EPA and the Public
A Handbook On
Public Participation Concepts and Skills
Environmental Protection Agency
1981
Written and Edited by: Marc D. Kaufman
Barry Lawson Associates/ Inc.
190 High Street
Boston, Massachusetts 02110
(617) 742-2574
-------
TABLE OF CONTENTS
INTRODUCTION
HOW TO USE THIS HANDBOOK
I. PLANNING FOR PUBLIC PARTICIPATION
How to Prepare Project Level Public Participation
Workplans 7
How to Budget for Project Level Public Participation . . 19
How to Participate in EPA Program Budget Planning,
and Work with the Zero Base Budgeting System 33
How to Scope a "Community," Identify Potential
Participants, and Build and Use Contact Lists 41
II. CONSULTATION: DIALOGUE AND ASSIMILATION
How to Successfully Work with and Manage Citizen
Advisory Groups 53
How to Organize and Run Effective Public Meetings
and Field Trips 65
How to Conduct and Evaluate Public Hearings 91
How to Prepare and Distribute Responsiveness
Summaries 97
III. INFORMATION AND NOTIFICATION: OUTREACH
How to Plan Public Information Programs and Develop
Publications 105
How to Prepare Public Notices . . . 121
How to Work with the Press and Write Effective
Press Releases 127
Barry Laivson Associates, Inc.
190 Hitih ' Rntinn MA n'JIin
-------
IV. RELATED AND SUPPORTING SKILLS
How to Make Better Presentations at Meetings and
Hearings 137
How and When to Use Audio-Visual (A-V) and Visual Aid
Products 147
How and When to Apply Conflict Resolution Techniques
to Environmental Disputes 1^3
How, When, and Why Conduct Public Opinion and Attitude
Surveys 181
V. APPENDIX
Summary Outline: EPA Policy on Public Participation
EPA Policy on Public Participation
Bibliography
Barry Lawson Associates, Inc.
-------
INTRODUCTION
The U.S. Environmental Protection Agency was established in
the early 1970's amid public outcry against environmental
degradation. Now, ten years later, the agency has incorporated
comprehensive public participation in its pollution control and
abatement activities. EPA needs public participation. As EPA's
programs have matured, they have become more controversial.
Public participation provides a fair opportunity for all parties
to become informed and involved, and affect program results. EPA
managers have found that public participation gives them early
niptice of public concerns so they can plan better and develop
improved solutions. EPA officials have discovered that public
participation can reduce the likelihood of time consuming and
expensive litigation from parties whose concerns have not been
heard or addressed. Finally, active public participation
provides a forum for addressing and ameliorating conflict.
EPA's approach and sensitivity to public concerns has come a
long way from the basic requirements for public notices and
hearings in the early 197fl's. For example, in 1979, the Agency
adopted basic public participation regulations (40 CFR Part 25)
for programs under the Office of Water and Waste Management. In
1980, EPA and the U.S. Department of Transportation published
joint public participation guidelines for Air
Quality/Transportation Planning. In 1981, the Agency announced a
Public Participation Policy applying to all programs, thus
assuring public and private interest groups opportunities to be
aware of, and influence where appropriate, the full range of
decisions by EPA, and by its state and substate grant recipients.
One indication of EPA's progress in public participation is that
the question is no longer whether to have public participation,
but how to have it.
The EPA Public Participation Policy establishes the goals of
increasing public knowledge and understanding of complex issues,
of consulting with interested and affected publics in agency
planning and decision-making, and of building support for
Congressionally-mandated EPA programs and projects. The Policy
lays out procedures that are efficient from a management point of
view and are fair to all sectors of the public.
The decade of trial and error leading up to the development
of the EPA Public Participation Policy has yielded many
conclusions and recommendations. Successful public participation
must begin early. It requires an open planning approach and a
willingness on the part of government agencies to consult
citizens and officials, and to sincerely use the public's
contr ibutions.
INTRODUCTION 1
Barry Lawson Associates, Inc.
190 High Street ¦' Boston. MA 02110
-------
Early and open planning has many ingredients. The purpose
and content of the program must be stated early, and in clear and
specific terms. The public must know what decisions will be
made, and when they are scheduled to occur. A system for two-way
communication must be established. Government agencies must have
effective ways not only to inform and educate, but also to listen
to public concerns, needs, and recommendations, and to respond to
them with appropriate action. A responsiveness summary is one
tool that demonstrates government's ability to listen and
respond.
The open process dictates that the public know who will make
decisions, and on what basis. They must know which choices or
options are open for public scrutiny, which are not, and why.
The public must know the timing of various steps in a project,
the information and sources of information to be used in
decision-making, and the points in the planning process where the
public will be consulted.
The goal is to build trust and credibility, and to keep
emotions, human energy, and conflicts focused on substantive
issues. Honest disagreements among participants, and between
participants and the government become points for discussion and
negotiation. The plan or program that emerges from open planning
is the most likely to gain public and political support.
EPA officials have gained insight into effective public
participation over the years. The following recommendations and
conclusions, or do's and don't's, were drawn from analyses of
past public participation programs. They reflect practical
experience in designing, running, and evaluating public
participation programs.
Some Do's and Don't's
e Effective public participation is a complex process. It
demands a mix of social psychology, planning, and
technical information. Public participation requires the
same level of planning and analysis as engineering or
other technical operations. For public participation
programs, this requires the development of realistic work
plans.
© Poor technical planning work may result in an expensive
loss, but it can be undone given time and money. Poor
public participation programs can prevent projects from
ever being implemented, undermine good technical work, and
are hard to undo, even with time and money.
2 INTRODUCTION
Barry Lawson Associates, Inc.
-------
9 Successful public participation requires the choice of a
planning approach designed with public involvement in
mind. It is difficult to_ insert public participation into
on-going planning programs and approaches that have not
had wide public involvement.
e Developing education or information programs, or creating
a public dialogue does not mean you have established
public participation. The public expects to influence
planning products and decisions, and will be dissatisfied
with anything less.
• Public participation programs must be tailor-made. Each
public participation technique must be suited to the
specific situation and audience. h technique useful in
one part of an EPA region may be inappropriate in another.
o Many public participation programs rely upon "reactive
participation," where the public responds to ideas and
proposals made by others. "Active participation"
programs, where the public can initiate ideas and produce
plans of their own, have often proved successful. Sound
ideas generated by the public often have credibility and
strong political support.
® Participants must know the rules of the game, the limits
of their power, who controls decision-making, and how to
influence decision-making. Most importantly, participants
must understand and accept their role as advisors, and not
as decision-makers.
© Effective public participation requires agency personnel
and financial resources, time, facilities, and materials.
An agency or organization must commit the required
financial and human resources in a public participation
work plan and budget.
© Don't underestimate the ability of participants. With
adequate training and educational resources, many
pa rticipants are capable of mastering complex technical
information and broad planning and policy concepts.
o In many programs and agencies, the real power rests with
staff engineers and planners who analyze information and
make recommendations to their superiors. Public
participants must have access, support, and influence at
this level of decision-making if they are to shape the
choices and alternatives presented to decision-makers.
Open and honest participation is the best means for EPA and
states to meet Congressiona1 and program mandates. The
information in this handbook provides basic, practical skills to
help make public participation easier and more successful.
INTRODUCTION 3
Barry Lawson Associates, Inc.
-------
Acknowledgments
Public participation is a complex subject, drawing upon many
disciplines. Over the years, many people in and out of
government have contributed to an understanding of public
participation. Much has been written on the subject, as the
length of the bibliography in this handbook attests. Employees
of EPA, other federal agencies, and state and local government
have learned much from practical experience. The thousands of
citizen participants involved in EPA projects, and the work of
consultants to EPA, have also contributed to what is known about
public participation.
The editor would like to thank the many people and sources
who contributed directly and indirectly to the material in this
handbook.
Two sources in particular served as the starting point for
this publication. They are: Public Participation Concepts and
Skills, produced by Barry Lawson Associates, Inc. of Boston,
flassachusetts, and Public Participation Evaluation Handbook,
produced by CKT Associates of Topanga, California. SpecTal
thanks go to them.
Special thanks also go to Sharon F. Francis, Gail A. Martin,
Richard J. DeSanti, Cynthia M. Nadai, and the review staff from
EPA Headquarters and the Regions who provided much supoort and
assistance.
Marc D. Kaufman
Writer/Editor
NOTE: This material is the result of research supported in part
by the federal government and as such is not copyrightable.
However, any use of the ideas or materials contained herein must
provide appropriate crediting of Barry Lawson Associates, Inc.,
Boston, Massachusetts.
4 INTRODUCTION
Barry Lawson Associates, Inc.
-------
HOW TO USE THIS HANDBOOK
This handbook is designed as a reference tool for EPA and
state agency personnel and grant recepients of EPA who work with
the public. It contains information and guidance on many public
participation skills. Use it to solve problems and answer
questions. The book was not written to be read cover-to-cover.
Thus some repetition occurs in the handbook. This was done
deliberately so that each chapter could stand alone, and be
copied and mailed in response to a request for information or
guidance. Some redundancy also occurs where concepts in the
Policy are expanded upon in a chapter.
The handbook is divided into four broad chapters, covering
planning and budgeting, consultation techniques, public
information and education, and related and supporting skills and
information. An appendix contains a summary outline of the EPA
Policy, a copy of the policy, and a bibliography.
Each chapter follows a common outline, including:
o The Policy -- A summary of the Policy's requirements,
where appropriate.
« Background and Summary — A short narrative summary of
the key points in the chapter.
• The Essentials -- The most important principles or
techniques on a given subject or topic.
• Other Things to Consider -- Specific techniques, helpful
hints, and detailed supporting information.
« Evaluation -- Questions to ask when evaluating various
aspects of a product or process. The questions are
equally useful to those who design, run and evaluate
public participation programs.
Use the handbook as a personal working resource. Add notes
to the pages or insert additional checklists or local examples,
that will make the handbook more useful to you. For additional
information or guidance, contact the Office of the Administrator
at EPA Headquarters, or one of the ten EPA Regional
Administrators.
Barry Lawson Associates, Inc.
190 Hnjh Street Boston MA 02110
HANDBOOK 5
-------
"d
3
QTQ
O
i-t
CT
n
n
o
3
-------
Barry Lawson Associates, Inc.
190 High Street ' Boston MA 02110
-------
HOW TO PREPARE PROJECT LEVEL
PUBLIC PARTICIPATION WORK PLANS
THE POLICY
According to the Policy, a work plan is a written planning
tool setting forth objectives, schedules, techniques, audiences,
and resource requirements. Work plans are prepared by EPA or
applicants for EPA financial assistance. They may be elements of
regulatory development plans or programs.
At a minimum, work plans must identify the following:
o Key decisions subject to public participation;
© Staff contacts and budget resources to be allocated to
public participation;
o Segments of the public targeted for involvement;
o Proposed schedule for public participation activities to
influence program decisions;
o Mechanisms to apply the five basic functions of public
participation — identification, outreach, dialogue,
assimilation, and feedback.
All reasonable costs identified in an approved work plan are
eligible for financial assistance, subject to statutory or
regulatory limitations.
BACKGROUND AND SUMMARY
A work plan integrates public participation activities with
project milestones, and ensures a role for the public in
influencing project decisions. It is a planr.ing and management
tool: it provides a structure and order to public involvement,
coordinates activities, encourages cost effectiveness, and aids
in timing events and allocating staff and financial resources.
It facilitates coordination between public participation and
technical program activities. The work plan is a written
commitment to public participation on the part of EPA, a state,
or a grant recipient.
A work plan establishes expectations for the public, and
serves as a measuring stick by which the public can evaluate the
effectiveness and timeliness of public participation activities.
It serves as a public information document for interested
citizens and officials. Preparing or reviewing a work plan, can
be one of the first tangible activities of a citizen advisory
group or other involved citizens. They help ensure that the
ideas and techniques proposed in the work plan meet "community"
needs and conditions. The work plan should reinforce an early
and continuing role for the public.
Barry Lawson Associates, Inc.
190 High Street Boston MA 02110
WORK PLANS 7
-------
Work plans must be of sufficient scope and detail to ensure
the adequacy of proposed public participation activities. They
must also be a working guide for carrying out the activities.
For example, rather than state that "dialogue" will take place at
a certain point, the work plan should indicate which consultation
and information techniques will be used, and each activity's
purpose and target audience, publicity methods, and approximate
completion dates.
Work plans must respect and reflect the economic, social, and
political environment of the project setting. A work plan for a
small community must be different than that for a state or
region. EPA must be flexible and adaptable when preparing and
reviewing work plans. They are not static documents; they grow
and change with time and project phase. They should be evaluated
on a regular (e.g., semi-annual) basis. Each work plan must be
tailor-made for each project, and then adapted for changing
situations. Large projects may require a number of work plans.
The goal is for EPA and grant recipients to remain sensitive to
public needs and strive towards common sense public participation
programs.
THE ESSENTIALS
I. How are public participation work plans developed?
A. Every situation and community is unique. A single
"model" work plan is doomed to failure. Analyze the
problem or situation, establish a set of objectives, and
build a program that meets objectives and helps to solve
problems. Every work plan should be tailored to the
specific demands in a community, state, region, or the
nation.
B. The process, of preparing a work plan is cumulative;
follow these steps to develop a work plan:
1. Identify the key decisions to be made during the
planning period.
2. Identify outputs for each key decision; e.g., a
draft of a final report, data findings, or
recommendations.
3. Develop one or more public participation objectives
for each key decision or identified output. For
example, an objective might be to inform the
general public of the nature and scope of an issue,
or to solicit public input on recommended
management programs.
8 WORK PLANS
Barry Lawson Associates, Inc.
-------
4. Target specific people or groups for information
and/or involvement. Target publics could include
interested or affected citizens, business
associations, public interest groups, or elected
officials. In determining these tarqet publics,
consider the following questions -- Who are the
decision makers involved? Is voter approval
required to implement project recommendations? How
much public consensus is needed?
5. Choose specific public participation techniques
based upon the identified objectives and target
publics. Other factors which influence the choice
of techniques are the time and money involved,
available personnel, and the receptivity of the
"community" to the technique.
C. For each information or consultation technique chosen,
the following questions should be addressed:
1. Does the technique meet consultation, information,
or notification goals?
2. What is the purpose of the technique? Is the use
of this technique the best way to meet this
purpose?
3. Who is the target public for the specific
technique?
4. What publicity method or distribution channel will
be used to inform or consult? Does this
communications approach have credibility with the
intended audience?
5. How much lead time is required to accomplish this
task or produce this product? How many hours will
it take? Which staff members will be assigned to
accomplish it? Do they have the time to do it?
6. What is the approximate cost for all phases of this
technique/product, including direct and indirect
costs?
7. How is this technique/product coordinated with
other anticipated participation activities? With
other public participation programs?
Barry Lawson Associates, Inc.
WORK PLANS 9
-------
OTHER THINGS TO CONSIDER
NOTE: The following three sections detail the individual
elements of a work plan.
II. What types of goals should be considered when preparing
a work plan?
A. Setting goals helps to define a public
participation program and the ingredients of a work
plan. The goals of different projects may seem
similar, but in every case, the goals should be
based upon the specific needs identified for the
project or plan.
B. Some common goals include, but are not limited to:
1. Identifying project issues and problems.
7. Ensuring broad community representation in
planning and management.
3. Making programs sensitive to community
economic, social, environmental, and political
values.
4. Encouraging public education on the issues
surrounding a proposal or plan.
~5. Developing plans that are cost effective, and
mirror the demands of the community.
6. Improving and supporting public decision
making in the project.
7. Generating economical and sound alternatives.
8. Resolving highly charged controversies or
conflicts through the participation or a cross
section of affected interests.
9. Developing reasoned or acceptable solutions to
issues and problems.
10. Avoiding delays and diminishing the potential
of litigation slowing or halting a project.
11. Developing public acceptance and support for
the project or plan.
"^12. Complying with the regulations
10 WORK PLANS
Barry Lawson Associates, Inc.
-------
What is EPA looking for in requiring an identification
of target publics?
A. A simple list of the interest groups in a community
should be sufficient. The list should identify all
of the relevant interest groups and points of view
potentially involved in, or affected by, a project
or plan. The list may be shorter and simplier for
a small community than for a large one.
B. Examples of representative target publics common to
many communities include, but are not limited to:
1. Those living adjacent to potential project
s i tes.
2. Industries.
3. Commercial and business interests.
4. Real estate brokers.
5. People or industries that will have to obtain
permits or pay user charges, inspection fees,
full adjustment charges, and other charges.
6. Existing business organizations, such as the
Chamber of Commerce or Business Roundtable.
7. County or municipal agencies and boards.
8. Organized taxpayer groups.
9. Existing civic groups such as the League of
Women Voters, church groups, and service
clubs.
10. Environmentalists.
11. Print and broadcast news media -- reporters
and editors.
12. Farmers.
13. Low income groups, including people on fixed
incomes.
14. Minority groups.
15. Adjacent communities or counties potentially
a f fected.
Barry Lawson Associates, Inc.
WORK PLANS 11
-------
16. Health groups, agencies, and organizations
such as the American Lung Association.
17. Labor unions.
18. Other
IV. How are consultation, notification, and information
techniques chosen?
A. Each proposed participation technique must serve an
identifiable objective, and be tailored to meet a
need at a specific time in the project.
1. Objectives change during different phases of a
project, and may require changes in
participation techniques. In general,
planning projects go through six phases, and
each phase may require different activities.
The phases include:
a. Identifying problems.
b. Establishing goals and objectives.
c. Compiling information.
d. Developing and evaluating alternatives.
e. Selecting a plan.
f. Revising and implementing a plan.
2. The timing of particular techniques is
crucial. A technique that works successfully
at one stage of a project, may not work well
at another. Timing should help to determine
the choice of some techniques.
B. The choice of a specific technique at a specific
point in time should be governed by:
1. The objectives for the phase of the project.
2. The specific advantages and disadvantages of
each technique.
3. Financial and time constraints which exclude
some techniques or approaches.
4. Availability of personnel required to perform
the task.
5. Anticipated receptivity of the "community" to
certain techniques.
12 WORK PLANS
Barry Lawson Associates, Inc. —
-------
What are some of the types of consultation and
information techniques available to public participation
specialists?
A. Representative DIALOGUE techniques include:
1. Public Meeting -- A gathering of officials
and citizens where the primary purpose is the
presentation of new materials and ideas from
EPA, the state, or grant recepient. Meetings
provide an opportunity for attendees to make
comments and ask questions.
2. Public Hearings -- A formal legal mechanism
used to collect public comments on a proposed
federal or state agency action.
3. Advisory Group -- A group of citizens and
officials balanced according to the
definitions of the EPA Pclicy, who provide
advice to managers and staff.
4. Task Force — A group of volunteers convened
to study a specific issue or issues, and to
make recommendations to. EPA, the grant
recipient, the advisory comnittee, or
the consultant. They are generally short-term
and project focused, as opposed to the long
term and broad nature of advisory committees.
5. Workshop -- Concentrated learning sessions
developed for relatively small numbers of
citizens and officials. The goal is to study
an issue, evaluate alternatives, and resolve
outstanding issues.
6. Seminar -- Similiar to workshops, but
generally planned to deal with only a single
issue or problem.
