance of a plan and/or decision and helping to develop a consensus in a region. In general, governmental regulatory decision making is most concerned with evaluating goals of alternative identification, impact location and reaction. Long "term government planning, while concerned with evaluation, is more likely to be involved with the goal of data generation on regional needs, issues, and goals. Traditional legislative decision making and, ------- indeed, some short term implementation planning tends to focus on service goals such as plan acceptance and representation.. Thus, the multiplicity of goals embodied in public participation depends on the functional and geographic characteristics of decision making environments as well as the multiple perceptions of those actually involved in implementing' such programs. *4 The problem of evaluating techniques for public participation then becomes one of matching component techniques to specific goals and .implementing the appropriate techniques in management. The specific goals being matched depend in great measure on the decision making environment within which the public participation program is operating. *. . » There is a multiplicity of techniques available for public participation Q programs. Their effectiveness depends on what goals they are expected to serve and in what type of decision environment they are used. striking fact of the literature on public participation is its emphasis on techniques coupled with an absence of contextual analysis of the effectiveness of these techniques.^ Legislative requirements for public participation programs by failing to provide specific guidelines encourage the concentration solely on technique. Each program must spend a major portion of its energy and resources deciding which technique is •« — . — — -- — — — -- • "" _ _ __ ^-" appropriate for their study. The danger of a solitary emphasis on technique, besides obscuring . important goal considerations, is the encouragement it gives to non critical borrowing and adopting of techniques. For example, a "community action program" used in one model city may not be suitable for- use in another model city, much less in an international environment. Therefore, in order to avoid the dangers of overemphasis on technique, the managers of ------- public participation programs must establish their goal priori on the basis of these priorities, plus cost, evaluate which techniques would best serve which goals. Complicating the problem of matching techniques to goals" is the basic confusion in public participation between the citizen as actor and the citizen as data base. Sometimes public participation is thought to be "public" decision making, while at other times it is taken to mean expanded consideration of social impacts both long and short run. Public participation in its broadest sense can and should combine data gathering on populations and activity of elements from that population. - Furthermore, it is not necessary that the active elements of a population should be those who generate data on that population. Data generation can be done by numerous experts. To move beyond public hearings, public participation must seek varying combinations of skills built on integrated use of social science expertise and population opinion leading elites. Since there is no "one way" to find the balance the remainder of this paper offers suggestions as to how multiple techniques can encourage both activity by elements of population; and generation of data on those populations in terms of the broad goals of public participation. Techniques of doing public participation can be seen falling into five broad categories: organization frameworks, field work, simulation, expert paneling, survey work, base line data generation, and - political-legal techniques. Within each of these broad areas several specific techniques can be identified. Table 1 is a matrix placing techniques of public participation against ^ the goals of public participation. The checks in the cells indicate a subjective evaluation as to what techniques best serve which goals. ------- Traditional Political «~> •-* Cy v 3 w* "^ C & ra — *» • • * X •~~~ X •< o ^ 1*1 X X X siunpuajsjDyj • x X x X Base Line Data Irnrov»"enc Secondary Survey / X X X £"> r^ -T n c i^ n C 0 1/1 C. o x x X E-' O t. «-- o' 3 X x X X X Surveys - X X X X X X •c c. o > O r- •C r» =) r- O C. 3 ra " 1 x ; x ! * X X 1 >f 1 >C X X X """""" w X X Expert Panel ing Policy Capturing X X i X C: ^! TD 3- j Jx i ! : X I X X Drain- storming X X X X x X - Simulation :r o c o «-» c n "1 «H- v» 53 •o o £* 3~ ua 1 1 ! i i X X 1 1 x 1 j 1 X § X o tv J 3 (C X X X Field Work o "3 r* S 1 <—• 3 fD v/i O «-f VI X X Workshops Offices . i , * ; i i i . i x , X • X J t ' • 1 X X X X X ! - 00, £2 re • ? X >e X x x Primary Plan Or'Mnization Telecoinm. X x X X X Ombudsman 1 Advocacy i i X ! l • i t x : x »t x X X X X t2 — < y • X 5* w^ I_. ^? c x . X 1 x X i <-\ > cr> VI 1 1 ! 