7. Review Group -- A group of citizens and
officials brought together to evaluate
technical and scientific information, and to
recommend courses of action to the EPA, the
state an advisory group, or a consultant.
8. Phone-in Radio/Television Program -- Use of a
radio/television public affairs program that
allows listeners to call the station and talk
to project staff and policy level officials.
Barry Lawson Associates, Inc.
WORK PLANS 13
-------
9. Hotline or Information Phone Number — A phone
line staffed with someone to answer questions
from the public.
B. Representative OUTREACH techniques include:
1. Newsletter -- A regular publication by EPA, a
state, the grant recipient, or the consultant,
developed to keep the primary audience of a
project informed of issues, developments, and
public participation opportunities.
2. News Release -- A written communication to the
news media for use as the basis for a print or
broadcast story.
3. Fact Sheet -- A publication detailing planning
and technical information on narrow aspects of
projects or programs.
4. Brochure — A publication which describes a
complex issue or program as a part of a public
education effort. A brochure describes the
goals, issues, and needs of a project, and the
role of the public in the project.
5. Project Library — An information depository
in a central location(s).
6. Briefing — Well constructed oral and visual
presentation of information.
7. Radio or Television Public Service
Announcements or Advertisements — Paid
advertisements in the print or broadcast
media; not to be confused with free public
service announcements in the broadcast media
(generally 10-30 seconds in length).
8. Responsiveness Summary — A written document
identifying public comments and agency
responses, and distributed to participants and
decision-makers. (Also assimilation.)
9. Interviews -- Structured one-to-one meetings
between project staff and key officials and
citizens. The goals of conducting interviews
range from the collection of information to
informing others- about the project.
10. Referendum — Submitting an issue to popular
vote to ascertain the preferences of voters.
14 WORK PLANS
Barry Lawsort Associates, Inc.
-------
11. Public Opinion Survey -- A method of
ascertaining public perceptions or attitudes
on an issue or problem, through statistically
valid sampling and interviewing or polling.
12. Newsletters/Newspaper Mail-Back Survey --
A mechanism to sample public attitudes and
priorities, test for potential support or
opposition, and identify political problems
and public participation objectives.
13. Staffed Telephone Number for Submitting
Comments -- Establishing a telephone line,
usually toll free, for collecting public
comments.
14. Summaries of Technical Reports -- They are
written for non-technical audiences, and
educate people on the content of technical
studies and reports.
15. Executive Summary -- A lay summary of a
planning report.
16. Audio-visual programs, including slide shows,
and slide tape programs.
17. Films on the project, or presentation at a
film festival on related issues.
18. Posters -- Posters prepared for public display
in a community/region.
19. Public Displays — Staffed or free standing
graphic presentations of information.
20. Radio and/or Television Public Affairs
Programs — Use of free broadcast news or
public affairs opportunities.
21. School Programs -- Educational presentations
designed for primary and secondary school, and
college and university students.
22. Creative Presentations -- Designing
informational programs on a project paying
particular attention to cultural or ethnic
needs.
23. Speakers Bureau/Public Speaking
Establishing a system for providing public
speakers to various audiences.
Barry Lawson Associates, Inc.
WORK PLANS 15
-------
VI. If an agency is considering hiring a public
participation coordinator, what are some of the
qualifications and responsibilities of the person?
A. Some of the qualifications include:
1. Experience and understanding of EPA's public
participation Policy, public participation
regulations, environmental impact statement
procedures, and EPA planning and
implementation activities.
2. Background and experience in public
communication, citizen involvement, small and
large group dynamics, and methods to involve
the public in agency priority setting and
decision making.
3. Ability to work with divergent groups.
4. Knowledge of community structures and
organizations.
EVALUATION
VII. What are some questions to ask when evaluating public
participation work plans?
A. Can the goals and objectives stated in the work
plan be met by the overall work program?
B. Can the proposed methods and techniques produce
effective public involvement -by each of the
targeted audiences?
C. Do the targeted publics represent a cross section
of potentially affected publics? Are some obvious
target publics missing?
D. Do proposed consultation activities provide for
adequate feedback to the public about how its
information and opinions have been used?
E. Do public participation opportunities relate to key
decision points and priority issues in the planning
process?
F. Does the proposed work plan reflect a realistic
understanding of the staffing and time requirements
16 WORK PLANS
Barry Lawson Associates, Inc.
-------
to perform public participation? Materials
preparation? Distribution and mailing? Staff
availability? Timing? Actual costs?
G. Does the work plan budget seem cost effective?
Does the work plan suggest that program elements
will build upon existing community committees,
newsletters, service groups, and other organized
groups? Does this proposed "piggy-backing"
maintain credibility for the project?
H. Do the proposed actions identified in the work plan
meet the regulatory requirements? Does the
work plan identify:
1. Staff contacts?
2. Budget resources?
3. Schedule of major consultation activities
keyed to major decision points?
4. Schedule of major information products,
released prior to consultation points?
5. Information mechanisms?
^. Target publics?
7. Inclusion of an advisory group, including a
description of its responsibilities?
8. Coordination among programs.
9. Inclusion of a mechanism for regularly
evaluating the work plan.
I. Are the budget figures realistic compared to other
projects of a similar size and community type?
J. Does it appear that the work plan has been
developed to meet the specific conditions and needs
of this project, or has a boiler plate work plan
been added to a grant application? Is the work
plan project specific? Problem solving in its
orientation?
K. Are there provisions for coordination with other
groups or agencies which may be performing similiar
public participation and information activities?
Barry Lawson Associates, Inc.
WORK PLANS 17
-------
EXAMPLES OF WORK PLANS
NOTE: These examples of work plans are provided for
illustrative purposes only. EPA does not recommend a
single format. Review them for detail, structure, and
design; then choose a format that best meets your needs.
In choosing examples for comments, neither EPA nor
Lawson Associates seeks to criticize any particular
government agency, grant recipient, or consultant. The
examples were chosen because they provided an
opportunity to make a particular comment or observation.
Finally, only parts of work plans are presented. The
actual work plans are longer than what has been
reprod uced.
18 WORK PLANS
Barry Lawson Associates, Inc.
-------
EXAMPLE A
MILLBROOK VALLEY INTERCEPTOR SEWER
GOOD FEATURES
1. Each of the decision points
in the project are identified
by phases. For each phase,
the activities, objectives
and dates are stated.
AREAS NEEDING IMPROVEMENTS
1. The audiences affected
by this project are not
identified clearly.
2. The staff contacts are clearly
visible on the title page.
Both addresses and phone
numbers are provided.
3. Consultation and information
techniques are divided into
their respective categories.
This gives the public an idea
of when to expect information
on the project versus an
opportunity to participate.
4. Budgets have been developed for
both direct and indirect expenses.
5. Additional information provided
in the work plans includes addresses
of town halls, libraries, and
newspapers.
Barry Lawson Associates, Inc.
WORK PLANS A-l
-------
EXAMPLE A
MILLBROOK VALLEY INTERCEPTOR SEWER
201 FACILITIES PLANNING PROJECT
PUBLIC PARTICIPATION WORK PLAN
(Full scale program)
Public Participation Coordinator
John R. Elwood, Project Manager
Metropolitan District Commission (MDC)
20 Somerset Street
Boston, Massachusetts 02108
617 - 727-8880
Consultants:
Engineering
Steven H. Corr, Project Manager
Weston & Sampson Engineers, inc.
10 High Street
Boston, Massachusetts 02110
617 - 357 - 5995
Environmental Assessment
Carl Noyes, Project Manager
Jason M. Cortell and
Associates, Inc.
244 Second Avenue
Waltham, Massachusetts
617 - 890-3737
WESTON & SAMPSON ENGINEERS, INC.
Steven H. Corr
Vice President
August 30, 1.979
A-2 WORK PLANS
-------
Millbrook Valley
SCHEDULE OF ACTIVITIES
Phase I - Preparation of Study and Work Plan
Activity
Opening letter to
interested parties
Purpose
Inform Town Manager and interested
organizations of start of Facility
Plan, and formation of public Ad-
visory Group.
Approximate Date
June 28, 1979
Establishment of To ensure interested citizens stay July 23, 1979
Mailing List informed while the project contin-
ues. included in this list will be
libraries, newspapers, and radio
stations.
Initial meeting of
Public Advisory Group
Introduction of officials, engineers,
description of project and Advisory
Group's duties. Review of draft of
Work Plan, choose a Group Chairperson,
August 20, 1979
£
0
8
v
>
2
cn
>
1
IjO
Completion of Work Plan
Public Notice of
Project
Inform mailing list of formation of
Advisory Group, purpose of project,
copy of Work Plan.
Early September
-------
Millbrook Valley
PROJECTED MANHOURS FOR
PUBLIC PRESENTATION - WESTON & SAMPSON
Activity Est. Manhours
Prepare mailing list 16
Mailings to organizations 44
Prepare technical information 88
for public meetings and Hearing
Public Meetings 24
Public Hearing 24
Meetings with Town officials 72
Establish Public Advisory Group 40
Meetings with Public Advisory Group 40
Technical preparation & Responsiveness Summary 120
Preparation of Work Plan 20
Final Summary of Public Participation Program
& Public Hearing 40
Total 528
Total Cost (From Contract, including
overhead and profit) $13,600
. MDC PROJECTED MANHOURS
Staffing is estimated at 250 hours.
A-4 WORK PLANS
-------
CONSULTANTS EXPENSES
Weston & Sampson Engineers,lnc.-Jason M. Cortell & Associates, Inc.
Reproductions and Xeroxing
Including Work Plan, Responsiveness Summary, Meeting
Notices, handouts, Report sections
12,000 pages @ $0.10/page $1,200.00
Graphics for Meetings
Including maps, charts, slides, overhead
reprints for public meetings
100 sheets (§> $2.50/sheet 250.00
Travel
24 miles (a) 9 trips x 2 Consultants d> $0.17/mile 73.00
Stenographic
For Public Hearing 250.00
Meeting Rooms
4 meetings @> $150/meeting 600.00
Advertis ing
3 meetings @ 2 ads/meeting @ $100/ad 500.00
Total Consultant out-of-pocket Expenses $2,873.00
WORK PLANS A-5
-------
Millbrook Valley
CONSULTATION TECHNIQUES
1. Public Advisory Group
2. Public Meetings
3. Public Hearing
4. Work Plan
5. Fact Sheet
6. Availability of Public Coordinator and Engineer
INFORMATION TECHNIQUES
1. Project Responsiveness Summary. To be sent out during
Phases II, III, and IV.
2. Availability of Project information in libraries and
town halis.
3. Public Meetings
4. Public Hearing
5. Use of Media (radio, newspaper)
6. Public Advisory Group
A-6 WORK PLANS
-------
Millbrook Valley
ADDRESSES OF LIBRARIES AND TOWN HALLS
Lexington
Cary Memorial Library
1874 Massachusetts Avenue
Lexington, Massachusetts
Lexington Town Hall
1625 Massachusetts Avenue
Lexington, Massachusetts
Bedford
Bedford Public Library
Mudge Way
Bedford, Massachusetts
Bedford Town Hall
16 South Road
Bedford, Massachusetts
Arlington
Robbins Library
700 Massachusetts Avenue
Arlington, Massachusetts
Arlington Town Hall
730 Massachusetts Avenue
Arlington, Massachusetts
L incoln
Lincoln Public Library
Bedford Road
Lincoln, Massachusetts
Lincoln Town Hall
Lincoln Road
Lincoln, Massachusetts
NEWSPAPERS
Arlington Arlington Advocate
4 Water Street
Arlington, Massachusetts 02174
Bedford Bedford Minute-Man
9 Meriam Street
Lexington, Massachusetts 02173
Lexington Lexington Minute-Man
9 Meriam Street
Lexington, Massachusetts 02173
WORK PLANS A-7
-------
EXAMPLE B
CAPE COD
GOOD FEATURES
1. This work plan is directed
towards achieving an overall
objective by completing
certain procedures.
Procedures serve as decision
points or tasks.
2. Each procedure details the
interagency coordination,
involvement of elected
officials, public
information and
consultation techniques,
and existing planning activities
3. Budget information is precise
and structured according
to procedures.
AREAS NEEDING IMPROVEMENTS
1. More detail is required on
identifying the audiences
affected by the project,
aside from the elected
officials.
2. A schedule would be
helpful so that the
public can anticipate,
and prepare to become
involved.
3. The Public Information
and Consultation section
could be more detailed,
identifying meetings,
news releases, response
to comments, etc.
4. The appropriate agency
contacts should be
identi f ied.
Barry Lawson Associates, Inc.
WORK PLANS B-l
-------
EXAMPLE B
CAPE COO PLANN8NG AND ECONOMIC DEVELOPMENT CO^^ISSION
18T DISTRICT COURT HOUSE, BARNSTABLE, MASSACHUSETTS 02630
Tblephonbi fl17-3G2-2S1 1
UNIFIED WORK PROGRAM
FOR
TRANSPORTATION AND TRANSPORTATION-RELATED
PLANNING ACTIVITIES
(MARCH 20, 1979 - JUNE 30, 1981)
MAY, 19 8 0
Original UWP -
Amendment #1
Amendment #2
January, 1979
October, 1979
May, 19 8 0
B-2 WORK PLANS
-------
AMENDMENT #2
Cape Cod
CCPEDC
UNIFIED WORK PROGRAM
TASK: #2.3
TASK TITLE: Transportation - Air Quality Planning
OBJECTIVES:
To plan, evaluate and recommend measures to control air pollution
from mobile sources so as to attain Federal Ambient Air Quality
Standards within the time limits mandated by the Federal Clean Air
Amendments of 1977 , and to insure the consistency of the regional
transportation planning process with' the State Implementation Plan
(SIP).
PREVIOUS WORK:
Massachusetts State Implementation Plan (SIP), 1978.
PROCEDURES:
I. Establish and Maintain An Integrated Air Quality -
Transportation Planning Process (Product 1/ A - E )
A. Interagency Coordination
*1. Identify specific role and responsibility of agency
in terms of transportation and/or air quality
planning and implementation functions. (DEQE, EOTC,
DPW, CCPEDC). This will be carried out and funded
under Task 1.3 - Prospectus.
**2. Develop and continue to maintain a Memorandum of
Understanding which establishes formal and informal
working relationships among programs and agencies.
(DEQE, EOTC, DPW, CCPEDC)
a. procedures for informal coordination among staffs
(staff contacts, etc.)
b. procedures for disseminating new data, analytical
procedures, and/or research findings
WORK PLANS B-3
-------
Cape Cod
c. continuation of interagency task force
**3. Documentation/Progress Reports (DEQE, EOTC, DPW, CCPEDC)
Involvement of Elected Officials
**1. Provide information to elected officials regarding
range of measures or packages of measures that should be
considered. (DEQE, CCPEDC)
**2. Provide detailed information to elected officials on
specific transportation measures as they are developed
and evaluated. (DEQE, CCPEDC)
**3. Obtain commitment of elected officials to support, fund,
and/or implement air quality-related transportation pro-
grams and projects as they are identified. (DEQE, CCPEDC)
**4. Advise elected officials of any proposed modifications to
air quality-related transportation projects and programs.
(DEQE, CCPEDC)
**5. Informational materials will be prepared for monthly
meetings of CCJTC and CCRTA. (DEQE, CCPEDC)
Note: The above Porcedures 1-4 will be carried out at
monthly meetings of the Cape Cod Joint Transportation
Committee (CCJTC) and the Cape Cod Regional Transit Authority
(CCRTA). Separate meetings with Town Boards of Selectmen
will also be held as necessary.
Public Information and Consultation
**1. A mailing list of groups interested in air quality issues
will be compiled and updated . (DEQE, CCPEDC)
**2. An Air Quality Subcommittee of the CCJTC will be formed and
will include groups identified above who are concerned with
air quality matters. The Air Quality Subcommittee will be
responsible for providing monthly reports to both the
CCJTC and CCRTA.
**3. Periodic reassessment of the public involvement process
through the CCJTC Air Quality Subcommittee will be under-
taken .
**4. The Air Quality Subcommittee will be utilized as the public
involvement mechanism throughout the entire air quality
work program including formulation and adoption of a Air
Quality Plan in the Second Round.
B-4 WORK PLANS
-------
Cape Cod
***5. EPA-DOT "Guideline for Public Participation" will be
reviewed and tailored to best suit the region. (CCPEDC)
**6. Documentation/Progress Report. (DEQE, CCPEDC) (First and
Second Rounds)
D. Existing Planning Activities
*1. Undertake annual review of transportation plans and programs
for consistency with the State Implementation Plan, as
required by the Federal Highway Administration under 23 USC
10 9 (j), according to criteria and procedures established
in the SIP. (DEQE, EOTC, DPW, CCPEDC) Second Year
Activities — FHWA/MDPW
**2. Revise planning documents (UPWP, TIP, TSME, etc.)
appropriately to reflect air quality considerations. (EOTC,
DPW, CCPEDC)
**3. Documentation/Progress Reports. (DEQE, EOTC, DPW, CCPEDC)
Defining the Problem (Product #11/ A - C )
*A. CO Hotspot Screening Process (CCPEDC)
Collect relevant data from existing sources for identified
high congested/populated urban areas, on regional emissions,
meteorological conditions and other relevant air quality related
topics. Analyze traffic and congestion factors to determine a
list of potential CO "hot spots" based on preliminary screening.
Begin evaluating in more detail those identified verified
CO "hot spot" areas, as first year Section 175 funding allows.
Preliminary evaluation within the identified highly congested/
populated urban areas of the region (those areas to be identified
by the region) of potential CO "hot spot" areas. Priority
listing of potential and verified CO "hot spots".
**B. Air Quality Analysis (Emission Inventory and Future Projections,
Level of Control, etc. (DEQE, DPW, CCPEDC). The CCPEDC will
build up a technical capability for conducting air quality
analysis through:
a. data collection validation and strategy validation
& population.revision (consistent with water quality
update in 1980)
« emission inventory
® geometries/green time (updated)
WORK PLANS B-5
-------
Cape Cod
**V. Administration and Management
Monthly invoices will be prepared. Quarterly and Final Progress
Reports consistent with UMTA reporting requirements will also
be submitted.
PRODUCTS
* * I-A Develop and maintain the DEQE - Cape Cod MPO Memorandum of
Understanding re: The Conduct of Transportation Air Quality
Planning in the Development of the Regional Transportation
Element of the SIP.
**I-B Informational materials for monthly meetings of CCJTC and
CCRTA and separate meetings with Town Boards of Selectmen
as necessary, (on-going)
**I-C A CCJTC Air Quality Subcommittee will be established, and
staffed to provide public input into the formulation and
adoption of an Air Quality Plan for the Cape Cod Region.
This Committee will be maintained and utilized throughout
the duration of the program.
* *I-D Annual review of transportation plans and programs for con-
sistency with the State Implementation Plan, (on-going)
***I-E An adopted Public Participation Process.
*II-A A Priority Listing of potential and verified "hot spots"
on Cape Cod.
*II-B Collection of data and selection of models which will be used
in evaluating air quality problems on Cape Cod.
***II-C An updated or revised priority listing of potential and ver-
ified CO "hot spots" on Cape Cod.
**III—A Evaluate and respond to long term public policies relative to
air quality.