1 i x \ x 1 X ; r-< / r*> / I/ r* / \s*l / d / ^ / > / i— ' o" re d- *A O- — *A l/« c o c- o o £* t/> c. ^ ?• c O "^ !— & o —• = ^ — I 1 > => r— r- s H " ?-j 1 r> -j X >* c- » 1 <•* ^ — r. ! S" '• ~ "^ \ & = i o T: . ,— o, " — » rv o «- •a «^ : -j c x or , CW C i2-! i ! •T? X X X C =3 cr *3 --•a ?T 3* n n T A C -o cr f*r — • e< — 3 n 0 IV Sc= 53 /O 0, 3 CL *rt C v« > c 5> B "-— H o > c- VI 7= -C c—» n ------- While each technique can have an effect on other goals the fin of the chart is to relate techniques to their best suited goals. For instance, one of the major problems with citizen advisory committees is that citizen'advisors are recruited on the basis of one goal, and are expected to serve multiple goals. As the chart demonstrates e • — "• " ——-^ CAC's serve best in a broad services capacity by actinias a sounding _^____-._—________^__^___^__ ^ ——^ ~ -S r_ . _ . board or becoming opinion leading elites. While CAC's can'generate data on public needs, issues and goals, they are likely to be inaccurate sources of such data because they are by nature selective and non-representative. CAC's also run the risk of producing misleading evaluations of alternative action calculations, impact location, and potential reactions. If _ citizen advisory committees are seen in inte'rest aggregation roles as representatives for a region, they can undermine the credibility of legitimate representative institutions.'^1 However, if CAC's break down structural separation of citizen-planner; develop cross-role functional coalitions of interest, and recruit a broad range of interest group leaders, they can act as an effective mechanism for cooption and integration of opinion leading elites.into decision making. Major alternative organizational frameworks to CAC's for incorporating public values into the social choice process are technology assessment (TA), advocacy hearings and Ombudsmen. TA represents a relatively new research framework designed specifically to locate secondary and unanticipated 12 consequences of alternative actions. As such its main strengths rest on its ability to identify needs, issues and goals as well as to evaluate such data. Recent attempts have been implemented in combining both a TA framework 13 and CAC structure. ------- - r Advocacy hearings represent a middle ground between a pfr8*fi& Mai and a full scale trial in a lower court. Such a technique is really a fine tuning of the public hearing technique; it attempts to overcome the open-ended nature of hearing procedure, the lack of rules of evidence, and the short commentary periods of such hearings. As such advocacy hearings are geared to evaluation and broad service goals. They are also > often seen as means for reducing litigation and court burdens.- An Ombudsmen approach is best suited to-short turn around responsive situations. Such an institutional arrangement is primarily useful as a sounding board, surrogate public representative and location and reaction index for impacts. Telecommunication techniques, such as "wired city," IB "televoting," etc. are also useful as means for locating impacts, a sounding board, and data generators. However, both of these techniques suffer by the fact that the quality of data is limited by changes ir, sample size and that they, by overburdening the public with choices run the risk of inducing political apathy. Field techniques, are primarily suited to evaluative and broad service goals. Workshops have frequently been used in water resources planning, demonstrations in administrative implementation decisions, and field _ offices in monitoring programsP While workshops have often stressed their role in data generation, the selective ad-hoc nature of those attending the workshops weakens the validity of the data generated. However, workshops, if properly structured with clearly defined roles and objectives can provide interesting evaluations of alternatives, impact locations,.and potential reactions. The workshop's manageable number of people offers unique opportunities ranging from graphic display to encounter techniques.18 ------- - 