* III—B Preliminary screening of RACM's and description of methods for
analyzing transportation RACM's and their impacts.
**III-C Evaluate area specific alternative RACM measures and packages
of RACM measures.
**III-D/ Draft Recommendation of Specific RACM Projects in First Year
E which could reduce emissions by percent targeted in SIP
Program.Final recommendations with Further Analysis in
Second Round
B-6 WORK PLANS
-------
Cape Cod
***IV- D An Air Quality Plan for the Cape Cod Region will be
recommended and formulated in the Second Round.
***IV- E Appropriate memorandum, funding/budget proposals, site analysis,
regulations and reports.
**V-A Monthly invoices, quarterly progress report and a final
report.
The Final Report will have incorporated within its Products
I through IV above. It will, therefore, include a review
of transportation plans and programs for consistency with
the State Implementation Plan. The final reportswill also
serve as the annual reports to DEQE and EPA on the status of
air quality and transportation planning in the Cape Cod
region.
Products from other tasks listed in this UWP which will be
incorporated within the products of Task 2.3:
1. Unified Work Program - Annual Update and Extension
(Amendments) (Task 1.2)
2. Unified Work Program - Development for next 2 years
(Task 1.2)
3. Prospectus (Task 1.3)
4. Annual Transportation Reports(Task 1.4)
5. Detailed Development of Regional Transportation Plan
for Upper and Outer Cape Cod Areas. (Task 2.1)
6. Update of Transportation Plan for Mid-Cape Cod Area
(Task 2.1)
7. Annual Review and Endorsement of Regional Transportation
Plan for Cape Cod for both TSM & LRE. (Task 2.1)
8. Maintenance and Updating of Transit Development
Program - TDP. (Task #2.5)
9. Transportation Improvement Program (TIP). (Task 3.1)
LEGEND FOR TASK 2.3
*First Round Only
**First & Second Round
***Second Round Only
WORK PLANS B-7
-------
BUDGET INFORMATION
Cape Cod
Grantee: Cape Cod Planning & Economic} Development Commission
Project No:
PROJECT BUDGET
1st Round 2nd Round
Personnel $20,000 §26,996
Fringe Benefits $ 1,500 $ 1,600
Travel $ 1,000 $ 1,700
Supplies $ 1,000
Printing $ 2,344
Total $26,344 $30,296
I Establish and Maintain an Integrated Air Quality/Transportation
Planning Process
1st Round 2nd Round
A. Develop/Maintain Air Quality MOU $ 700 200
B. Informational Materials for Meetings $ 2,000 $ 1,400
C. Establishment and Staffing of CCJTC $ 4,000 $ 3,000
Air Qualtiy Subcommittee/Public
Information
D. Existing Planning Activities/Consistency $ 2,000 $ 1,400
with SIP
Sub-Total $ 8,700 $ 6,000
II Defining the Problem
A. Priority Listing of CO "hot spots" $ 700
on Cape Cod
B. Analysis of Air Quality problems $ 600 $ 1,000
on Cape. Cod
C. Development of CO "hot spot" - $ 1,000
attainment measures
Sub-Total $ 1,300 $ 2,000
B-8 WORK PLANS
-------
Cape Cod
[II Evaluation of Alternative Measures and Strategy Development
1st Round 2nd Round
A. Long term public policies relative to air $ 494 800
quality
B. Preliminary Screening RACM's and Methods $ 2,000
for analyzing impacts of RACM's
C. Evaluate Individual and Packages of RACM's $ 9,000 $ 3,500
D/E. Recommendation of Specific RACM Projects in $ 3,000 $ 4,700
First Year which could reduce emissions as
percent targeted in SIP and Second Round
Programming
Sub-Total $14,494 $ 9,000
IV Plan Formulation Adoption, Implementation
A. Draft and Final Air Quality Plan for $ 500 $ 2,000
Cape Cod.Region
B. Assistance In Implementating Plan - $ 9,000
Sub-Total $ 500 $11,000
V Invoices, Quarterly Reports and Final Report $ 1,350 $ 2,296
Sub-Total $ 1,350 $ 2,296
PROJECT FINANCING
1st Round 2nd Round
Federal Grant (100%) $26,344 $30,296
CASH DISBURSEMENT SCHEDULE
1st Round 2nd Round
Quarter
1 $ 6,500 $ 5,049
2 $ 6,500 $ 5,049
3 $ 6,500 $ 5,049
4 $ 6,844 $ 5,049
5 - $ 5,049
6 - $ 5,051
Total $26,344 $30,296
WORK PLANS B-9
-------
EXAMPLE C
PARKERVILLE
GOOD FEATURES
1. The brief project background
provides participants with a
useful overview, and recognizes
the work plan as a public
information document.
2. Target audiences are addressed
explic i tly.
3. Decision points are clearly
identified with accompanying
information and consultation
techniques.
4. Explain how the Parkerville
project relates to other water
quality planning projects.
This encourages coordination
and helps to avoid duplication.
5. Staff contacts are clearly
identified so that people
are encouraged to call them
and ask for additional
information, or to be placed
on the mailing list.
AREAS NEEDING IMPROVEMENTS
1. Even though each activity
is timed to a specific
month, an overall graphic
schedule would be helpful.
2. More detail is needed to
explain the objectives for
each phase of the project.
Barry Lawson Associates, Inc.
WORK PLANS C-l
-------
EXAMPLE C
PUBLIC PARTICIPATION WORK PLAN FOR PARKERVILLE
(Full Scale Program Work Plan Model)
In conformance with
25.11 and
35.917-5(c)(3)(v).
Background
The Town of Parkerville has begun a comprehensive program to solve
its sewage problems. On March 23, 1979 Parkerville was awarded a
State and federal grant to help fund the first part of this program -
a one year planning effort to explore various alternatives for the
adequate treatment and disposal of the Town's wastewater. This
effort, called "facilities planning," is described in the fact sheet,
Clean Water for Parkerville, which accompanies this Work Plan.
The Parkerville Town Council, on the basis of competitive bid, has
hired the engineering firm, Dezine & Specks Inc., of Sometown to do
the technical planning and evaluations. In order to assure that the
opinions and concerns of the Town's residents are accounted for in
this work, several measures will be taken. This Work Plan describes
these citizen involvement measures.
The Public Participation Work Plan for Parkerville was developed by
Mr. Harold Leachfield and Ms. Sue Erline. Ms. Erline is the
Administrative Assistant to the Town Council and Mr. Leachfield has
been hired by the Council to serve as the Public Participation
Coordinator on the project. Mr. Leachfield has lived in Parkerville
for 23 years and has been active in community affairs through several
local organizations. Mr. Leachfield is a retired community planner
with extensive experience in several government programs. His
relevant background includes writing public information, working with
community groups and advisory committees, conducting citizen surveys,
and organizing conferences and public meetings.
If you would like to comment on the Work Plan or if you would like
more information on the project, contact Mr. Leachfield or Ms. Erline
(see Page 3 for addresses and phone numbers).
C-2 WORK PLANS
-------
Parkerville
Who In Parkerville Will be Involved in the Project?
Segments of Public Targeted
or Involvement
25.11(b)(4)
This depends upon the people of Parkerville. Because the project will
eventually affect everyone in the Town, measures will be taken to reach the
general public as well as identified active citizens and interested
organizations.
-The project will reach out to all of the residents of the
community through news releases, publication of fact sheets in
the local newspaper, two public meetings and a public hearing.
-Direct mailing of meeting notices and fact sheets will be used
to inform
o residents in identified "problem areas" (potential
"users")
o abutters to potential treatment sites
o members of local interest groups, especially the
Chamber of Commerce, the League of Women Voters
and the Taxpayer's Association,
o the local media
o advisory committee members
WORK PLANS C-3
-------
Parkerville
How and When Will the Citizens of Parkervllle be Involved in the Project?
Schedule and
in f ormat i on / cons ul ta t i on
mechanisms
25.11(b)(2) and (3)
Decision Phase
Information Mechanisms
Consultation Mechanisms
Develop public
participation
work plan
(month 1)
Fact Sheet; News Release
(month 1)
S
> 0 I 'T iflM *•>
Select Advisory Committee;
Open Meeting with Grantee,
including Advisory Commi-
ttee (month 1)
Assess Problem
and Needs '
(months 2-4)
Meeting Notice, Fact Sheet
(month 2)
News Release
(month 3)
Information Materials for
Public Meeting and Advisory
Committee Meetings
(months 2,3,4)
Responsiveness Summary
(month 4)
Public Meeting
(month *0
Advisory Committee
Meetings
(months 2,3,4)
Evaluate Alterna-
tives
(months 5-9)
Meeting Notice; Fact Sheet
(month 7)
News Release
(month 8)
Informational Materials
for Advisory Committee
Meetings (months 4,5,6,
7,8,9)
Advisory Committee Field
Trip (month 7)
Responsiveness Summary
(month 9)
Public Meeting
(month 8)
Advisory Committee
Meetings
months 5,6,7,8,9)
Select Alterna-
tive
(months 10-12)
Hearing Notice
(month 10)
News Release
(month 12)
Fact Sheet
(month 11)
Informational materials
for the Public Hearing
(month 12)
Informational materials for
Advisory Committee Meetings
(months 10,11,12)
Responsiveness Summary
(month 12)
Public Hearing
(month 12)
Advisory Committee
Meetings
(months 10,11,12)
C-4 WORK PLANS
-------
Parkerville
How Does the Parkervllle Project Relate to Other Water Quality Planning?
208 Coordination
35.917-5(c)(3)(v)
Last year the Silver Salmon Regional Planning Commission adopted and
submitted to the state an "areawide water quality management plan." This
plan was the result of a two year planning process which looked at
several aspects of water pollution control. Parkerville was represented
on both the Commission and its water quality advisory committee during
the study. Individuals who represented Parkerville during the Commission
study will be included on the mailing list and they will be invited to
serve <21 the Parkerville Clean Water Advisory Committee. Silver Salmon
Commission Staff will also be invited to attend public meetings and some
advisory committee meetings.
WORK PLANS C-5
-------
Parkerville
How Much Will The Public Participation Program Cost?
Staff Contact
and Budget by
Category
25.11(b)(1)
The following budget items, as with the rest of the facility planning
costs, are reimbursible through the Federal grant at the rate of 75 per
cent. The remaining 25 per cent will come from State and local funds.
Staff and Budget
Public Participation Coordinator
-Preparation of public participation work plan and
fact sheet (including work in the community)
5 days at $100 per day
-Preparation for two public meetings and the
Public hearing
3 days per event at $100 per day
-Preparation of H news releases, U fact sheets
3 responsiveness summaries, meeting and hearing
handouts
14 items at an average of one day per item
at $100 per day
-Staff responsibilities to the advisory committee,
including preparing for and attending 12 advisory
committee meetings, arranging the field trip,
informal community meetings and other liaison
work at $100 per day _
Subtotal 78 days $7800
5 days $500
9 days 900
1H days 1400
50 days 5000
C-6 WORK PLANS
-------
Parkerville
Engineering Staff
-Prepare for and attend two public: 'meetings
and the public hearing, including assistance
in preparing informational materials
8 days at $250 per day 8 days 2000
-Prepare for and attend 12 advisory committee
meetings
12 days at $250 per day 12 days 3000
Subtotal 20 days $5000
TOTAL 98 days $12,000
Other Expenses
Advisory Committee Budget (travel expenses, field trip $1500
and other
expenses)
Public Participation Coordinator Travel 250
Postage, supplies, advertising, miscellaneous 1500
Public hearing
stenographer 500
Subtotal $3750
TOTAL PUBLIC PARTICIPATION BUDGET $16,050
WORK PLANS C-7
-------
Parkerville
Who is Responsible For The Public Participation Program?
As with all other aspects of the project, the Town Council is ultimately
responsible for the public participation program. Ms. Sue Erline,
Administrative Assistant to the Council, will provide overall day-today
supervision of project developments. Mr. Byron Stoole of Design and
Specks, Inc. is the project manager of the technical planning work and
will supervise the public participation program.
TOWN COUNCIL:
Ms. Sue Erline
Administrative Assistant
Town Council
Parkerville, Anystate 00001
422-462-3400
TECHNICAL PROJECT DIRECTOR:
Mr. Byron Stoole, P. E.
Senior Engineer
Dezine & Specks, Inc.
Sometown, Anystate 00002
422-736-5303
PUBLIC PARTICIPATION COORDINATOR:
Mr. Harold Leachfield
7 Qi Way
Parkerville, Anystate 00001
422-462-4380
C-8 WORK PLANS
-------
How to Budget for Project Level Public Participation
Barry Lawson Associates, Inc.
190 High Street ' Boston. MA 02110
-------
HOW TO BUDGET FOR PROJECT LEVEL PUBLIC PARTICIPATION
BACKGROUND AND SUMMARY
Public participation activities require adequate and
realistic resources, time, and materials. Many agencies have
found themselves in the difficult position of facing an active
public desiring information and participation, but having too
small a budget and too little lead time to meet the public's
demands. The best way to plan for adequate involvement
activities is through the development of a realistic work plan
and a supporting budget. Budgets are essential components of
work plans.
Experience in conducting and costing out participation
programs is useful when preparing a budget. Precise costs are
difficult to present because different problems require different
solutions, and because costs vary in different parts of the
country for such things as developing public information
materials, printing, advertising, and renting space. There are
many ways to hold down costs, such as using volunteers and
existing institutions and supports. Cash expenses for public
participation in a small community, for example, need not be
high. A retired teacher or a part-time employee might serve as
public participation coordinator. A small community may have
existing committees of town government that meet the advisory
group balance requirements of EPA. Existing town council
meetings might serve as public meeting forums. A high school
civics class could perform interviews and surveys. A local
newspaper might provide space for a regular column of information
on a project, and avoid the cost of expensive publications. It
is important to explore these options in advance and include them
in the work plan and budget.
Public participation budgets require both direct and indirect
costs. In public agencies, "direct" expenses cover outside
services for which a bill is presented to the agency.
Contracting for the development of public information materials,
printing costs, rental of a hall, and buying advertising space in
a local newspaper are examples of direct costs. "Indirect"
expenses are costs normally incurred as a part of the agency's
normal operations, such as the hours spent preparing and
maintaining a mailing list, planning for a public meeting, or
writing and editing a brochure or newsletter. Indirect costs can
be high, and should be budgeted in advance so that staff time is
available during busy periods. The budget is part of the work
Barry Lawson Associates, Inc.
190 High Street / Boston. MA 02110
BUDGET 19
-------
plan, and should support objectives and activities identified in
the work plan. All notification and consultation techniques
should be included in the budget. Consider breaking budgets down
into quarterly or semi-annual units, so that they reflect the
variations in activities over time. Expenses will not be
incurred at the same rate for the entire year of a budget.
THE ESSENTIALS
I. What is a Budget?
A. According to Webster's New Collegiate Dictionary, a
budget is a "Statement of the financial position of
an administration for a definite period of time
based on estimates of expenditures during the
period and proposals for financing them; it is the
amount of money that is available for, required
for, or assigned to a particular purpose."
II. What is the role of the budget in public participation
programs?
A. As a part of the work plan, a budget is a planning
and management tool, more than a strict financial
document. It meets many purposes for public
participation programs aside from detailing
financial requirements. As a management tool, a
budget can serve many of the following functions:
1. It is through the budget process that
realistic expectations and priorities are set,
limitations are placed on public
participation, and specific tools and
techniques are funded. It is used to allocate
human and material resources. It is the
mechanism for matching revenues with
expend i tures.
2. The budget is the central control mechanism to
ensure that the goals and objectives of the
work plan are being implemented, and in a
timely manner. The budget can be used to
schedule and sequence events, and ensure that
participation activities parallel planning and
other technical activities.
20 BUDGET
Barry Latvson Associates, Inc.
-------
3. It is through the budget process that public
participation is firmly established within the
program, and given a long term place in
government planning. If necessary a budget
can be used to argue for a quality
participation program.
III. What are fair and reasonable costs for various public
participation tools and techniques?
A. Costs for staff and various techniques or products
differ in every part of the country. In addition,
•small communities have different needs and
communication systems than large communities. This
has a bearing on costs and options. No single
formula exists for estimating costs. Each program
is different, h'as different goals and objectives,
and requires a different approach and work plan.
B. The following list provides one guide to the amount
of time it-is likely to take to prepare or organize
each program element. It is based upon the time
requirements of a small public participation staff
working for an east coast state with a population
of 5.5 million. It may take more or less time in a
particular part of the country or agency. The list
provides one reference tool for preparing or
evaluating budgets. In evaluating this chapter,
some reviewers found the orders of magnitude low,
while others found them high. They are certainly
high for small communities. Compare these times
(and costs) with the actual time allocations and
costs for a given area, and modify them as
necessary.
Barry Lawson Associates, Inc.
BUDGET 21
-------
ESTIMATED
ORDER OF MAGNITUDE
TIME ELEMENTS FOR
PUBLIC PARTICIPATION ACTIVITIES
TIME ALLOCATED
1. News Release -- four to eight hours to write, gain
supervisor/client approval, and issue to the
med ia.
4-8 hours
2. Newsletters and Brochures -- six to ten days
to research, write, draft, layout, and gain
supervisor/client approval. (Add cost
of printing and postage).
3. Press Briefing — one day preparation, one day
of drafting charts and other materials, and a
half-day attendance.
4. Public Forum -- two days preparation and two days
drafting of charts.
Advisory Committee Formation — seven to fourteen
days.
Advisory Committee Meeting -- one to three days
preparation and a half day attendance.
5.
6.
7.
9.
10,
48 - 80 hours
20 hours
48 hours
^ -112 hours
12 - 28 hours
Workshop — eight to twelve days to develop
discussion questions and questionnaires, prepare
reports and responses to questions, secure meeting
location, make arrangements, and attend workshop. 54 - 96 hours
Audio Visual Presentation -- three to five days
for script writing and 2-3 days for photo
reproduction. Add costs for photo processing,
preparation of soundtrack, and announcer fees.
40 - 64 hours
Public Hearing or Meeting -- one day to plan,
issue public notice and other invitations, and
write opening statement; one day drafting charts,
and two days attendance. (Add cost of a recorder
and other staff people). 24 - 48 hours
Fact Sheets and Informal Newsletters -- two-three
days for research and writing, one day to secure
supervisor/client approval, one day for designing,
drafting and layout. (Add cost of printing
and postage). 32 - 40 hours
22 BUDGET
Barry Lawson Associates, Inc.
-------
TIME ALLOCATED
11. Informational Mailing/Technical Report Summary —
four to seven days research and writing, one day
to gain supervisor/client approval, and two days
for design, drafting, and layout. (Add cost of
printing and postage.)
12. Summary of Draft ElS/Summary of Final EIS —
five to nine days writing, one day to gain
supervisor/client approval, and two days drafting.
(Add cost of printing and postage).
13. Responsiveness Summary — small scale (less than
25 comments): research, analysis, preparation,
approval. (Add cost of printing and postage).
14. Responsiveness Summary — large scale (more than
25 comments): research, analysis, preparation
approval. (Add cost of printing and postage). 40 - 250 hours
15. Public Opinion Surveying —-cost per interview,
by method. Includes preparation of questionnaire,
administration of the survey, presentation of data,
and limited survey analysis.
a. Personal Interview $25. <*0 - $35.00 each
b. Telephone Interview $10.00 - $15.00 each
c. Direct Mail Survey $ 5.00 - $10.00 each
NOTE: To estimate costs, multiply the employee hourly rate
(salary plus overhead costs, and fee, if appropriate) and
multiply by the number of hours required to perform a task. For
example, a public participation coordinator making $ 16,000/year,
earns $7.69/hour. Estimating a fringe benefit rate of 16% the
person's hourly rate increases to $9.12. To produce a news
release in four hours, $36.48 should be budgeted for each press
release. The same person working for a consulting firm carries
an overhead rate of 120% - 200%, or more. Overhead covers such
things as health insurance, secretarial support, rent, and heat.
Using the lower figure of 120%, $67.69 would be budgeted for each
press release. Please see a longer description of direct and
indirect costs in the following section.
BUDGET 2 3
Barry Lawson Associates, Inc.—
56 - 80 hours
64 - 96 hours
16 - 4 0 hours
-------
OTHER THINGS TO CONSIDER
IV. What percentage of a budget does public participation
requi re?
A. It is NOT possible to suggest a percentage of total
budget that should be applied to public participation.
A public participation budget should meet the needs of a
given project or solve a specific set of problems. For
example, some wastewater treatment construction grants
programs work with an average budget of 10-15% of the
total Step 1 planning costs. The air quality "Section
175" program guidance also recommends 10-15%. However,
these figures will vary from region to region; some
regions have established specific public participation
budget ceilings. In general, complex, politically
difficult projects that cover large metropolitan or
geographic areas, are costly. Non-controversial
projects in small communities generally demand a smaller
proportion of the overall project budget. Keep in mind,
however, that small communities or projects that require
much active participation, (especially with the
assistance of a full time or part time public
participation coordinator) can come in with a larger
than average percentage of the total grant for public
participation, even though the total dollar amounts are
relatively low.
B. Local conditions and grantee responsibilities have an
important bearing on cost. Using existing committees,
newsletters and the like, can save money.
C. In every case, public participation budgets should meet
specific identifiable objectives. Before preparing a
budget, target audiences must be defined, goals stated,
and problems identified. One effective way to establish
a budget is to build a program around the need to solve
problems and face specific issues. Cost out an ideal
program, and then begin to cut back on the budget from
the ideal to the real. If the agency or grant recipient
approaches the process in this manner, it will have
faced the difficulty of cutting projects and programs in
the context of meeting objectives, and can still develop
a sound public participation program based upon budget,
staff, and other limitations. Each tool or technique
chosen should be result-oriented, and meet a stated
obj ect ive.
24 BUDGET
Barry Lawson Associates, Inc.
-------
V. How should budgets be prepared?
A. There are many ways to prepare a budget. Each
organization or unit of government has a different
system for categorizing activities and preparing
budgets. The Expenditure Summary that follows provides
a single sheet that summarizes all public participation
expenses. A category-by-category description of the
summary is included. Also included is a sample budget
sheet prepared for the ?.0R Water Quality Planning
Program for detailing the costs of public meetings.
Sheets like this can be prepared for each major public
participation activity or product.
In a large, complex project, there may be several groups
with public participation responsibilities (i.e., the
grant recipient, a technical . consultant, and a
sub-contractor). In this case, consider requiring more
than one budget with the work plan. Multiple budgets
may help to identify responsibilities and avoid
duplication of tasks and payments.
Barry Lauison Associates, Inc.
BUDGET 25
-------
EXPENDITURE SUMMARY
ACTIVITY PUBLIC INFOR- CONSUM-
MATION AND TATION: CONSUL-
EDUCATION ADVISORY TATION:
(notification) GROUPS OTHER TOTAL
DIRECT:
PERSONNEL:
PROFESSIONAL
CLERICAL
PROFESSIONAL SERVICES
GRAPHIC DESIGN
AND PRODUCTION
AUDIO-VISUAL DESIGN
AND PRODUCTION
PRINTING
POSTAGE
EQUIPMENT RENTAL
FACILITY RENTAL
MAILING LIST/
MAILING SERVICE
(non-personnel
costs)
TELEPHONE
ADVERTISING
TRAVEL
OTHER
INDIRECT:
AGENCY PERSONNEL:
PROFESSIONAL
CLERICAL
IN-HOUSE PRODUCTION
AGENCY OVERHEAD
OTHER
TOTAL
TOTAL:
FEE:
GRAND TOTAL:
26 BUDGET
Barry Lawson Associates, Inc.
-------
SAMPLE BUDGET SHEET:
DETAILING COSTS OF PUBLIC MEETINGS IN THE WQM PROGRAM
Direct Expenses
1. Development of public information material,
a. writing and editing services: No. of
hours or days X daily or hourly rate
X No. of times used. $
2. Printing
a publicity for meeting No of brochure^ leaflets/news releases9etc x unit cost $
b background information for meeting No of pages x No of copies x unit cost
c. reports to the public No of pages x No of copies x unit cost
3. Postage
a publicity for meeting weight of each pkg leads to unit rate rate x No. of pkgs j
b background information for meeting weight of each pkg leads to unit rate rate x No of pkgs
c. reports to the public weight of each pkg leads to unit rate rate x No of pkgs
4. Graphic Design and Production
a film daily rental rate x No of days
b slides design—contract or piece $
rate lor No of slides
production—No of
transparencies x No of
copies x unit rate
c charts design—contract or
piece rate for No of
charts $
production—No of
charts x No of
copies x unit rate
5. Supplies
a envelopes (see item 2 above) number of mailing x unit cost per envelope $
b for participants (pencils, paper) number of participants x uml costs
c for moderators (chalk, felt tip pens) number of moderators x unit costs
6 . Facility Rental agreed-upon rate
-j Equipment Rental
a blackboards, easels No of stations x rental rate
8.
b tape recorders No of stations x rental rale
c projectors (film, slide, overhead) No desired x rental rate
Advertising
a newspaper advertising for each paper, rate x No of times
b radio and TV spots for each station, unit rate x No of times $_
9. Travel
a tor agency stafr No of miles x No of people x mileage rate $
b for meeting speakers/leaders No of miles x No ol people x mileage rate
10. Third-Party Payments
a Independent meeting evaluator contract rate
b Meeting stenographer contract rate
c Meeting note takers No x No of hours x hourly rate
d. Projectionist hourly rate x No of hours
e Meeting set-up No of people x No of hours x hourly rate
f Meeting clearvup No of people x No of hours x hourly rate
TOTAL, DIRECT EXPENSES $_
Indirect Expenses
1. Agency Personnel.
a meeting design for each person. No of hours x hourly rate $
b meeting preparation for each person No of hours x hourly rate
c meeting conduct for each person No of hours x hourly rate
d information feedback for each person. No of hours x hourly rate
e meeting evaluation for each person. No of hours x hourly rate $_
2. In-house reproduction-No of pages x unit cost
3. Agency overhead fo above %of all other unallocated costs necessary to support item 1 above $_
TOTAL. INDIRECT EXPENSES $_
TOTAL, PUBLIC MEETING $_
Barry Lawson Associates, Inc.
BUDGET 2 7
-------
B. Expenditure summary activity line explained:
1. The public information and education/notification
category covers all materials and supplies prepared for
and distributed to- the public. Included in this
category are all publications such as brochures,
factsheets, newsletters, report summaries, full reports,
and public notices. Such items as informational public
displays, slide-tape programs, and maintaining
information depositories are also placed in this
category.
2. The "Consultation: Advisory Group" column covers all
costs incurred in the process of staffing, managing, and
informing an advisory group.
3. The "Consultation: Other" column covers all non-advisory
group activities, such as public meetings, hearings,
workshops, and seminars.
C. Expenditure summary expense line explained:
DIRECT EXPENSES
1. Personnel, Professional: Covers the costs of all
professional staff members. Take the total number of
hours of each staff person's time committed to each
information/notification or consultation activity and
multiply by an appropriate hourly rate.
2. Personnel, Clerical: Covers the costs of all clerical
staff members. Take the total number of hours of each
clerical staff person's time committed to each
information/notification or consultation activity and
multiply by an appropriate hourly rate.
3. Professional Services: Covers the costs of professional
services such as research, writing and editing, and the
production of materials. Take the total number of hours
committed to each project and multiply by an hourly
rate.
4. Graphic Design and Production: For each piece of public
information, estimate the design costs by adding
together the contract or piece rate for a total number
of publications, displays, posters, etc. For
production, add the cost for paste-up of graphics and
the total number of graphics, charts, photographs, etc.,
multipli-ed by appropriate unit costs.
28 BUDGET
Barry Lawson Associates, Inc.
-------
5. Audio-visual Design and Production: For each product,
multiply the estimated total number of hours by an
hourly rate for personnel and studio time.
6. Printing: For all publications, take the total number
of copies and multiply by a unit cost.
7. Postage: For each publication, take the weight of each
piece to be mailed multiplied by the postage piece rate;
multiply the rate by the number of pieces, and number of
issues produced.
8. Equipment Rental: Total amount of equipment (i.e.,
movie, slide, overhead projectors) to be rented, for all
meetings and public events multiplied by appropriate
rental rates.
9. Facility Rental: Total number of meeting or conference
sites to be rented multiplied by a rental rate.
10. Mailing List: The total costs of maintaining a
mechanical or computer-based mailing list above the
costs of in-house secretarial or professional time.
11. Mailing Service: Total cost charged per piece
multiplied by the number of pieces processed (collate,
stuff, bind, mail) .
12. Telephone: Total cost of telephone service including
estimated long-distance phone service charges.
13. Advertising: Total direct expenses of purchasing
advertising in newspapers and magazines, and radio and
television.
14. Travel: Total costs of travel by plane, train, car, or
bus, for direct staff, advisory committee members, and
others. For Automobile Travel: multiply the number of
miles by the mileage rate.
15. Other: Any expenses which are not covered in the other
categories (e.g., supplies like envelopes, paper,
pencils). Depending on the budgetary system, the
agency/organization might include heat and rent as
indirect expenses.)
Barry Lawson Associates, Inc.
BUDGET 2 9
-------
INDIRECT EXPENSES
1. Agency Professional Staff: Total number of hours
multiplied by an hourly rate for each activity, such as
meeting preparation time per individual, informal
contacts with the public per individual, meeting
follow-up time per person per meeting, writing and
editing time per person, etc.
2. Clerical Staff: Total number of hours multiplied by an
hourly rate for activities such as photocopying, making
follow-up phone calls prior to a public meeting,
affixing mailing labels on materials, and stuffing and
mailing invitations and publications.
3. In-House Reproduction: Total number of pages multiplied
by unit cost.
4. Agency overhead: Percent of all other unallocated costs
necessary to support an ongoing agency. For some
governmental units, expenses such as rent and heat can
be placed in this category.
OTHER THINGS TO CONSIDER
VI. What are some other things to consider when preparing or
reviewing budgets?
A. The budget should only cover those expenses directly
attributable to public participation; work that is
technical in nature or a part of general government
responsibilities, should not be charged to public
participation.
B. Dollar amounts will vary for each region and city based
upon factors such as:
1. Size of community/population and resulting costs
such as the size of the mailing list, the number of
copies printed, and travel costs.
2. Form and complexity of printing: Great price
differentials occur in different types of
duplication, such as offset printing,
mimeographing, and photocopying. In general, one
color (black) offset printing on two sides, is the
30 BUDGET
Barry Lauison Associates, Inc.
-------
most cost-effective way to print public information
materials. Whether the agency has on-site
reproduction facilities (printing at cost), versus
having materials printed commercially, can have a
bearing on cost.
3. The availability and skill of volunteer workers
make a difference in costing out public
participation programs. Using volunteers can save
money. Some EPA regions encourage the use of
volunteers while others do not.
C. The cost of a public participation coordinator will vary
depending upon the institutional arrangements and
background of the coordinator. The coordinator can be:
1. A trained employee on the state's or EPA's staff,
2. A representative of a public interest group,
3. A private citizen with background and experience in
public participation programs,
4. h consultant specializing in designing and/or
running public participation, programs,
5. On a grant recipient's staff, or
6. On a consulting engineer's staff.
D. It is important for the person responsible for public
involvement to have some say on the budget for carrying
out that program. Preparing, defending, and authorizing
expenditures in line with the approved work plan are
important steps in carrying out this responsibility.
E. Different audiences may need, different displays of
budget information. A state legislator, for example may
have different needs than a group of interested citizens.
Barry Law son Associates, Inc.
BUDGET 31
-------
EVALUATION
VII. What are some questions to ask when evaluating budgets?
A. Can all of the activities proposed in the work plan be
accomplished within budget constraints?
B. Does the budget reflect a clear set of priorities,
objectives, and goals?
C. Do the costs and time allocations for various items seem
reasonable based upon past experience?
D. Does the budget cover adequate staff time for the public
participation coord inator and other professional staff
people required to perform tasks or appear at public
gatherings?
E. Is the budget complete? Does it take into consideration
both direct and indirect expenses?
F. Is the budget structured like a management document so
that progress in meeting the.objectives of the work plan
can be tracked through the budget process?
G. Does the budget reflect a reasonable sequence of events
and a realistic time schedule for accomplishing each of
the items detailed in the budget?
H. Does the budget indicate where the alloted funds are
coming from? EPA grants, bonds, grant recipient, etc.?
3 2 BUDGET
Barry Laivson Associates, Inc.
-------
How to Participate in EPA Program Budget Planning and
Work with the Zero Base Budgeting System
Barry Lawson Associates, Inc.
190 High Street / Boston MA 02110
-------
HOW TO PARTICIPATE IN EPA PROGRAM BUDGET PLANNING, AND
WORK WITH THE ZERO BASE BUDGETING SYSTEM
BACKGROUND AND SUMMARY
After a public participation work plan has been developed and
an estimate of resource needs has been made, it is essential that
these needs be fed into the EPA budget process effectively so
that public participation activities will be given the resource
support they require.
Participating effectively in the budget process requires an
understanding of the steps involved in the annual budget cycle.
It is important to determine the point in the budget process at
which public participation costs should be identified as a
discrete item rather than being included within larger categories
of program activities. To ensure that public participation
receives adequate budgetary support, the individuals generating
public participation work plans must provide a compelling
justification for the items included, and defend the estimates of
resource requirements attached to each activity.
THE ESSENTIALS
I. How does EPA's budget process work?
A. EPA's budget process works on three fiscal years
simultaneously:
1. The current year, for which the major concern
is monitoring expenditures and reprogramming
funds from programs that are under-budget to
those that are over-budget;
2. The operating year, which is the next year
after the current year; the primary activity
here is agency development of resource
expenditure plans that are more detailed than
those contained in the budget submitted to
Congress.
3. The budget year, which is two years after the
current year; it is for this year that major
planning and budget development is taking
place.
NOTE: The next three sections provide an overview
of the budget-related activities that occur in each
Barry Lawson Associates, Inc.
190 High Street Boston MA 02110
ZBB 33
-------
of these three years, beginning with the budget
year -- the year in which the agency has the
greatest flexibility and makes decisions on the
largest scale.
B. The Budget Year: During the budget year, the
agency develops, for eventual submission to the
Office of Management and Budget (OMB) and the
Congress, its overall budget for the year two years
away from the current year. This budget currently
is developed through the Zero Base Budgeting (ZBB)
system.
The essential concept of ZBB is that all resources
desired by the different entities within the agency
are critically evaluated and ranked in order of
priority. Once desired resources have been ranked
in priority order, it is possible to assign
available funds starting at the'top of the list and
working down — thereby ensuring that money is
spent where it will do the most good. In theory,
at least, ZBB eliminates the bias in favor of
existing programs, and facilitates transfer of
resources from older low-priority programs to newer
high-priority programs. As the process is applied
in EPA:
1. The first level of ZBB analysis is undertaken
within "Decision Units," which consist of one
or more program elements. There are
approximately 140 ZBB Decision Units within
EPA (for example, 16 in the air programs, 27
in the water quality programs, 4 in the noise
programs).
2. Each Decision Unit analyzes what it could
accomplish with different levels of funding.
Generally, four "Decision Unit Levels" are
cons idered:
3. At each of these levels, the Decision Unit
identifies the outputs that can be
accomplished with that level of funding. The
levels are written sequentially, that is,
Level 2 assumes that Level 1 has been funded,
and identifies only the added cost of
increasing the program up to Level 2 funding
Level 1
Level 2
Level 3
Level 4
.75% of current funding
.90% of current funding
100% of current funding
110% of current funding
34 ZBB
Barry Lawson Associates, Inc.
-------
and the additional outputs that would be
accomplished with those funds. Both
Headquarters and Regional personnel are
involved in developing the documentation that
accompanies the various Decision Unit Levels
into the ZBB ranking process.
As the development of the budget proceeds,
different Decision Unit Levels from throughout
the agency are compared and then listed in
order of priority. Thus, even Level 4 (10%
increase over current) for a high priority
program may rank higher than Level 2 (10%
decrease) for a low priority program. The
ranking process proceeds through five stages.
a. The Assistant Administrators and the
Deputy Administrator rank the Decision
Unit Levels for which they are
responsible;
b. The Regional Administrators first develop
their own ranking, and then meet to
formulate a collective Regional ranking;
c. Media Task Groups look at priorities
across program and regional lines, and
develop a ranking according to different
media such as air or water;
d. The rankings by the Media Task Groups are
consolidated into a Draft Intermedia
Ranking by the Office of Planning and
Management (OPM), and distributed for
review to all those who have participated
in prior rankings;
e. The Agency Ranking Committee -- composed
of Assistant Administrators and some
Regional Administrators prepares the
final ranking based on this draft.
The final ranking is presented to the
Administrator.
Once the Administrator has approved the
budget, the process proceeds as follows:
a. The budget is submitted to the Office of
Management and Budget (0MB) in September.
Barry Lawson Associates, Inc.
ZBB 3 5
-------
b. OMB reviews and revises the budget and
returns it to EPA. This "passback" may
continue for a number of rounds until the
budget is finalized — usually around the
end of December.
c. In the middle of January the President's
budget is submitted to Congress. This
budget submission must be recast
according to the way Congress reviews the
budget, and therefore is considerably
different in form from the document
developed for internal agency use.
C. The Operating Year: The budget developed through
the ZBB process is still too general to serve as a
guide to the managers of individual programs.
Thus, during the "Operating Year," the agency
develops "operating plans," which spell out in
detail how the dollars and work years that were
allocated on a decision unit level through the ZBB
process will actually be used. Operating plans are
developed one year in advance of the year in which
they are to be implemented.
1. Operating plans are usually prepared at the
Deputy Assistant Administrator (DAA) and
Regional Administrator (RA) levels. They are
prepared for each "program element;" these are
the components of the Decision Units used for
ZBB purposes.
2. Operating plans are based on a policy
statement (the Operating Year Guidance)
provided by top agency management, and on
resource targets provided by 0PM (based on the
budget approved by Congress).
3. Operating plans include "Projected Program
Accomplishments" (PPA's), which are specific
tasks or goals which the program commits
itself to undertaking at a designated level of
resource support. Operating plans also
include program elements defined down to the
"Object Class" level, which are specific types
of costs, such as salaries, travel, and
contracts.