8 - Field offices, because of continual commitment to monitoring*^? provide important longitudinal impact location and reaction data if classification of data is well conceived. On the other hand, the high degree of institutionalization and links to "official" bodies character- istic of field offices inhibit their "public credibility." Demonstration projects are usually aimed toward selling or educating the public to a project, not encouraging participation. However, it is p'ossible that demonstrations repeated over time can provide unique social laboratory .conditions from which trained experts can monitor relationships between changes in project content and changes in public attitudes while controlling time and geography. . . Participant observation by the public of all planning, legislative and administrative decisions which effect them has roots in the concept of. ^_—_ town meetings. Depending on the degree to which "observer" publics actually participate in any decision environment, excellent selective data on needs, issues and goals can be accumulated from public participation observation. As the stakes in actual decision process rise, the necessity of making value choice trade-offs also rises.. From the arguments over values, issues and goals, profiles of the participants emerge. Unfortunately, constraints of size and recruitment limit the number of publics who could participate. Employment of telecommunication techniques could open up decision environments to increased observation yet such techniques are not likely to increase participation; they also run the risk of turning decision making into a spectator sport." While simulation techniques have been frequently used in technical water resources planning.-integration^fbcial -analysis into them has--proyed a difficult task. The major problem with simulation techniques is that they are ------- •" 9 — . • ... rsosW5*3-]' used to project the optimal political environment possible for^pfarr* support. However, in the absence of data and uncertainties of reaction of future contingencies, simulation can provide excellent evaluative and data generation. Many varieties of simulation from machine-machine to man-machine exist. While machine simulation has the advantage of generating models with small staff and near laboratory conditions, it is orily as good as the data provided. Such simulations often have difficulty sensing new social 20 ~ . parameters. Man-machine simulation, though suffering from selective data, has the advantage of allowing for interaction of planners and other publics -in advisory group structures or workshop settings. The KSIM cross-impact - simulation system for water resources planning has been helpful in problem formulation, variable identification and impact location and reaction. ^ Gaming and role playing are spin-offs of the man-machine simulation v discussed above. Like simulations, data generated by these techniques.on the evaluation process and impact reactions can be significant. Games have been developed in business, education, urban areas, ' civil rights, health 22 care, ecology and politics and government. Even Technology Assessment has seen innovative attempts at gaming in the forms of the BREAKTHROUGH 23 games—Energy Crisis, TA, and R&D. Other game-like simulations such as the computer-aided graphic instruction network PLATO in Illinois, or Harold Lasswell's social planetarium and future firms are innovative attempts at participatory future 24 projection. Games can be as limiting as they are useful. The closer role playing ' < comes to the real world, the more valid the game. Yet as the game — increasingly approximates the real world, the necessity for such a game decreases. ------- - 10 - T\ D A r a Simulation can offer numerous ways of limiting variables, building scenarios and generating data. They are, however, limited by the nature of participants, the requirements for specific expertise and their basically heuristic nature. All too often simulation is used as a convenient substitute for the "real political" world and as a crutch to decision makers, making them feel that they have made manageable the unmanageable. . Because of their relatively low costs in time and money expert paneling techniques are most frequently used in technology forecasting and technology 25 assessment studies. With proper controls, clear research designs, and well-designed questions, expert panels can be a very effective mechanism for generating data and providing evaluation. In some cases, such as "Policy Capturing, they can also be used as a mechanism for public-expert interaction to develop value preference profiles on key issues. They can also uc f)C combined with workshops and citizen advisory groups. Possibilities of 27 expert paneling range from brainstorming to formal Delphi techniques. Such expert techniques are built around the concept that experts about f a population are generating data on that population. When combined with surveys or other techniques involving elements of specific populations; experts can provide comprehensive data and evaluation background for minimal costs. However, in order to be fully used they require experienced management. 