4. Operating plans are assembled and analyzed by
0PM, approved by the Administrator and
forwarded to OMB for review.
36 ZBB
Barry Lawson Associates, Inc.
-------
D. The Current Year: During the Current Year, the
agency implements the operating plan developed the
year before. Through the Program Accountability
System (PAS), the performance of each program
element is monitored and compared with the
operating plan. Adjustments are made in operating
plans, when necessary, to account for new
circumstances or changes in the availability of
funds. Where necessary, resources can be
reprogrammed from one program activity to another,
and from one object class to another.
How should consideration of public participation
resource needs fit into the agency's budget process?
A. Where and when should public participation costs
show up in the budget?
1. The Policy on Public Partipation reflects the
belief that public participation activities
should be integrated into other substantive
activities within each program or project,
rather than be separated into a distinct
program element. This approach, combined with
the fact that the resource allocation
decisions made in the budget year through the
ZBB process are of a fairly general nature,
indicates that public participation resource
needs should not be considered as a discrete
item in formulating decision unit levels or
identifying the outputs associated with each
level. Public participation activities
should, at this point, be subsumed within the
larger categories of program activities they
are designed to support.
2. Resource needs for public participation
should, however, be directly identified during
the development of operating plans during the
operating year planning process (one year
prior to "current year" implementation).
Public participation should at this point be
included in the operating plan as a Projected
Program Accomplishment (PPA), and the
resources to support public participation
Barry Lawsort Associates, Inc.
ZBB 3 7
-------
should be included in the resource
allocations. Inclusion as such represents a
binding commitment of resources which are
difficult to change during current year
implementation except through formal
procedures for amending the operating plan or
congressional reductions of the agency's
funding level.
B. Who is responsible for public participation
budgeting?
1. Under EPA budgeting procedures, DAA's and RA1s
are responsible for developing operating
plans; under the Policy on Public
Participation, AA's and RA's have the
responsibility for ensuring that the public
participation work plans on which resource
estimates are based, are developed. Program
level managers must play a large role in
developing these documents. Anyone with
direct public participation responsibility in
a program must therefore become active in the
development of the operating plan to be sure
that the resource needs, identified through
the public participation work plan, are
transferred into the program's operating plan.
OTHER THINGS TO CONSIDER
C. What are the keys to participating effectively in
the budget process?
1. Relate public participation activities to
program goals, and to regulatory and
legislative mandates. Be able to explain the
need for public participation and how it will
help advance the interests of the program.
2. Be prepared to justify the cost estimates
attached to different public participation
activities.
3. Develop good working relationships with
resource managers; involve them in developing
public participation budget needs and in
estimating the cost of specific public
participation activities.
38 ZBB
Barry Lawson Associates, Inc.
-------
Become familiar with the budget process; learn
the terms and concepts that resource planners
use. The information presented here
represents the most basic introduction; for
more information, see the Planning and
Budgeting Manual prepared by the EPA Office of
Planning and Management.
Barry Lawson Associates, Inc.
ZBB 3 9
-------
How to Scope a "Community," Identify Potential Participants, and
Build and Use Contact Lists
Barry Lawson Associates, Inc.
190 High Street / Boston MA 02110
-------
HOW TO SCOPE A "COMMUNITY", IDENTIFY POTENTIAL PARTICIPANTS,
AND BUILD AND USE CONTACT LISTS
THE POLICY
Under the broad category of "Identification," the Policy
calls for the development of a "contact" or mailing list. The
list should contain the names of groups or individuals interested
in or affected by a forthcoming action. Each project or program
should have a contact list. It should be updated frequently.
The Policy encourages sub-dividing the list by category of
interest or geographic area.
The contact list is used to send announcements of
participation opportunities, notices of meetings, hearings, field
trips and other events, and notices of available reports and
documents to the public. In addition, it is used to identify
members of the public who may be considered for advisory group
membership and other activities.
A variety of approaches should be used to collect names for
the list.
BACKGROUND AND SUMMARY
A contact list is an important communications tool which
allows an agency or organization to reach broad or targeted
audiences with its messages. The better the contact list, the
better the public outreach and delivery of information. A
well-developed mailing list will reach a group of potentially
active participants -- people who want to be involved in an
agency program or plan, and/or a group that wishes to be involved
by staying informed. The process of developing a contact list
begins early in the public participation process. A citizen
advisory group can help plan the approach used to develop the
list. The process is one of analyzing or scoping a community,
region, state or the nation, seeking potential participants or
people who may be impacted by a project, and hence have' a
potential interest in it. The end product of the investigation
is a contact list.
"Scoping" refers to the process of learning about existing
"community" structures and how they work. Successful scoping can
yield a working knowledge of existing organizations and groups,
how they interact, their biases, and. information on regularly
scheduled events and publications. This information enables
projects to capitalize on existing communication conduits, and to
better target public participation programs. In small
Barry Lawson Associates, Inc.
190 High Street / Boston MA 02110
CONTACT LISTS 41
-------
communities, this process need not be elaborate. Learning about
existing mailing lists, and collecting the names of some key
civic and opinion leaders may suffice. A larger geographic area
will require a more extensive effort. The utility of direct mail
usually increases with the geographic size and population of the
area or jurisdiction involved.
Great care must go into developing a contact list which
includes active participants, appointed and elected officials,
identifiable interest groups, key citizens and decision makers
and potential participants. By anticipating potential
participants, and keeping them informed throughout planning an
agency will have prepared well for the final months of a program
when interest and participation is heightened.
A contact list starts to become obsolete the day it is
compiled. A static list soon becomes a dead list. They must be
maintained regularly to remain effective. Establishing and
maintaining a mailing list is time consuming and expensive, but
necessary and cost effective.
Staff must be selective when adding names to a list to keep
its size manageable, and to hold down postage costs. The list
should be divided into identifiable sub-units or categories which
will allow the agency to target messages to specific audiences,
if desired.
I. What are some techniques for scoping a "community"
(local-nationwide) and identifying names to be placed on an
initial contact list?
A. Many projects begin with an initial interviewing
stage, where information is collected from
officials and interested citizens. The names of
people interviewed, as well as other names these
people recommend, should be placed on the contact
1 ist.
This step is important in developing effective
public participation programs. It demonstrates the
agency's genuine interest in having active public
involvement, and in accepting responsibility for
pursuing participation.
B. Interviews and discussions which occur during the
development of advisory groups should yield
additional names and addresses. Also, since the
policy requires public notification prior to
forming advisory groups, the people who respond to
these notices should be placed on the mailing list.
42 CONTACT LISTS
— Barry Lawson Associates, Inc.
-------
C. Seek out existing lists. Other EPA and federal
programs, as well as state and local programs, may
have developed mailing lists which can be used in
whole or in part. Sometimes, lists are exchanged
or traded among agencies. Prepared lists should be
carefully scrutinized, however, to make sure they
are applicable.
Borrowed lists may be out of date. Verify some of
the names and addresses on the list to test its
current validity.
D. Organizations with a potential interest in an
agency program or action may have mailing lists of
members important to the agency. Each agency or
program with a mission must consider different
types of groups. Representative groups include:
1. Outdoor recreation organizations like hiking
associations, beach buggy, associations, rod
and gun clubs, cross country skiing groups,
sports fisheries associations, snow mobile
associations, and recreational boaters and
sailors.
2. Commerce and business groups like manufacturer
associations, associated industries, Chambers
of Commerce, and the Jaycees.
3. Labor leaders and unions.
4. Environmental leaders and groups.
5. State and district farmers associations,
including the Farm Bureau, Dairyman's
Cooperatives, Conservation Districts, and
Water Districts.
6. Health organizations like the American Lung
Association.
7. University extension and county agricultural
extension agents.
8. College and university student groups and
clubs, including campus environmental groups.
9. Special interest groups like the American
Automobile Association (AAA).
10. Public interest groups like Public Interest
Research Groups (PIRG) and Common Cause.
CONTACT LIST 43
Barry Lawson Associates, Inc.
-------
E. Many civic and social organizations, such as the
League of Women Voters or the Chamber of Commerce,
have their own newsletters. For applicable groups
consider requesting a copy of the group's
newsletter mailing list.
Some groups protect their mailing lists, and will
not release them to other groups. In those cases,
request a story in the newsletter that describes
the project and invites people to send in their
names and addresses if they want to receive
publications and notices.
F. Specialized directories of organizations and
businesses can provide additional names and
addresses of potential participants. Examples
include state directories of manufacturers,
environmental groups, and chemical society members.
The business and reference section of libraries is
a good starting point for reviewing various
d i rector ies.
G. Any individual who attends a public meeting of the
agency, or one with a related mission, or calls or
writes to the agency seeking information, should be
added to the mailing list. Careful attention to
the affiliations of various individuals or groups
attending meetings or corresponding with the agency
can yield entire categories of people to be added
to the list.
H. Local newspaper stories often contain substantial
information of use to public participation
specialists, including the names of people with a
potential interest in the agency.
I. The names of local reporters and editors, and
appropriate newsletter editors, should be added to
the mailing list. If time permits, interview
reporters and editors with knowledge of an area or
subject. Placing their names on the mailing list
is one way of assuring that these "gate keepers"
have direct access to information about a program.
J. Elected and appointed officials with a potential
interest (substantive or political interest) should
be placed on the list.
K. Consider placinq the names of local educators,
primary, secondary, high school, and college and
university, on the list. Aside from their personal
interest, these people can use project information
CONTACT LISTS
Barry Lawson Associates, Inc.
-------
to develop classroom learning packages and
programs, and turn their students onto the project
and underlying issues. Often, children will
communicate information and ideas on class projects
and current events to their parents, thus affecting
a secondary communication.
Secondary or miscellaneous sources of names for
mailing lists include:
1. State revenue departments maintain lists of
non-profit organizations in the state.
2. For states, the Secretary of State or offices
of the legislative leadership maintain lists
of legal lobbyists. In Washington, lobbyists
register with the Senate Office of Public
Records and the House Office of Records and
Reg istration.
3. Local, regional, and state League of Women
Voters environmental and land use chairpeople
may have lists of potential participants. The
national League maintains other lists.
4. University scientists, senior administrators,
and technical experts (such as soil
scientists, hydrologists , and law and
political science faculty who specialize in
land use and environmental law) might be
placed on mailing lists. They may recommend
the names of others who should be added to the
list.
5. The public affairs or environmental control
directors of major industries might be
consulted for additional names and addresses.
6. Local neighborhood associations -- formal and
informal — may prove helpful.
7. Churches and church organizations.
8. Telephone directories, especially the yellow
pages, provide lists of associations. Zip
code directories may be useful when trying to
reach one small part of a city or state.
9. Multi-service centers, community development
corporations, community centers, and health
centers might prove helpful in attempts to
reach senior citizens and neighborhood or
block associations.
CONTACT LISTS 45
Barry Lawson Associates, Inc.
-------
What are the steps to follow when developing contact
lists?
A. The first step in the "planning" stage of preparing
a contact list is to prepare a list of categories
of people or groups to be reached. The categories
should parallel the target publics identified in
the work plan. As names are collected (see Section
I) check off the appropriate category.
B. Compare and analyze the mailing lists collected to
remove duplications and reduce the total number of
names. This is the "cleaning" stage. Depending on
the size of the project, this step may be time
consuming and costly.
C. Consider mailing the first issue of a newsletter,
public notice or other publication to all the names
on the cleaned contact list, and include a
pr e-addressed post card to be sent back if they
want their names to remain on the project list.
D. If using a manual system, key or code the contact
list for each target public category. The entire
list can be used for a mass mailing, or part of the
mailing list for a targeted mailing. If using a
computer system code names by category to meet the
same goal. Do not break up alphabetized lists
until they are "cleaned".
1. Establish a mailing list so that individual
target publics can be reached from the
beginning, and save time and effort later.
2. The difficulty in preparing segmented lists
concerns what to do with the names of people
who have more than one affiliation and should
have their names appear under several
categories. This is not a problem for
computer-based system. For manual systems
such as a paper label copying system, consider
maintaining a master list containing the names
of all those on the mailing list. This list
is used for mass mailings. In addition,
separate lists are maintained by category for
targeted mailings.
CONTACT LISTS
Barry Lawson Associates, Inc.
-------
III.
How are mailing lists maintained and improved?
h. Expand contact lists as planning proceeds. Use
mailing lists forms or return cards in
publications, on displays, and have them available
at conferences, meetings, and in public buildings.
B. Make address corrections and changes promptly.
C. Design a system for expeditiously adding new names
and deleting obsolete ones.
D. Consider sending several pieces of mail as a
control to friends in the target area to learn how
long mail delivery actually takes. This step helps
ensure adequate lead time for mailings, and
minimizes complaints about late delivery from
citizens.
E. Provide opportunities for people to remove their
names from the mailing list. U.S. government
agencies are required by law to send a
pre-addressed return card once a year, to all
recipients, with a deadline for reply if they want
to remain on the list. The recipient must add
his/her own postage stamp to the return card.
Other organizations may consider this method to
"clean" their lists annually. Consider using a
simple demographic questionnaire on return cards to
aid in categorizating the list.
F. There are many ways to manage mailing lists,
ranging from simple typed label master systems, to
the use of plastic or metal cards that imprint
names and addresses onto labels, to computer based
systems that produce printed labels.
1. Smaller lists are easily and inexpensively
maintained on photocopy label masters,
arranged by community, zip code, or last name,
and/or interest group. When labels are
needed, photocopies of the label master are
made on adhesive backed photocopy paper. The
labels are peeled from the photocopy and
placed on envelopes.
2. For lists larger than one or two thousand
names, it may prove cost effective in time and
money to use an automated mailing system.
Some automated systems are mechanical, while
others are computer based. Mechanical systems
rely upon plastic or metal cards that contain
names and addresses, not unlike gasoline
CONTACT LISTS 4 7
Barry Lawson Associates, Inc.
-------
credit cards, that are used to print labels
quickly and efficiently. In computer based
systems, names and addresses are coded into a
computer. The computer prints names and
addresses on adhesive labels or directly on to
envelopes, when the information is retrieved.
Computer systems offer the most flexibility in
assigning various user or interest codes to
names when they are placed in the computer;
this allows for. producing highly targeted
mailing lists.
3. Managing mailing lists can prove expensive --
typing and clerical time for systems that rely
upon a photocopy system, card making for
mechanical systems, and computer inputting for
computer based systems.
A. Copier systems have the least expensive
start up costs, yet rely upon much
clerical or secretarial labor for
maintenance. Most offices have copying
machines that can make copies on blank
label sheets. In small communities, a
copying machine is often available at a
regional library or local printing
business. Someone must place labels on
envelopes.
B. Mechanical systems require the production
of cards, someone to insert and delete
cards, and people to place labels on
envelopes. State and federal government
surplus agencies are a good source for
obtaining older metal plate mailing
systems.
C. Computer systems, including word
processors, require someone to input and
remove names in the computer, someone to
recall the names, and people to place
labels on envelopes. Many government
agencies have computer capabilities that
can be used for mailing list purposes.
If not, other government agencies, local
universities, technical high schools, and
some correctional institutions have
computer facilities and personnel that
government agencies may use at a low cost
to program and retrieve mailing list
information.
4 8 CONTACT LISTS
Barry Lawson Associates, Inc.
-------
4. In larger metropolitan areas, private mailing
services represent an option for managing a
mailing list and mailings within the office of
a government agency or consultant. Listed in
the Yellow Pages under "Letter Shop Services,"
these private companies offer the services of
labeling, mailing list maintenance, inserting,
sealing, zip coding, metering, and the
preparation of computer generated letters.
When including the cost of personnel and
overhead in all the stages of mailing
mailing list development, management, and the
costs of tasks like stuffing and labeling --
mailing services may prove less expensive than
doing the task within a government office.
Compare the costs of performing these services
in and out of the office before making a
decision. Also, if the office does not have
access to a computer to store and manage a
large mailing list, acquiring this service
through a mailing company may prove less
expensive than purchasing computer time.
IV. How does EPA headquarters develop mailing lists?
A. The EPA Office of Public Awareness maintains a
national mailing list of over 70,000 names. The
list has 14 main subdivisions, and numerous
classifications within subdivisions.
1. The 14 broad categories include agriculture,
business/industry, consumer, environment,
labor, minority organization, public/special
interest group, urban, women, youth,
education, private citizen, foreign, and media
(see sample mailing list form).
2. The agency uses several approaches to garner
names for the master list, including buying
names from private companies, logging the
names of individuals and organizations calling
the agency, and tracking organizations and
individual constituencies in specialized
areas.
3. Individuals or groups wanting to place their
names on the EPA list complete a form (see
copy) . The form details the information
necessary for computer coding an individual or
group by category. Note the numerous
breakdowns in (2) "Areas of Work".
CONTACT LISTS 49
Barry Lawson Associates, Inc.
-------
4. When a publication must he sent out, CPA
selects a specific target audience to receive
it. Budget conditions at the time will
determine how many categories/groups within
the target audience can be reached. The
appropriate mailing labels are prepared at
EPA's computer facility in Denver.
In addition to the OPA list, each office in EPA
Headquarters maintains a list of its own.
OTHER THINGS TO CONSIDER
V. What are the cost options, size limitations, and other
requirements established by the U.S. Postal Service?
NOTE: While prices will change over time, the proportional
cost of each mailing service will probably remain the
same. The prices quoted here were applicable in
January 1981.
A. Mail Permit: Rather than stamp or meter each
piece, a mail permit allows an agency/grant
recipient to print a permit number on each piece.
1. When used with bulk mail, Postal Service
regulations require at least 2 pi 0 identical
pieces (size, weight, shape, and content), to
be bound by zip codes, and placed in postal
sacks provided by the post office.
2. Approximately four days before the mailing,
funds must be deposited to cover postage. The
four days allows the Postal Service to enter
the deposit on their computer. The cost of
bulk mailing is 8.4 cents for up to 3.75
ounces, or 41 cents a pound for amounts above
3.75 ounces.
3. For bound printed materials of "24 pages or
more, the postal service has a "catalog rate."
The catalog rate is 8.4 cents an ounce for up
to 3.75 ounces, and 36 cents a pound for
weights above 3.75 ounces.
4. The cost of a mail permit is $4^.0"! a year.
There is a one time fee of $30.0"! charged for
opening a mail permit account.
50 CONTACT LISTS
Barry Lawson Associates, Inc.
-------
B. Business Reply Mail Postage: This service allows a
permit holder to provide postage paid return cards
and envelopes. The service is only available for
first class mail.
1. The service has two price options. If the
carrier is paid at the time of delivery, the
cost of the service is 12 cents a piece plus
the normal 15 cents for letters and 13 cents
for post cards (for a total of 27 cents for
letters and 22 cents for cards) .
2. Alternately, for a fee of $75.00, the Postal
Service allows clients to use an advance
deposit trust fund. The cost per returned
item is 3.5 cents plus the cost of first class
postage ($.10 or $.15). The post office draws
funds from the trust fund to cover postage;
the carrier does not collect at the time of
deliver. An agency must recieve at least 900
pieces of return mail a year to offset the
cost of the $75.00 trust fund fee.
3. The Postal Service charges $30.00 a calendar
year (January to January) for the use of the
business reply service. Even if the service
is purchased in November or December, the
charge is $30.00, and the agency will have to
buy another permit on January 1.
C. Each service type forces trade-offs regarding
preparation and delivery time, cost, and
returnabi1ity. Also, many other services exist,
such as, first, second and third class regular,
special third, and non-profit second. For
additional information, see the postal service
manual.
D. The Postal Service has established size limitations
on mail.
1. The Postal Service will not accept mail
smaller than 3.5" x 5".
2. 4.25" x 6" is the maximum size for postcards
charged the post card rate. Anything larger
costs the same as a first class letter.
CONTACT LISTS 51
Barry Lawson Associates, Inc.
-------
3. Mail larger than 6.125" x 11.5" will be
charged a surcharge of 7 cents per piece for
first class mail of an ounce or less, and
third class mail of two ounces or less. The
size limitation does not apply to bulk mail.
EVALUATION
V. What are some questions to ask when evaluating contact
lists?
A. Is the contact list comprehensive, encompassing all
of the key categories or target publics?
B. Is the contact list updated and cleaned annually?
C. Has a system been devised for adding and
subtracting names easily and efficiently?
D. Has the list been broken down by zip codes if bulk
mailing is anticipated?
E. Have adequate funds been allocated in the budget to
cover the costs of maintaining the list and the
cost of postage?
NOTE: The following is a copy of the EPA form used to
add names to its mailing list. Note the
categories EPA uses to prepare targeted
contact lists.
5 2 CONTACT LISTS
Barry Lawson Associates, Inc.
-------
Your AcHress
Name/Job Title
~Lu.
Within the blocks provided, please complete this section with as much
information as is necessary for mail lo reach you
~
Oroa
rganiration
Hl.'l
i
Tn rm
Add
res
s
11111
Trrm
Previous Name/Address (if changed) Attach mailing label if possible
Name
Address
rirnrazn
City
State
Zip
IA
Of WOrk ^°n,e °* we 'S spec/f'cnlty tn/lor ed/or government rnnii/i.
or private sector audiences Check the category that best describes your
area o! wotk
tU 0100 Government
Private Sector
~ 0200 Agriculture
~ 0201 Grower/Producer
~ 0202 Company
D 0203 Supplier
D 0204 Organization
CD 0250 Bu«inos»/lndu»try
~ 0251 Corporation
~ 0252 Small Business
~ 0253 Trade Association
~ 0254 Professional Association
n 0300 Consumer
~ 0301 Organization
~ 03Su Environment
0 0351 Organization
l~l 0400 Labor
~ 0401 Organization/Union
~ 0450 Minority Organization
~ 0451 Black
l~l 0452 Hispanic
n 0453 Native American
0 0454 Other
~ 0550 Urban
~ 0551 Organization
0 0552 Plnnnor/Planning Agency
n 0600 Women
0 0601 Organization
~ 0660 Youth
0 0G51 Organization
O 0700 Education
O 0701 Public/School Library
O 0702 Business Library
0 0703 College/University
0 0704 High School
f~l 0705 Middle/Intermediate/
Junior High School
0 0706 Elemonlary School
0 0707 Vocational School
~ 0760 Private Citizen
0 0800 Foroign
0 0801 Embassy (U S based)
n 0802 Outside U S Address
0 0850 Media
0 0851 Radio AM
0 0852 Radio FM
0 OBOO P'lhlic/Spocial Interost Group 0 0003 TV
0 0501 Health/Medical 0 0854 Newspaper • Daily
0 0502 Scientific 0 0855 Newspaper - Weokly
0 0503 Legal 0 0856 Publication - General/Popula
0 0504 Service/Civic/Voluntary 0 0857 Publication - Technical/
O 0505 Older American Trade/Professional
3 Your Organization
Chock the l>ox which host des< jour organization
0 1 International 0 4 Stale
0 2 National/Federal 0 5 County
0 3 Regional 0 6 Local
4 Your Position
Which best dosenbes Ihe posilion you hold in your oroBniiation?
For business/industry only.
For education only.
o
i
Chief oxecutlvo
0
1
Faculty
~
2
Environment/Safety/health
o
2
Student
o
3
Government liaison/counsel
0
3
Guidance Counselor
~
4
Corporate planner
All other should check oni
o
5
Engineer/research and development
of the following.
o
6
Public information/education
0
1
Official
o
7
Economist/financial officer
0
2
Member/employee
o
8
Consultant
~
3
Writer/editor of newsletter
n
9
Writer/editor of newsletter/
publication
publication
0
4
Private citizen
5 Your Environmental Interests
EPA produces materials on the following subjects
Plo.ise chock Ihe sub|ect(s) about which you nro iniorostod in receiving materials
~
01
Air
0
11
Rngulntnry Reform
~
02
Automotive
n
12
Public Participation
O
03
Noise
o
13
Economics
0
04
Radiation
~
14
Energy
0
05
Water Quality
o
15
Health
o
06
Drinking Water
o
16
Land Use
0
07
Solid Waste
~
17
Technology
O
08
Hazardous Waste
o
18
Transportation
O
09
Tonic Substances
~
19
Agriculture
0
10
Pesticides
FOR GSA USE ONLY (Do NOT write in this (pace)
Doc ID
r 5
0 I B |U
Mail List
7 9
9 16 16
Yr
icTil
Mo
12" 13
Day
14 16
AGENCY IDENTIFICATION NUMBER
0 CARD ONLY
16
57
29 30
,_LL
1 1 _
_JLL
J_L.
"I"!"!'!
Auxiliary Codes
(Mark "X ' in
appropriate box(s)
Piimary
01
02
03
01
06 OC 07 00 09
to
11
12
13
11
16
IG
17
10
19
20
21
22
23
Piimary Secondary Primary Socondary r?initfiy
~ ! I i-n : ~ ! ! ! i V| i ; i ! i! I i H i!
i :~!; i: i i i i i :-i i ii i tm>ai
Primary Seconder
i i - i f i"" r
-------
Your quick return of this form wilt insure that you continue
receiving our materials.
To return this form, simply reverse the fold so that the return
address faces the outside, staple or tape it closed, and drop it
in the mail.
Thank youl
United Slates
f fiviioiuncnial Protection
Aycncy
Olfu idl Gusinuss
Penalty for Private Use
$300
BUSINESS REPLY MAIL
First Class Permit No 11663 Washington DC
Posiayo and Fees Paid Envuonmentol Protection Agency
General Services
Administration (8BRC)
Centralized Mailing Lists Services
Bldg. 41, Denver Federal Center
Denver CO 80225
No Postage
Necessary
if Mailed
in the
United States
Please Seal Belore Returning
dTb
OIIk idl Bimiitrt*
Priifilly (o> Piivair U»t)
$300
Pitii-Jyfl «ii"l Fci
CnVitniiMH-nlril»'
EPA 33b
-
Nr, i A«j*nc « 1
Untlitil Strtif*. 0'ltrcof
Environment,I'miIitjiom PuIi'h Awflirticss 1 A 1Q/I
A(jeiu y Wushmuion UC 70460
fust Cl<»ss
I nvitation
In a continuing effort to promote greater public awareness and
understanding of EPA's programs for protecting the public health
and the environment, the Office of Public Awareness invites you t
be placed on its mailing list.
As you may know, EPA is charged by Congress to protect the
Nation's land, air, and water systems. Under a mandate of nations
environmental laws focused on air and water quality, solid waste
management and the control of toxic substances, posticides. noise
and radiation, the Agency strives to formulate and implement
actions which lead to a compatible balance between human
activities and the ability of natural systems to support and nurture
life.
You will be receiving general publications about the EPA program:
in which you indicate an interest If you want to receive technical
information about a specific program, (i.e., air, noise, solid waste,
toxic substances, pesticides, or water) please write directly to the
technical program office, c/o EPA, Washington, DC 20460 and asl
to be placed on their mailing list. A separate media list used for th
mailing of news releases is maintained by the Office of Press
Services.
RSVP Today
In the future, if you would like to report a channe of address or
want to be removed from our list, it is important that you send us
copy of your mailing label along with your request.
-------
n
o
3
w>
ff.
O
a
£L
o
QfQ
M
ro
CL
0/3
cr.
o
-------
How to Successfully Work with and Manage Citizen Advisory Groups
Barry Lawson Associates, Inc.
190 Migh Snect ¦ Boston AM 02110
-------
HOW TO SUCCESSFULLY WORK WITH AMD MAMAGE CITIZEN ADVISORY GROUPS
THE POLICY
Under the category of "Dialogue," the Policy identifies
advisory groups as effective mechanisms to gain continuing advice
from a representative group of citizens, officials, and special
interests.
The primary function of an advisory group is to provide
elected and appointed officials with information and
recommendations on project/program issues. Recommendations may
address policy development, project scope and alternatives,
financial assistance applications, work plans, major contracts,
interagency agreements, and budget submissions, among others.
Advisory groups provide a forum for addressing issues, promoting
constructive dialogue among the various interests represented in
the group, and enhancing community understanding of the agency's
actions.
For EPA headquarters and regional advisory groups, the
provisions of the federal Advisory Committee Act (P.L. 92-4^3)
and General Service Administration (GSA) regulations on Federal
Advisory Committee Management apply. These federal provisions do
not apply to state, sub-state, and local advisory committees;
however, the Policy details special advisory group requirements
for assisted agencies. For EPA programs carried out by state,
sub-state, and local agencies, the following provisions apply.
Membership on advisory groups must consist of substantially
equivalent proportions of the following four groups:
1. Private citizens who will incur no financial gain or loss
greater than the average homeowner, tax payer, or
consumer, as a result of action of the assisted agency.
2. Citizens or representatives of organizations with
substantial economic interest in the plan or program.
3. Elected and appointed federal, state, local, and tribal
officials.
4. Representatives of public interest groups with non-
economic interests in the action.
EPA or delegated states must approve the composition of
advisory groups. Where a project has a geographic focus, the
advisory group members should come from that area. Advisory
groups must have professional and clerical staff assistance, and
an operating budget to cover expenses.
ADVISORY GROUPS 53
Barry Lawson Associates, Inc.
190 High Street ' Boston. MA 02110
-------
The minutes of all meetings, and advisory group
recommendations, including minority reports, are public
information and must be made available to the public and to
affected or interested government agencies.
BACKGROUND AND SUMMARY
Advisory groups are established to provide an outside
perspective on agency projects and programs. Advisory group
members perform the valuable role of serving as long-term
participants in a planning project. Members will continue to
learn as the project proceeds, make a commitment to the planning
process, and serve as a good sounding board for new ideas.
Members will provide input and response to agency recommenda-
tions, and may develop recommendations of their own. Advisory
group members may adopt some of the goals of the project and
communicate them to others.
Successful citizen advisory groups consist of a balanced mix
of identifiable groups which have an interest in a project. In
general, it is best to tailor-make advisory groups for each
project. However, in small communities, existing committees that
meet EPA's balance requirements should be considered. Working
with existing groups, such as a local environmental advisory
committee can avoid duplication, increase credibility, and build
upon existing community outreach networks.
Advisory group members must understand and accept their role
and responsibilities; advisory group members advise, but do not
have decision-making authority. They should be well trained in
the subject area and study methodology at the beginning of the
process, and be kept well informed throughout planning. Advisory
group members should develop and embrace reachable goals and have
specific identifiable tasks to perform. Their opinions must be
received with an open mind. Advisory groups need staff support
in order to be effective. The basic principles in this chapter
apply to small and large committees, and to any setting --
community, state, region, or the nation.
THE ESSENTIALS
I. What are some of the functions of citizen advisory
groups?
Note: Advisory groups will perform some, but not
necessarily all of the following functions.
A. Ensure public REPRESENTATION in EPA programs.
54 ADVISORY GROUPS
Barry Laivson Associates, Inc.
-------
1. Provide a community/state/regional/national
perspective on EPA projects and programs;
express "community" values or needs.
2. Serve as a link between the community and the
agency, ensuring more responsive and responsible
government.
_,3. Represent particular points of view or special
interests.
4. Provide an opportunity for regular and ongoing
participation by interested publics.
5. Serve as a forum for the discussion of issues
relevant to citizens living in the community,
state, region, or nation.
ASSIST and ADVISE.
1. Provide response to agency recommendations;
serve as a sounding board for new ideas.
2. Provide new ideas, recommendations, or potential
sources of information.
3. Assist in the development of public
participation and public affairs programs within
the community, state, region, or nation.
4. Assist in resolving controversial projects and
evaluating complicated issues.
5. Perform technical reviews, and make
recommendations on technical data and analysis.
6. Assist in priority setting in annual work plans.
7. Help set site-specific or issue-specific
planning priorities.
8. Help plan, host, and participate in public
meetings with citizen/special interest
organizations or federal, state, or local
agencies.
9. Help the staff reach opinion leaders.
If). Explain plans and policies to others (local,
state, or other government officials, organized
groups, and citizens), and advise EPA or the
grant recipient of their reactions and comments.
ADVISORY GROUPS 55
Barry Lawson Associates, Inc.
-------
C. REVIEW and MONITOR.
1. Monitor progress and plan implementation.
2. Provide a broader-based review of plans and
programs than could be accomplished by agency
personnel.
3. Review and comment upon all written material
designed for use by the general public.
^ D. Promote public EDUCATION.
1. Act as a source or channel of information or
communication for those individuals and groups
wanting information or participation.
2. Assist in taking issues to the public, where
appropriate.
3. Help educate the public about agency programs
and planning.
4. Devise parts of action or awareness plans, such
as workshops and field trips.
What are some of the principles governing the use
and effective management of citizen advisory groups?
A. Advisory group members must understand and accept
their role -- they are advisors, but do not have
decision-making authority. Members should accept the
limits of their responsibilities or not become a
member of an advisory group. Misunderstandings on
this central issue can cost the group valuable time
and credibility.
B. In order to prevent mis-communication and
mis-representation, clearly define the roles and
responsiblities of group members in advance of the
first meeting. The more specific the agency is in
defining, stating, and limiting the scope of
activities of group members, the better the group
will work to meet the needs and objectives of the
program.
C. Defining needs and objectives is not easy; it takes
time and careful analysis on the part of the agency.
However, this planning step can help to establish an
agenda and method of working with the advisory group
for its term of operation.
ADVISORY GROUPS
Barry Lowson Associates, Inc.
-------
D. The needs and objectives of the members of the
advisory group may vary from those of EPA or the
grant recipient. In planning for the group,
anticipate their needs. Why have they joined the
group? What is their agenda? The advisory group
represents both government and the governed. Both
sides must have some of their objectives met if the
advisory group process is to be successful.
E. The easiest way to ascertain the needs and desires of
the group members is to ask them. Either in
one-to-one meetings, or at the first meeting of the
group, have the members identify their objectives and
some of the substantive program areas in which they
would like to participate.
F. Out of this process, the group members should develop
and embrace reachable goals and have specific
identifiable tasks to perform.
G. The more specifically work tasks are defined, the
better group members will be able to embrace and
understand their roles, the more satisfied they will
be as committee members, and the more assistance they
will provide to the agency or grant recipient.
H. Advisory group members must be well trained at the
beginning of the process, and be kept well informed
throughout their term on the committee. Training
topics should include substantive background infor-
mation, planning methodologies, technological or
planning alternatives, and information on the role
and responsibility of the advisory group.
I. Unlike other publics of EPA or grantee projects, the
advisory group members represent long term partici-
pants. The more they learn over time, the more
effective they will be as sounding boards for new
ideas, reviewers of policies and programs, initiators
of recommendations, and pulse takers of the community
at large. They will develop "institutional" mem-
ories, or a sense of the history of past actions and
decisions. Other participants, such as attendees at
publie meetings, change over time. IndividuaIs have
different levels of knowledge and understanding, and
often need catch-up time to understand the context
for current recommendations. This is not true for
advisory groups members.
J. Advisory groups need staff support to be effective.
The policy calls for staff support, and each public
participation work plan should specify financial and
staff support. The successful operation of the
ADVISORY GROUPS 5 7
Barry Lawson Associates, Inc.
-------
committee may require a large investment of time.
Specialists from EPA, the state, or local grantee,
may be called upon to brief the committee, answer
their questions at crucial points, or train group
members. Program managers must allocate a portion of
various staff specialists' time to the advisory group
process. In addition, advisory groups need someone
to arrange meeting locations, prepare minutes, handle
mailings, and perform other logistical and support
tasks.
K. The more substantive work advisory group members
perform, the more likely they will be to adopt some
parts of the project as their own. The greater the
investment in time and energy, the more likely they
will be to defend the products of their labor. The
group members need the reinforcement of knowing how
and when their input is being used.
L. For new advisory groups, it often takes time for
advisory group members to feel comfortable with one
another and with the project manager and staff. For
groups that meet monthly, it often takes a meeting or
two before the group is able to focus on substance.
Members need to clarify their roles, meet other
members, and establish the limits of their individual
and collective power and responsibility.
1. Rather than fight or short circuit this process,
recognize it as a part of the social dynamics of
forming a new advisory group.
2. Build upon the process, and work with the group
to establish goals, identify upcoming work, or
begin the education or training program.
Maintain flexibility and respond to committee
needs.
M. Advisory group members rarely reflect the demogra-
phics of the "community at-large." Members are
generally better educated, more vocal, and more
political than other citizens. This does not mean
that advisory groups are not helpful -- on the
contrary, it is because of these attributes that the
members work well as community interest representa-
tives .
N. Give members a sense of accomplishment, success, and
reinforcement. For example, summarize progress made
at the end of each meeting, explain upcoming commit-
tee work and show members how their efforts have
contributed to the project.
58 ADVISORY GROUPS
Barry Lawson Associates, Inc.
-------
0. Follow through on all commitments made to the group.
Staff members must not make commitments which cannot
be met or that they do not have the authority to
implement.
III. What is an appropriate size?
A. A small group may work together more easily, but a
large group may be more representative. An advisory
group should be large enough to represent major
points of view but small enough to be a forum for
discussion and work.
B. If the advisory group has more than 15-20 members, an
executive or steering committee may be necessary for
day-to-day contact with the agency. Also, consider
dividing the group into smaller work committees
consisting of five to seven members to complete work
assignments. Seven plus-or-minus two is generally
considered the best range for group interaction and
discussion. Working as a member of a smaller group
often feels more satisfying than working as a member
of a larger group.
IV. What steps should be followed in forming an advisory
g roup?
A. Establish logical or common sense categories for
membership on the advisory committee.
B. Identify public interest groups, economic interests,
and public officials who are interested in or
affected by the assisted activity.
C. Inform citizens of the activity, using newspaper
announcements and other media, mailing written
announcements to interested persons, contacting
organizations and individuals directly, and
requesting organizations to contact their members.
D. Consider contacting potential advisory group
candidates to see if they are willing to join the
advisory group and recommend other potential
participants.
E. Clearly explain to each potential member the function
and responsibility of the advisory group.
F. In some cases, especially in smell communities, an
existing or modified existing committee may be used
if the balance criteria are met.
ADVISORY GROUPS 59
Barry Lawson Associates, Inc.
-------
V.
Must committee recommendations be used in the final plan?
A. Relevant committee recommendations should be included
in the plan.
B. Group recommendations and suggestions should appear
in a r espons.i y.enes.s__s.ummar v. and allow for noting
where Ehe advisory group had a major influence on the
direction and details of the plan.