0 Without doubt the best method to get at "the regional public" values and attitudes is survey "research work. There is a range of possible survey app all require expertise and money. To a surprising degree, however, some of these problems could be avoided by using a,specialized market research • \ firm offering specific survey pack-ages at varying costs. ' Attitude, ------- opinion and value surveys will provide the best data on a regional population and, when combined with theoretical research, very solid evaluation. Selective telephone surveys and/or interviews are inexpensive, relatively easy, and offer possibilities of combination withother field work techniques. One innovative compromise approach used in a recent technology assessment is a"mini-survey-bayesian"statistical analysis used 28 • • as a check on expert panel social impact projections. As this mini survey suggests, there is a great deal of room for experimentation in this area. Beyond survey work, certain other possibilities for extending data generation on populations exist. For example "election" data can provide » issue salience profiles for regions and base projections of a population's political response. Geo-coding techniques of displaying and aggregating census data are increasingly belngused in health care planning. further area that is generally neglected is the use of secondary survey analysis and data banks as bases for developing population profiles and 30 assessing possible impacts. Advantages of such techniques are that they are relatively accessible and inexpensive. Disadvantages are that the data is time bound, and classification systems might not be well suited to all decision environments. Also access to and integration of such data calls for extension of expertise to social science areas. Traditionally, participation of the public has meant voting for ^presentation. All too often the significance of both the vote andtKe -v. , • — ' legislature is passed off.- as meaningless, over political, and non-technical Nevertheless, insofar as decisions are key social choice decisions, use of traditional modes of public participation is particularly crucial in performing broad service roles of decision acceptance and representation. ------- Thus, use of referendums and politicization of issues in campaigns ' should also be .considered as participation options. Closer integration of legislatures and their representatives to non-legislature decision making environments is another critical option. i , Conclusions Having presented various techniques and goals of public participation— What is the decision maker left with? What guidelines should (s)he follow? 1 To begin with, there is no "one-way" to "do" public participation. Techniques depend on clear articulation of goals which itself depends on the decision making environment. The decision making environment can be characterized in various ways, but for public participation the geographic and functional characteristics are most important. Once having established , goals, the best general policy is employment of multiple techniques built on Integration of a wide range of expertise, government officials, and the general public. It is most important to distinguish when activity by_ people of a region is needed as opposed to data and projections about people in a region. The first instance calls for selective recruitment of opinion leading elites. The second requires social science expertise. Correct phasing of these elements in the decision making environment is critical. Finally, in any case where "public participation" is deemed necessary, t multiple links between decision makers and the public should be maintained. No one group of citizens or techniques will be representative of the public. Thus, such links-can provide mutual checks on varying source input to decision making. Overall, the greatest payoffs for most non-legislative decisions will come through the enhancement of base line data techniques—particularly in ------- use of secondary survey analysis. More emphasis should also be placed on primary survey techniques. However, the most likely techniques to be refined, due to cost problems, are expert panel techniques. Beyond these techniques lies .the opportunity for citizen advisory groups of opinion leading elites, and social science experts to .combine' with government officials in developing a variety of techniques. Public participation as a concept is tooc^oriboVically important to ~~ ~~ be employed Needed .is a clearer emphasis on goals to be attained and less fascination, with employment of techniques simply because they exist. The Harvard Political Scientist Samuel Huntington offers a caveat pertinent to the current indiscriminant use of the public participation concept. He states: To the extent that Americans become carried away " • . by their political ideals, they are in danger of doing away with their political institutions. 31 ------- FOOTNOTES 1.. For background on this dualism note: "Burke and His Bristol Constituency" and "Burke and the French Revolution" in Essays on Government (ed) by Ernest Barker, 2nd Ed., Oxford, 1951. Also; Social Contract (ed) by Ernest Barker, Oxford University Press, New York, 1962. On this legislative-executive relationship note: S. Huritington, "Congressional Responses to the Twentieth Century: in The Congress and America's Future (ed) D.B. Truman, Prentice-Hall, Inc. 1965. 3. 'For further expansion on this ppint note: William B. Eimicke, Public Administration in a Democratic Context: Theory and . Practice. Sage Professional Paper: Administration and Policy Studies Series #03-016, Beverly Hills, 1974. 4. For background on such jurisdictional -problems note: Martha Derthick, Between State and Nation: Regional Organizations of the United States. Brookings Institute, Washington, D.C., 1974. 5. Note: Karl W. Deutsch and W.J.. Foltz (ed), Nation Building-. Aldine Press, Chicago, 1966; K.W. Deutsch, Nationalism and Social Cpmmun. ication, M.I.T. Press, Cambridge, 1953. 6. Within the field of International Relations the movement of study to Transnational Relations is such an example. Note: R.O. Keohane : and J.S. Nye, Jr. (ed), "Transnational Relations and World Politics," International Organization, Vol. XXV, No. 3, Summer 1971. 7. For example: L.B. Dworsky, G.R. Francis, C.F. Swezey, "Management . of the International Great Lakes," National Resources Journal, Vol. 14, No. 1, January 1974, pp. 103-139. • 8. On this problem of goal clarification and the following typology note: Jerry Delli Priscoli, Public Participation in Level B Planning: A Preliminary View, Special Consulting Report to the •U.S. Water Resources Council, Washington, D.C., October 1974. ------- For suggestions and analysis of techniques of in fields other than water resources planning; note: Richard Yukubousky "Community Interaction Techniques in Continuing Transportation Systems Planning: A Framework for Application" in • Citizen Participation and Housing Development. Transportation Research Board, National Research Council, #481, 1974: R. Yukubousky "Citizen Participation in Transportation Planning - A Selected Bibliography," New York State Department of Transportation. Albany, May 1972. 10. Various political scientists ha*e raised some concern over this • - .- problem, note: Lyle E. Schaller, "Is the Citizen Advisory Committee a Threat to Representative Government?" Public Administration Review, 24:3, September 1964rr;_ 179; Nelson W. Polsby and A. Wildavsky, "Toward Participatory Democracy?" The Wall Street Journal. August 3, 1972. x- 11. For further development on these points note: Jerry Delli Priscoli, "Innovations in Public Participation in Water Resources Planning," • • - -Proceedings of the Second National Conference on Water Reuse: "Water's Interface with Energy, Air and Solids. American Institute of Chemi.cal Engineers, Chicago, May 7, 1975. 12. For good overviews of Technology Assessment note: Vary T. Coates, -lecnnology and Public Policy: Tne Krocess or 'lechnology Assessment •in the Federal Government, Program of Policy Studies in Science and Technology, The George Washington University, Washington, D.C., July 1972: Francois Hetman, Society and the Assessment of Technolo . - - . Premises, Concepts, Methodology, Experiments, Areas of Application, Organization for Economic Cooperation and Development, Washington - "and Paris, 1974. 