C. All recommendations, including those that seem unwise
or unrelated to the project, should he responded to
and treated with respect. Provide a detailed
explanation when suggestions are not adopted.
D. Responses to committee recommendations should be
specific and prompt.
E. Maintain a constant two-way flow of information and
ideas, and avoid surprises at the end of a project.
OTHER THINGS TO CONSIDER
VI. What personal characteristics should advisory group
members have?
A. Interest in the project and a willingness to work for
the length of the project.
B. Ability to work in a group; ability to work with
persons of opposing viewpoints.
C. Identify with -- and representative of -- com-
munity/state/national interests.
D. Technical expertise in some members.
VII. What written rules or agreements should be established
with the advisory group?
/
A. Written rules or bylaws should define committee
responsibilities and functions, and agency
responsibilities and commitments to the advisory
group. The committee may adopt its own rules. Keep
rules simple.
60 ADVISORY GROUPS
Barry Latvson Associates, Inc.
-------
The rules should establish procedures on issues such
as voting, the role of observers at advisory group
meetings, attendance requirements, the function and
role of subcommittees and the use of parliamentary
procedures.
Rules should establish when written materials will be
made available to committee members, how long
advisory group members have to review this material,
and how comments will be treated by the agency.
what are the important considerations in managing advisory
group on the state/national level?
A. State/national level groups should meet in various
locations around the state/nation.
B. Issues of statewide/nationwide concern must be
clearly identified.
C. Statewide/nationwide groups have the difficult task
of finding ways of maintaining interest over time,
and of making issues relevant to a local, state, sub-
state, and national perspective.
D. Coordinate activities of advisory groups working on
related programs.
What are some helpful hints for making individual citizen
advisory group meetings more successful?
A. Meetings should be planned and scheduled with the
committee. Committee members should help set. the
agenda.
B. Meeting agendas should be realistic and planned to
accomplish goals within the time constraints of a
single meeting. Committee members feel frustrated if
they can not accomplish the work presented to them.
Often only one major topic, or selected aspects of a
major topic, can be handled in one meeting.
C. The topic must be important, and be perceived as
important, by advisory group members.
D. The topic or theme of the meeting must be appropriate
to the planning phase of the project currently
underway.
ADVISORY GROUPS 61
Bdrry Lawson Associates, Inc.
-------
E. The format for the advisory group meeting should
maximize participant discussion, be as simple as
possible, and support the goals of the meeting.
F. If presentations are to be made, speakers should be
knowledgeable, credible, personable, and responsive.
G. Arrangements should be made by the agency's staff for
such things as note taking, preparation of minutes,
preparation of follow-up reports, and for providing
refreshments, if appropriate.
H. Only schedule advisory group meetings if they are
needed. Do not waste the time of group members. If
a plan or study is entering a data collection phase,
for example, and there is no need for an advisory
group meeting, explain the situation to the group,
and let them decide whether or not to meet.
I. When long intervals occur between meetings (e.g., 7
months), some type of written report or up-date
should be sent to group members. This helps to
maintain open lines of communication and interest in
the project.
> J. Where possible, encourage the group to operate by
consensus rather than voting. Understanding the
various points of view is important to the agency;
forcing the group to vote is not. Vote taking can
sometimes polarize the group members, and force them
into hard positions.
K. Encourage the advisory committee to have a strong
chairperson. The committee might need a temporary or
"floating" chairperson for a limited time period;
once members get to know one another, the committee
can elect a permanent chairperson.
Working with an advisory group is a human interaction.
Therefore, simple considerations can make a large
difference. What are some of the little things that make
a difference?
A. Early and frequent evidence that input is important.
B. Recognize and respect the style and personal
oreferences of members.
C. Produce easy to read, timely, and understandable
briefing material.
ADVISORY GROUPS
Barry Lawson Associates, Inc.
-------
D. Good preparation, such as giving effective and
interesting presentations, choosing sites for
meetings based upon the transportation and other
needs of committee members, and getting materials to
members early so they have time to digest information
prior to meetings.
E. Promptness of staff.
F. Avoid or clear up immediately, any misunderstandings
among advisory group members, or between the advisory
group and the staff.
G. Take steps to assure good attendance, such as
telephoning members in advance of the meeting.
H. Ensure that individual members receive something from
their membership, such as knowledge, status, and
prestige.
I. Reinforcement for advisory group activities through
the news media and the newsletters of organizations
with an interest in EPA activities. Inform
interested publics of the group's work.
EVALUATION
XI. What are some questions to ask when evaluating and
determining the success of citizen advisory groups?
A. Does the composition of the group comply with the
balance requirements of the Policy?
B. Has the group's representation remained balanced over
time? Is the group properly balanced for the tasks
being peformed?
C. Were national, state, or community leaders involved
in recommending members for the advisory group?
D. Is the group representative of the interested and
affected community? Are some groups obviously
omitted or over-represented? Does the group
membership suggest that a fair cross-section of the
community exists? Was the public given an oppor-
tunity to comment on the group's composition?
E. Has the group been well briefed and educated on the
key issues in the project/program? Has a formal
training program been designed? Are there areas for
improvement?
ADVISORY GROUPS 63
Barry Lawson Associates, Inc.
-------
F. Have members found the information provided
understandable, adequate, and timely? Do they have
enough technical information? Are they overwhelmed
by unnecessary detail?
G. Are the committee meetings interesting, goal
oriented, and well attended by advisory group
members?
H. What issues are submitted to the advisory group, and
how are they sent? How has the committee's advice
been used? Is the group informed when its advice is
used? Not used?
I. Has the project manager identified the important
decisions, and sought the advice of the group on
them?
J. Is the group providing information and
recommendations of substantive value? Is this advice
being applied in policy formation, decision-making,
program planning, and program implementation? Does
the agency respond in depth to advisory group
recommendat ions?
K. Does the advisory group work effectively and
efficiently? Are conflicts and differences in
points-of-view among group members or between the
advisory committee and the agency constructive?
L. Do agency staff members provide adequate support? Is
the staff used well by the advisory group? Is the
staff/group relationship satisfactory to the agency?
To the advisory group?
M. Do advisory group reports exhibit independent thought
and analysis? Are they merely "rubber stamps" for
EPA or the grant recipient?
N. Do members of the advisory group have a major role in
planning and implementing the public participation
program, and in presenting the program to the public?
Should they?
0. Are special interests and other interested publics
aware of the work of the group? Do members of the
advisory group carry back to the groups they
represent information about the program?
P. If the group serves more than one EPA program, does
it serve them with equal effectiveness and
commitment?
6 4 ADVISORY GROUPS
Barry Lawson Associates, Inc.
-------
How to Organize and Run Effective Public Meetings and Field Trips
Barry; Law son Associates, Inc.
190 High Street ¦ Boston MA 02110
-------
HOW TO ORGANIZE AND RUN EFFECTIVE PUBLIC MEETINGS
AND FIELD TRIPS
THE POLICY
The Policy addresses public meetings under the general
category of "Dialogue." The goal in any form of dialogue, such
as meetings, hearings, and workshops, is to encourage an exchange
of views, and open exploration of issues, alternatives, and
consequences.
Public meetings must be preceded by the timely distribution
of information, and occur sufficiently in advance of decision-
making to make certain that the public's options are considered,
and to permit response to public views prior to agency actions.
Meetings should be held at times and places which encourage
attendance and participation. Whenever possible, they should be
held during non-work hours, such as evenings and weekends, and at
locations accessible by public transportation.
BACKGROUND AND SUMMARY
Public meetings are agency-sponsored gatherings, open to the
general public, and held to inform or involve the public in
planning and decision-making. They allow for two-way
communication, and generate interest and participation in a
project. They should be used selectively, integrated with other
public participation techniques, and designed to meet specific
measurable objectives. The public includes any individual or
organization other than members of the agency/consultant staff.
Meetings should be well organized, and have an agenda which
details work to be accomplished and assigned responsibilities.
The length of formal presentations should be kept to a minimum,
consistent with the need to bring all attendees to a common level
of knowledge on the subject matter. The site selected for a
meeting should have the facilities and space needed to meet the
meeting's goals. "We-they" attitudes should be avoided, as
should the use of technical or professional jargon. The
moderator of the meeting should summarize progress on decisions
made before adjourning the meeting. Following a meeting, prepare
concise meeting minutes or a responsiveness summary and
disseminate them quickly to prevent misunderstanding and poor
communication. Follow through on all commitments made to the
public. Public meetings should be evaluated by participants and
staff.
Barry Lawson Associates, Inc.
190 High Street ' Boston MA 02110
MEETINGS 6 5
-------
Provide timely and meaningful information throughout the
planning process as a key to promoting response and participation
from the audience. Consider co-sponsoring public meetings with
other government agencies and private organizations. Co-
sponsorship can lend credibility to meetings, avoid duplication,
and increase attendance. Also, in small communities, consider
holding joint public meetings as a part of the regularly
scheduled town meetings if project goals can be met. The
principles in this chapter apply to large and smal1 meetings, and
from the small community to the national level.
NOTE: A pub lie meeting checklist appears at the end of this
chapter.
THE ESSENTIALS
I. What are the factors to consider when planning and
preparing effective meetings?
A. Identify the agency's objectives, expectations, and
desired results for the meeting.
B. Identify the audience's objectives, expectations, and
desired results.
C. Match the composition and size of the group invited
to attend a meeting with agency objectives.
0. Decide on the level of participation and involvement
desired, and choose the meeting structure and format
that can best meet agency objectives. Then, choose
the specific methods and techniques for discussion,
planning, problem solving, and decision-making.
E. Choose a meeting location, keeping in mind necessary
room arrangements, equipment and supply requirements,
and accessibility by public transportation.
F. Identify the roles and responsibilities of various
staff members and citizens who will participate in
the meeting.
G. Make sure that everyone who wants to speak has an
opportunity to do so.
II. When should public meetings be held?
A. When the agency wants to inform people, clear up
misunderstandings on agency actions or plans, or
generate public discussion on policies, plans, or
recommendations.
66 MEETINGS
Barry Lawson Associates, Inc.
-------
—j B. When the agency wants to reach a large number of
people directly at a meeting, and indirectly through
follow-up media coverage in local and regional
newspapers, and on radio and television.
C. When the agency wants to encourage comment and debate
among various groups interested in the project or
issue and to encourage more community dialogue and
priority setting or problem solving.
D. When community interest on an issue is high.
E. When participants in a project feel the need to share
information and ideas with the rest of the community.
F. When an agency seeks to communicate with an audience
larger and more diverse than a citizen advisory
group.
G. If the sole purpose of conducting a public meeting is
to educate the public, consider whether the public
meeting is the most effective technique to use to
meet this goal. The use of educational tools such as
newsletters, fact sheets, slide programs, or sending
public speakers to the regularly scheduled meetings
of organized groups, may prove more successful.
III. What are some useful techniques for getting people to
attend meetings?
A. The best tool for generating attendance at large
public meetings is djjrect mail, followed by one-to-
one contact.
1. In one major survey of how people who attended
meetings and hearings heard about the event, the
largest number said they received something in
the mail that told them about the gathering.
The second most common response was that someone
told them about the event. Word-of-mouth proved
to be an effective communications channel. Less
than five percent of those surveyed said they
saw a notice in the newspaper or heard about it
on radio or television.
2. Consider the use of a telephone network to
initiate the word-of-mouth communications
system. This is especially effective in small
communities and in neighborhood organizing.
Barry Lawson Associates, Inc.
MEETINGS 6 7
-------
B. Create an exciting theme which appeals to people's
personal or economic interests for use in
invitations, posters, and mass media announcements of
public meetings. Personalization of issues will help
to capture the public's attention.
C. Newspapers and other mass media provide a helpful
reminder to people who plan to attend a meeting, but
are generally not effective for drawing people who
did not know about the meeting.
IV. What criteria affect the topics and design of a meeting?
A. Do not mix too many topics in a single meeting.
Stick to one major theme, if possible.
B. Do not allow the meeting to last more than three
hours; many people consider two hours optimal.
C. Topics chosen should be timely and coordinated with
current planning work. Participants should be
interested in the subject and consider it important.
D. Use different meeting formats for reaching different
goals (i.e., lectures, panel discussions, workshops,
conferences, interactive sessions, questions and
answers, and the use of audio-visua 1s).
V. What are some helpful hints for organizing and arranging
successful public meeting.s?
A. Hold public meetings during non-working hours if your
goal is to attract working people. Evening meetings
scheduled on a Monday-Thursday evening have proved
successful in many locations.
1. Avoid holding meetings on Friday evening.
2. Only schedule Saturday session if an all
day meeting is required.
3. Consider the needs of people who have to drive
long distances when setting starting times.
B. When scheduling public hearings, attempt to have at
least one hearing scheduled for a non-work period so
that working people can attend and present testimony
or listen to the remarks of others.
C. Consult the calendars of local and other government
groups or agencies to avoid scheduling conflicts for
some potential participants. Local officials often
68 MEETINGS
Barry Lawson Associates, Inc.
-------
feel angry when public meetings or hearings are
scheduled in their community on a night when the
municipal council or board regularly meets. In small
communities, consider conducting the meeting in
conjunction with a regularly scheduled board meeting.
D. Choose a location thoughtfully. Some locations, such
as private homes and exclusive clubs may be uncom-
fortable or threatening to some participants.
Holding a meeting at the site of the point of contro-
versy may stimulate conflict at the meeting.
1. One public participation coordinator wisely
arranged for a meeting on a controversial
hazardous waste facility siting proposal to be
held in the local church where the environment
restrained tempers and emotions.
2. The most neutral meeting places are schools,
libraries, town halls, community centers, and
public convention facilities.
E. When planning public meetings and hearings on issues
of statewide concern, consider holding a series of
meetings around the state in order to encourage
active public involvement. h single meeting at the
state capital alone may attract statewide
organizations and some interested local officials,
but may be perceived as being too far from home for
many potential participants.
F. Hold a meeting as close to the center of interest as
poss ible.
G. When choosing speakers for a public meeting, ensure
that they have the appropriate expertise and are
perceived by the audience as qualified. Restrict
their remarks to a limited number of issues.
Speakers should adapt their remarks to the knowledge,
interest and experience of the audience.
H. A moderator for a public meeting, should be perceived
as neutral on the issue, have sufficient knowledge of
the topic to field difficult questions and facilitate
a fair exchange of ideas, and be willing to work for
the goals of the meeting.
I. Give notice of meetings at least 30-45 days in
advance to allow people ample opportunity to prepare
for the meeting and to allow for adequate publicity.
(See chapter on public notices.)
Barry Lawson Associates, Inc.
MEETINGS 69
-------
VI.- What is the value of preparing an agenda for public
meetings?
A. An agenda meets many objectives including:
1. Structures the meeting, by establishing a
meeting work plan.
2. Sets a time schedule for meeting events or
topics.
3. May establish specific results to be achieved by
the end of the meeting.
A. Establishes roles for various participants in
the meeting.
5. Helps establish where a meeting fits into the
total planning process.
OTHER THINGS TO CONSIDER
VII. What are some variations on large group public
information meeting formats?
A. Lecture: A well known authority presents a speech
intended to educate, explain, or influence. Studies
on the impact of public speeches indicate a recall of
10% three days after the event if a lecture is
presented without supporting graphics or
audio-visuals. With slides, overhead projections,
films, flip charts, or other graphic supports, the
retention level increases to as high as
-------
problems, and to develop "mental pictures," which
aid education, attitude formation, and retention of
information. In general, movies are considered the
most persuasive visual medium available.
E. Debate: Representatives of various points of view
come together in a public forum to present and defend
their ideas. The format can prove exciting to the
audience and participants alike, and help the
audience to decide how they feel about the issues.
F. Inquiry or Colloquy: A panel of interested
participants question senior agency officials
about various aspects of a plan or proposal. They
ask questions on behalf of the various interests
present in the audience. The questionners can be
experts or non-experts.
G. Open Forum: Members of the audience are invited to
present a three or five minute statement before the
entire meeting. From the agency's point of view, the
format allows for gathering public comment. From the
audience's perspective, the format helps to vent
frustration, provides for the transfer of
information, and allows for competition in public
persuasion. This format is often a standard part of
a public hearing.
VIII. What are some rules for working with guest speakers at
public meetings?
A. Inform each speaker in advance of the structure ,of
the meeting and the amount of time available.
B. Clarify the roles of the various participants at the
meeting in advance.
C. Hold speakers to a time schedule. For example, place
a time piece on the lecturn to remind the speaker of
the time, or have a staff member hold up a sign
signaling the speaker when only five minutes remain
in the alloted time. Make sure the speaker
understands the signal chosen.
IX. What are some useful suggestions for dealing with
disruptive, angry, or boistrous, people at public
meet ings?
A. Do some scouting or homework in advance of public
meetings to ascertain who the potentially disruptive
people are likely to be.
Barry Lawson Associates, Inc.
MEETINGS 71
-------
B. Consider talking to some of these people in advance
of the meeting to explore the source of their
discontent and to see if a solution to their issue
exists.
C. If several groups seem to be at odds with one
another, it may be appropriate to bring the parties
together privately in advance of a large public
meeting in an attempt to work out their differences.
D. It may be helpful to set aside several meetings at
the beginning of the public participation program to
encourage people to state their needs, personal
agendas, or concerns.
E. If the problem is one of confusion in roles between
staff and participants, this issue should be the
focus for group discussion and resolution.
F. If a few members of the audience seem to do all the
talking, it might be appropriate to:
1. Place a time limit on any individual's
comment period.
2. Have other participants or the staff talk
to the few domineering people in advance
of the meeting and ask them to be more
sensitive to the needs of others.
3. Use special group management techniques which
structure equal participation by all partici-
pants. (See Section XIII.)
G. Do not ignore substantive differences between agency
staff and participants; address them. Work with the
audience to let them see that differences can be
healthy. Together, explore ways to improve the
situation. One option is for the citizens to prepare
a plan or proposal of their own. Another is for the
staff to plan a workshop where citizens and staff can
work together to find other solutions or options.
H. Sometimes, participants at a meeting are there just
because a representative of regional, state or the
federal government is present and available. For
them, the specific purpose of the meeting is less
important than having access to government
representatives. The moderator might acknowledge
their need, state that the sponsoring agency does not
represent; cnac particular program or need, ana otter
to help put them in contact with the right people.
Consider using the agenda as a mechanism to bring the
group back to the issues at hand by having the
72 MEETINGS
Barry Lawson Associates, Inc.
-------
moderator say something like, "Let me talk to you at
the break and give you some names and phone numbers.
We have much to accomplish tonight, and I would like
to return to agenda item 2."
X. What is the value of field trips and how should they be
organi zed?
A. Field trips have proved valuable in many EPA
programs. Field trips allow participants — citizens
and officials -- to visualize and comprehend a
situation and problem. Touring a faulty wastewater
treatment plant, examining a modern hazardous waste
facility, or touring farms that have instituted
runoff controls, for example, removes issues from the
theoretical and makes them real. People sometimes
learn best through first hand observation.
B. Field trips should augment, but not take the place of
public meetings.
XI. What are some helpful hints in organizing field trips?
A. Field trips should be planned carefully so that they
are enjoyable learning experiences.
B. A well organized trip builds credibility for the
sponsoring agency.