13. Note: Technology Assessment of Terrestial Solar Energy Resource Development, Arthur D. Little, Inc., Cambridge, Mass.; Note: Sherry Arnstein "A Case History Stressing Public Involvement in TA— " in TA Update '74: ISTA Conference Series on Technology Assessment (ed) R.C. DiCicco and J.R. Wall, Control Data Corp. , Arlington, Virginia, September 1974. f " - 14. On this point note: Grant P. Thompson, Courts and Water: The Role of the Judicial Process, NTIS Acquisition #RB 211974. . 15. On this point note: F.A. Anderson, NEPA in the Courts. Baltimore, Johns Hopkins University Press, 1973. ------- 23. 16. On this point note: T.M. Clement, Jr., and Pamela iT Mountain, Engineering a Victory In Our Environment: A Citizen's Guide to the U.S. Army Corps of Engineers, Washington, D.C., U.S. Government Printing Office, 1972. 17. On the general subject of Onbudsman note: Stanley V." Anderson (ed) Ombudsmen for American Government?, Prentice-Hall, Englewood Cliffs, 1968, and Larry B. Hill, "Institutionalization, the Ombudsman and Bureaucracy," American Political Science Review, Vol. LXVIII, September 1974, No. 3, p. 1075. • 4 18. For an interesting look at Telecommunications, techniques and the policy process note: Fred B. Wood, The Potential for Congressional Use of Emergent Telecommunications: An Exploratory Assessment, .Program of Policy Studies in Science and Technology, The George • Washington University, Washington, D.C., May 1974, Monograph #20. 19. There is a great deal of literature on this point. One of the best . -places to start is with The Susquehanna Communication Participation • Study, T.-E. Borton, et al., Michigan University, Ann Arbor, December 1970, NTIS, #AD 717-023. 20. For general overview of concepts in simulation-and modeling, note: Denis L. Little, Models and Simulation—Some Definitions. Institute for the Future, Middletown, April 1970. 21. Note: Pamela A. Kruzic, Cross-Impact Simulation in Water Resources Planning, Stanford Research Institute, November 1974. 22. Note: David W. Zuckerman and Robert E. Horn, The Guide to Simulation Games for Education and Training, Information Resources, Inc., Cambridge, Mass., 1970: Peter House, "An Environmental Gaming Simulation Laboratory," American Institute of Planners Journal, Vol. 35, No. 6, November 1969: Note: Urban Systems, Inc., SMOG, DIRTY WATER, ECOLOGY and POPULATION. f On such games note: Craig Decker, "Dissemination and Testing of a Set of Technology Assessment Games for Encouraging Public Participation in Technology Assessment." Program of Policy Studies in Science and Technology, The George Washington University, November 1974. ------- 24. H. Lasswell "A Community Decision Center on Social Planeta'ri T. Vonier and R. Scribner, "Community Information Expositions, Issue Orientated Displays and Popular Understanding of Social Problems," AAS, 1973, Stuart Umpleby, "Is Greater Citizen ' Participation in Planning Possible and Desirable?" Technological Forecasting, and Social Change, No. 4, 61-76. 25. Op. Cit.; Hetman, Society. 26. Jean Johnson, Policy Capturing, Mini -Technology Assessment for World Futures Society, December 4, 1974. • ' 27. For some. further background on these points note: Selv/yn Enzer, ... Delphi and Cross-Impact Techniques: An Effective. Combination for Systematic Features Analysis, Proceedings of the International •" Future Research Conference, Kyoto, Japan. J.R. Salancik, W. Wenger and E. Heifer, "The Construction of Delphi Events Statements," Technological Forecasting and Social Change, Vol. 3, 1971, pp. 65-73; "'Denis Little, "Social Indicators, Policy Analysis and Simulation," ... - Futures, September 1972, p. 220. 28. Kurt Finsterbush and P. A. Weitzel-O'Neil , A Methodology for the Analysis of Social Impacts, Braddock, Dunn and McDonald, Inc., "... August 1974. 29, Note: U.S. Department of Commerce, Census Use Study (CUS), Report #15, June 1974. 30. Note: Herbert H. Hyman, Secondary Analysis of Sample Surveys Principles, Procedures and Potentialities, John Wiley & Sons, Inc., 1972. 31. Samuel Huntington, "Paradigms of American Politics: Beyond the One, the Two and the Many," Political Science Quarterly, Vol. 89, No. 1, March 1974, p. 22. ------- ------- 'what to Look for in a 208 Public Participation July 22, 1975 1'rojram I-'rsak iU Corrado, Director uffice of Public Affairs 20 y 'Project Officers iiara is a brief guideline for judging work by 208 agendas on their public participation prograsa. Soae of it is subjective, but all of it is baaed oa past expariaoce., ifud:;®^ - The See. 10I(a) budget should be around 10% a$a iainiiatca. Public Affairs would lika to review sub- coatraeta in excess of$2500 for cost effectiveness. - Any public participation program in excess of \$50,000 in total costs should have a Kdniaum of one full "tiaa parsoa assigned to public participation, All other program, no matter what siaa, should hava the equivalent of oatj tian-yaar for this activity. There nust bo a specific contact for public participation in eacy i-ll:iiaiua P r o g rara - jxny 203 program isutft at the outset ostabliah a jaachanisra that affirmatively aeeks to involve all 5?ajar poitits* of view ia the region (fanner, citizen activist, real aateita developer, labor,, industry) ia the process, Ala a, each prosrans nust davelop a r-KJcaanism which is opea- eftued ao that usahers of tha general pxiblic who ^-?is£i, caa participate in the plao d^velopffisat. llj is necessitates aii information prog'caa that informs the general public that ths plan ia under davelopznent and that participation is possible. Therefore, ay a aiaiaiua, each program should have* 1. a cltisen* cdviaory board whidi neets oa a monthly basis p-uhllcly to raview piaa devBlopseat and eocsaent. Technical rasourcaa needed by tha committee to help it review tha progr^sa should be provided by a specific contact. 2. a public iuforsation program should be put togather which iaforiua tha public, via isaas Eiedia, of tha 200 process. Nam 3 of cOiS.:d£tee me sab a rs should ha proia- incntly publicised for public input. Public Ee - nora - ------- — 2 — should be held at key stages by the advisory coimittee for public review. Special Cases - In special cases where thera has been sigaificant public interest on public participation in the 203 process, like HPIC, and where there is significant budget resources, a. staff person on the 208 agency who is directly responsible to the citizens advisory committee is advised. This implies that the person is chosen for the job by the advisory consmittee. Technical Assistance - During the first few months, Region V Public Affairs will provide technical assistance in plan development to EPA 208 project officers. As of this time a "cookbook11 has been prepared for each agency v;ith public participation ideas. Shortly, a slide show will be raade available for each agency to use. At the same time, Region V State public affairs directors are being trained in public participation activities in order that they irdght take over technical assistance on public participation by October of this year. For review of budgets and/or other technical assistance at this tiia© pleas a contact Frank Corrado 3-5800 or com. line 337. Frank M. Corrado cc: Skip Price Bill Cloe James Bowyer State ?AOs ------- ****** ******* ** * *** ** * ** * ** * ** * *** ** * ******* ******* \K ******* ******* ** * ******* ******* *** ******* ******* /kat *********** •*** *** *** *** *** *** *** *** *** *** *** *** *** *** *** ******* ******* * * * * * * * * * * * * * ** * * * ** * * * * ******* ******* ***** ******* * ** * * * *** *** * * * ** * ** * ** * * ** ******* ******* ***** *** ** * *** *** * * * * * * ** * *** *** *** *** ** ** * ** * * ** * * * **** ***- ** * *** * * * * * ** * * * * * * * ** * * * * * * * * * * * ***** * ** * * * *** * ** ******* * * * * * * ******* ***** *** * * * *** *"• 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 ------- 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. ------- ? "NVlr.it I call 'the general crisis of in- dustrial society' has hit the global eco- nomic system." Tovtfeii1 £tjCf;Ec.8 on o I TV r L: • ; a m L-ol[i:i:oB America's continued economic problems have caused many people to reevaluate their opposition to long-term planning. But government and industry are still under the influence of an industrial mentality which assumes that planning must be centralized and hierarchical. Future Shock author Alvin Tofiler believes that the multichannel super-industrial society now evolving will require a flexible, decentralized planning process open to ordinary people as well as experts. broadly representative group of parents, teachers and students in a school, or patients, medical staff and service employees in a hospital into the planning process advances anticipatory democracy. Provided the process is truly paiticipatory and the time horizon reaches beyond, say, 10 years, it str. Athens A and helps educate people to ji1-'; -i more active role in the national politic-1 system as -veil. 11. Democratizing the World future Society through expanding its Membership to include groups now un- di • nrf,-_. iiled, ana to assure fully dernocra1 V internal procedures is yet another L'. •[> In the direction of A/D. Preventing futurism from becoming prematurely aeademicized or super- proftssionali/.ed helps avoid its use as a tool for mystification of the public. These are all examples of A/D ac- tivity. They are not given in any order of precedence, but they reflect the diversity of possibilities. Dozens more could no doubt be cited. We need to iii- rciit many additional kinds of A/D ac- tivity. This will require the help of millions of people from every discipline, from every walk of life, every profes- sio", filmic and clas< background. A de- rn _y that doesn't anticipate the f i. cannot survive. A society that is ;, .id at anticipating but allows the future to be captured by elites is no lunger a democracy. As we move into the future, anticipatory democracies will be the only surviving kind. A!\ in TofOr i- the author of Falun Sli'fk ;,! cl Tin Kco-.^i'iinn Itijitjit. Fur mort nsfor- ir.aiio'-; on }.:< -iriticipatury ------- ,^A .„ » r>/ « A * -,.»- A ) \ / •* / H ? ^. / A 7 A / S » --'--' ..-,',-> .V'- »i*>*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 ------- ------- ;-,";•> i "T7ze sexual mores, family siructures, and value systems of the • society !~npinge on the economic system and ( alter it in sometimes much more important 0 ways than are trackable in any of our econometric models and, fancy input- output systems." • -Alvin Tojjler going to need to have. transnational in- puts into tliat planning process." Tofflc-r r.ho warned against economic planning which fails to take into account social, cultural, and political problems. He declared that "the sexual mores, family structures, and value sy.-tems of the society impinge on the .-conomic system MIC! alter it in soir.eti'-U'S much mure important \\.iys than are tracka- hle in any of our econometric models and f.uicy ii'put-ou'put systems." OJC'.H:: ;\ Pcopk-Can Help Altli'.'iyh ue ru'ffl e.xpols, nays m.*-t Vie fn.,iid to involve ordinary peo- '\iii-: i'i, K. :ij.sr, October 1975 pie in the planning process. Toffler used the analogy of the human eye to de- scribe what is needed: "We need people \\ho can see straight ahead and deep into the problems. Those are the experts. But \ve also need peripheral vision and e.xperts are generally not very good at providing peripheral vision. And I \\mi1d suggest that what we need is a whnlu set of new ways of relating 'experts' —people who have Ph.D.s and specialized expertise — and lay-experts- -those who are ex- tremely expert about their little piece of the environment, whith may turn out to be very impoitunt to the rest of us as well." As we shift from industiialism to super-irdustrn'.lUm, Toffler suggested, network forms of organization will sup- plant pyramidal-bureaucratic forms. The networks will have to be partici- patory, Tolller insisted, and state plan- ning programs like Hawaii 2000, Iowa 2000, and Alternatives for Vv'avhmgton could serve as initial models for such ''anticipatory democracy'' networks. Expressing satisfaction that busi- nessmen and go1, ernmeiit officials are joining the public in taking long-term planning more seriously, Toffler neverthele.-s confessed to a nervous feeling "when I srje big business, big govcinmont, and big unions all agreeing on something." Toffler closed his speech with a warn- ing that "there' i- a tremendous amount of pent-up political emotion in this country. People feel that the future is being bu'nbled a\\ay. And for this reason I believe we are entering ii^o,. "Tech nocratic plo.nn ing, like bureaucracy, is designed for undifferentiatcd or simple industrial societies and for slow- change conditions. But the U.S. is no longer a traditional industrial society, let alone a simple one. Hence, -we need a radically different approach to planning." -Alvin Tojjler the most exciting and turbulent period in the history of planning, in the history of the United States, in the history of industrial society, in the history of the globe. And unless we prove to be highly inventive social innovators, unless \ve begin to invent models that open those channels, we u ill attempt to apply yesterday's obsolete methods to tomor- row's piohh-ms, with di-a-trou^ results for democracy." He concluded with a plea to all futurists to help in finding ways to "dcstandardi'/.e, decentralixe, decoricentrate, descale, and demociat- 219 t i *? *-*^t -------