C. A knowledgeable tour guide should conduct the field
trip. The guide should be well briefed about the
group, their needs, and the questions the group may
ask. The tour guide should consider potential
questions and prepare honest, substantive, and direct
answers.
D. Provide participants with background information to
read in advance of the trip.
E. Staff members or the public participation coordinator
should join the field trip as a known entity, and as
a trouble shooter if such a role is necessary.
F. A staff member should explain to the participants the
significance of the visit, what the group is likely
to see, and how the trip fits into the overall
planning or participation program.
G. The staff member should see that all participant
questions are answered before the end of the field
tr ip.
Barry Lawson Associates, Inc.
MEETINGS 73
-------
H. Field trips provide good news, photo, and film
opportunities.
I. Informal exchanges between staff and participants
should be encouraged on field trips. Such
experiences "outside the office" help to humanize the
project or program.
J. Clarify personal financial obligations early, such as
whether each participant will pay a portion of a
rented bus fee or whether the agency will cover the
cost. Field trips are generally grant eligible.
XII. What are some innovative small group techniques
applicable to EPA programs?
A. The Nominal Group Process.
1. The nominal group process is a group dynamics
technique helpful in goal setting and problem
identification. It is a highly structured
process where group activity is centered around
answering a single value-laden or conflict-laden
question.
2. The nominal group process gives all group
members the same opportunity to respond to the
question. Through the use of a round robin
reporting technique, and controlled group
discussion, quieter members have the same access
to the group as do more vocal members. No
single group member can dominate the
conversation. There are no right or wrong
answers. The group works together, albeit in a
structured manner, to produce a tangible group
product or solution. 3
3. The following steps are taken in order to
develop a set of priority issues, goals, or
needs:
a. A group leader or moderator explains the
purpose of the exercise.
b. The group leader poses an open-ended
question to the group, and instructs
each member to work silently and alone,
and to write responses to the
questions in list form on a piece of
paper or on three by five cards, placing
one idea on a card.
74 MEETINGS
Barry Lawson Associates, Inc.
-------
1. The question should be open ended,
such as "What are your goals for the
citizen advisory group?", or "What
are the factors inhibiting the group
from reaching its goals?".
c. The group leader asks each person to give
one idea from the written list. As it is
given, the leader or a group recorder
writes the idea or answer on a flip chart
pad or black board in view of the entire
group. This round robin reporting
technique continues until all of the ideas
generated by the group are placed on the
master list before the group.
1. There is no group discussion during
this phase.
2. Members with the same general response
as someone else should inform the
group leader so that a check can be
placed by that particular response.
d. The list represents a group product. The
group discusses the responses on the master
list. Discussion may range from points of
clarification to substantive discussions of
the issues and themes generated by the
group. The round robin reporting technique
removes any single member's identity from
items on the list.
e. Sometimes the purpose of the exercise is to
generate a master list of ideas. At other
times the goal is to set priorities among
various responses. If this is the goal,
the group leader asks each person to rank
order to the top three to seven responses
on the master list. The group members
again work silently.
f. Using the round robin approach, the
moderator again asks each participant to
state a preference in order of priority.
One priority listing is given per round.
The process is repeated until each member
has stated the three to seven priority
i terns.
Barry Lawson Associates, Inc.
MEETINGS 75
-------
g. The group leader takes a tally of the
group's responses and circles the ideas
with the most checks. The responses
receiving the most checks are considered
the ranked consensus of the group.
1. A group discussion follows in which
the group leader attempts closure
with the group, identifies the
priority issues or ideas, and
seeks to develop a workplan or
action plan to put the ideas into
effect.
2. In some situations, a group will first
pick ten items of high priority, have
a group discussion on the top ten
ideas, and then go through a second
round of priority setting and round
robin reporting to reach group
consensus on the five items of most
importance or highest priority.
2. The technique works well with both large and
small groups. To use the technique with a large
group, break the large group into a manageable
number of smaller groups (5-9 to a group), and
have each smaller group perform the exercise as
stated above. The moderator gives instructions
to the groups, asks each group to choose a
recorder, and visits each of the group tables
during the exercise t.o make sure the exercise is
going well. After all the groups have completed
the entire exercise, the group leader asks the
recorder to speak for the group, and one more
round of round robin reporting and priority
setting is conducted. Through this method, a
new flip chart summary reflecting the priorities
of the entire group is prepared.
Another version of the exercise has each of the
smaller groups report their priority ideas or
solution. A group summary is prepared. The
group leader may then take the responses of the
individual groups, and after the meeting analyze
them, and report back to the large group at
another group meeting. This step saves time,
and for some questions, collecting and analyzing
several group's consensus lists is more valuable
for the project staff or sponsoring agency.
76 MEETINGS
Barry Lawson Associates, Inc.
-------
B. The Charrette.
1. The charrette is a problem solving technique
based upon conducting marathon meeting sessions
with the goal of solving problems and resolving
conflicts, developing a set of recommendations,
or preparing a plan or final report.
Participants with different points of view meet
in highly intensive sessions which may last from
several days to several months. The technique
requires a large commitment of time from staff
and public participants. Participants work to
find the best solutions to problems within
agreed upon deadlines.
Depending upon the participants and the problems
to be addressed, the charrette may be conducted
at night or on weekends. Sometimes,
participants go into retreat and work together
on an around the clock basis at a conference
center or similar facility. Participants
include representatives of the responsible
implementing agency, other government agencies
with an interest in the project, and citizen and
interest groups.
2. A charrette requires considerable advance
planning. Scheduling the time of resource
people, issuing invitations, making site
location arrangements, and the like, takes time.
The staff • members may have to invest
considerable time preparing issue, policy, or
options papers, and collecting background
information and data. Schedule two to three
months for planning. Often, a steering
committee with representatives of all
participants will organize and orchestrate the
cha r rette.
Charrettes must be designed to meet the needs of
the problem under discussion, and the partici-
pants. Regardless of the form or style,
charrettes generally perform six major tasks:
a. Define the problem and issues that need to
be resolved, and develop goals.
b. Analyze the problem and alternative
approaches.
c. Create task forces which clarify issues and
develop supporting data.
Barry Lawson Associates, Inc.
MEETINGS 7 7
-------
d. Develop and refine (by staff and resource
people), proposals which respond to the key
ideas and solutions generated by charrette
participants. The refined proposals, in
the form of charts, graphics, maps, and
models, are reviewed and modified by
citizen participants.
e. Present the final proposal (by citizen
spokesperson) to a "jury" of officials not
present at the charrette, who officially
approve the plan or project, and if
applicable, fund it.
f. Select a follow-up committee to implement
the plan.
3. Charrettes require active publicity, outreach,
and public information. The affected or
interested "community" must know the charrette
exists, its purpose, its key decision or action
points, and the extent of its progress. The
goal in the outreach program is to encourage
public submission of ideas and suggestions to
charrette participants.
4. Running a charrette often yields the added
benefits of establishing new lines of
communication, new perceptions and insights into
solving problems, and the development of
relationships among participants which often
continue after the charrette has ended.
5. Depending on length, charrettes can be
expensive. They require staff skilled in group
dynamics, facilities for meeting over a period
of time, food, and materials like flip charts,
A-V equipment, and copying facilities. Staff
salaries must be covered, and sometimes,
citizens receive reimbursement (or honoraria}
for out of pocket expenses.
6. Charrette participants will expect the
sponsoring agency to accept their
recommendations. They will also demand active
involvement on the part of the agency or grant
recipient in the charrette. Finally, they will
require access to all project information which
might affect their analyses and recommendations.
78 MEETINGS
Barry Lawson Associates, Inc.
-------
C. The Delphi Method
1. The Delphi Technique involves the use of
questionnaires to obtain a consensus of opinion
from a panel of experts about an issue or
problem. It is used as a method of forecasting
or problem solving. Delphi structures group
communication so that a group of individuals can
draw upon a larger audience of experts in
seeking solutions to complex problems.
2. In the most common Delphi, a small team will
design and send a questionnaire to a larger
group. The returned questionnaires are
evaluated by the design team, and a follow-up
questionnaire prepared. This process continues
until the team feels it has enough information
to make decisions or propose recommendations.
3. While the form of a Delphi will vary, each
Delphi will contain the following:
a. Some method for individuals to contribute
information and knowledge.
b. Some degree of anonymity for individual
responses.
c. Flexibility in the use of "best" or
"appropriate" procedures for
accomplishing various aspects of the
Delphi.
4. Delphi is most useful when:
a. The problem to be discussed does not lend
itself to precise analytical technique, but
requires subjective judgments on a
collective basis.
b. The individuals contributing to the process
do not have prior experience in working
together.
c. More individuals are needed than can
efficiently interact in person.
d. The efficiency of the group process may be
improved through the collection of
additional information and insights by
non-group members.
Barry Lawson Associates, Inc.
MEETINGS 79
-------
e. Anonymity among participants is helpful
because individuals do not trust or work
well with one another because of political
or other differences.
D. The Samoan Circle
1. The name Samoan Circle describes a large group
interaction technique where participants at a
meeting state a position or concern by taking a
turn at sitting around a central table to make a
statement. They leave the table after speaking
to make room for others who wish to make a
statement. The technique is useful when
emotions are high, when people are reluctant to
break up into smaller groups, where many people
have something to say, if a trained facilitator
or moderator is not present, and if participants
are willing to go along with this type of highly
structured process.
7. The Samoan Circle is structured in the following
way:
a. Chairs in the meeting room are set up in
concentric circles. A round table with
four to six chairs is placed in the center
of the smallest circle.
b. Anyone who wishes to speak must take a seat
at the center table.
c. An individual may join an existing
discussion, make an independent statement,
ask a question, support or refute the
position of someone else at the table, or
propose a new topic for discussion.
d. When finished, a person leaves the table
and the place is taken by someone else. If
someone wants to speak, and there are no
vacant chairs around the table, the person
stands behind one of the seated people and
takes a place when a speaker is finished.
e. People may return to the table as often as
they wish.
f. Sometimes a recorder or secretary will take
notes during the exercise. At other times,
no notes will be prepared. In this case,
80 MEETINGS
Barry Lawson Associates, Inc.
-------
the value of the exercise is for the
participants at the meeting to vent
frustration and to hear the perspectives of
others.
g. The Samoan Circle discussion continues
until no one is left at the table, or until
reaching a previously agreed upon closing
time.
XIII. What is the role of a small group discussion moderator
or facilitator?
A. To help the group to reach its maximum level of
product iv ity.
B. To keep the group focused on specific issues and
agenda items, and to help the group reach measurable
object ives.
C. To involve all participants, paying particular
attention to less talkative members.
D. To maintain balance within group discussions.
E. To ensure the accuracy and credibility of information
used by the group.
F. To improve lines of communication among group members
and to clarify comments and ideas.
G. To summarize main points, identify accomplishments,
and conclude discussions.
XIV. What are some techniques for evaluating public meetings?
A. Written and/or oral evaluations of public meetings by
participants provide information on the results,
impact, and value of the meeting.
B. Written evaluations provide a regular, simple, and
quantifiable source of data on participants and their
responses to a meeting.
1. Questions can be open-ended or closed-ended.
Open-ended questions provide space for the
participants to write a response to a question.
Close-ended questions force the respondent to
choose among limited options such as true-false,
multiple choice, or to check a number on a line.
Barry Lawson Associates, Inc.
MEETINGS 81
-------
2. Closed-ended questions are easiest to work with
and code for analysis. However, always include
at least one open-ended question that lets
meeting participants add comments or thoughts
not necessarily covered in the closed-ended
questions.
C. Themes to be covered in evaluations include:
1. The Importance and Relevance of the Topic and
Questions: Did the topic hold the attention and
interest of the audience? Did the staff get
what they wanted from the meeting. Did the
audience get what they wanted from the meeting?
2. The Relevance and Interest of the Information
Presented?: Were presentations well prepared
and delivered? Was the audience interested in
the topic?
3. The Capacity of the Meeting's Sponsors to Deal
with the Audience's Questions in the Time
Available: Was the agenda realistic? Were
questions relevant to the meeting topic? Was
sufficient time allocated to answer questions?
Had the staff anticipated the audiences'
questions in advance? What information did the
audience seem to have difficulty with?
4. The Meeting Format: Did the format meet the
goals of the meeting? Did the format facilitate
group discussion and learning? Did the format
support learning and hold the attention of the
audience?
5. The Opportunity for Each Participant to Speak:
Did meeting participants who wanted to ask a
question or make a statement have an opportunity
to do so?
6. Leadership Direction and Support: Did someone
chair or direct the meeting? Did this person
have the respect of the audience? Did this
person further the goals of the meeting?
7. Physical Arrangements: Was the site well chosen
to be consistent with the meeting goals? Did
participants feel comfortable in the setting?
Could attendees get to the site easily relying
upon mass transportation?
8 2 MEETINGS
Barry Lawson Associates, Inc.
-------
8. Implementing Recommendations: What changes in
format or materials should be made to improve
the next meeting? How can the data collected in
the evaluation be used to help plan the next
meeting?
EVALUATION
XV. What are some questions to ask when evaluating pub]ic
meetings in general?
A. Did the staff or participants have a good reason for
holding this meeting? What was the goal of the
meeting? Was the goal clearly stated? Did the goal
of the agency or staff match that of the audience?
B. Did the meeting precede and relate to a key decision
point? Was the audience aware of this fact?
C. Was attendance at the meeting consistent with the
meeting's goals?
D. Did the staff provide written background material?
Was there just enough, too much, or too little? What
products were provided to attendees? (check)
Executive Summary
Technical Summary
Fact Sheet
Newsletter
Technical Report
Maps and Graphs
Other
E. How long was the program? Was the agenda followed
closely? Was the program just right in length, too
long, or too short? Did the audience remain
attentive for the entire program?
F. Were the moderator, speakers, and supporting staff
appropriate for meeting the session's goals?
G. Was the informational program well presented? Was
the speaker(s) well informed? Did audio-visual
materials contribute to the informational aspects of
the program? Was the informational program well
balanced, too technical, or not detailed enough?
Barry Lawsort Associates, Inc.
MEETINGS 83
-------
H. Did the sponsoring agency evaluate the meeting?
1. If so, was the participant group representative
of the affected community?
2. If so, did the participants seem to understand
the purpose of the meeting? Plan? Project?
Timetable? The public's role? The timing of
the key decision points? How the public's
comments would influence the program? The
government agencies involved? Costs? The
source of funds? Which agency or group would
implement the program or plan?
I. Did the public receive complete answers to their
quest ions?
J. Did a staff member take notes at the meeting for use
in program development and potentially in a
responsiveness summary?
K. Was formal public notice sent 45 days prior to the
meeting? Did the notice clearly state: (check)
Purpose
Date and Place
Time
Directions to the meeting site
Parking, transportation and other supporting
information
84 MEETINGS
Barry Laivson Associates, Inc.
-------
PUBLIC MEETING CHECKLIST
1. Primary meeting purpose:
Meeting audience (identify potential participants)
a. Interests identified and categorized:
b. Organizations and individuals identified:
3.
4.
Meeting format:
Meeting place:
DATE:
TIME:
Rain Date:
5. Does the meeting place have:
A. a central location?
B. public transportation access?
C. suitable parking?
D. adequate facilities:
1. lecterns?
2. loud speaker system?
3. blackboards and easels?
4. projectors?
5. tape recorders?
6. chairs?
7. tables?
8. meeting room setup?
9. meeting room cleanup?
E. Is there a rental fee?
What does the rental fee include?
yes
yes
yes
yes
yes
yes
yes
yes
yes
yes
yes
yes
yes
F. Contact at the facility (name, address, phone):
no
no
no
no
no
no
no
no
no
no
no
no
no
6. Meeting space:
A. total number of people expected: •
B. seating arrangement and type:
7. Invitations and notification:
A. Have notices or invitations
been prepared? yes no
Barry Laivson Associates, Inc.
MEETINGS 85
-------
8.
B. Have notices or invitations been sent to:
1. advisory committee members?
2. interested publics taken from
your mailing list?
3. local news media?
4. identifiable interests
and organizations?
5. others?
yes
yes
yes
yes
yes
no
no
no
no
no
C. Total number of invitations sent:
D. Will there be follow-up phone calls
to key people?
yes
no
By whom?
When?
E. Have your supervisor and other
officials been told of the
meeting?
yes
no
Are they to attend?
yes
no
Has someone reserved the time
in their calendars?
yes
no
Has an agenda been prepared and
approved?
yes
no
Has it been distributed?
yes
no
Does it include:
A schedule of events
at the meeting?
yes
no
Questions to be addressed?
yes
no
86 MEETINGS
Barry Lawson Associates, Inc.
-------
9. Who is sponsoring the meeting?
Is there a co-sponsor? yes no
Explain:
Has each sponsor approved the agenda
and publicity materials? yes no
Expla in:
Has each sponsoring group's membership
been invited formally to a meeting? yes no
Explain:
10. Who will moderate or chair the meeting?
Has this person been notified? yes no
11. Graphic and information materials needed for the meeting:
A. What information materials will be handed out?
1. Have they been designed
and printed? yes no
2. How many copies of each:
3. Date due back from the printer or photocopy department:
B. Will graphics be used in the
presentation? yes no
1. What graphics materials are planned? List:
2. Have the graphic materials been
designed and produced?
yes
no
Barry Lawson Associates, Inc.
MEETINGS 8 7
-------
3. If not, when will they be produced?
4. When are they due back from the production
department/contractor?
5. Has appropriate display
equipment been ordered for
the meeting site? yes no
12. Publicity:
A. What publicity methods have been selected?
B. Have materials been prepared? yes no
C. How many copies of each type?
D. When will they be distributed?
E. Who will follow up on publicity:
By phone:
In person:
13. Meeting arrangements:
Have the following arrangements been completed or obtained?
A. lecterns, chairs, tables
yes
no
B. speaker system
yes
no
C. projectors/screens
yes
no
D. space cleared for wall displays
yes
no
E. registration table and space
yes
no
F. personnel for registration
yes
no
G. refreshments ordered
yes
no
H. name tags ordered and completed
yes
no
88 MEETINGS
Barry Lawson Associates, Inc.
-------
J.
K.
L.
M.
N.
0.
P.
Q.
R.
S.
identification cards for
people sitting at a podium
room arrangements completed
audio-visual equipment tested
audio-visual equipment set up
ventilation/heating system
tested
easels and blackboard ordered
supplies (pencils, paper, chalk,
felt tip pens, scotch tape, masking
tape, thumb tacks, scissors,
stapler, extension cords)
meals
press table
facilities restored and cleaned
equipment returned
yes
yes
yes
yes
yes
yes
yes
yes
yes
yes
yes
no
no
no
no
no
no
no
no
no
no
no
14. Have senior officials giving
presentations been briefed?
yes
no
15. Recording the proceedings:
Method(s) to be used:
16.
Personnel or equipment ordered
and obtained?
yes
no
Meeting evaluation:
Method(s) chosen:
Evaluation completed?
yes
no
Recommendations made?
yes
no
Accepted?
yes
no
Barry Lawson Associates, Inc.
MEETINGS 8 9
-------
How to Conduct and Evaluate Public Hearings
Barry Lawson Associates, Inc.
190 High Stieei / Bostot). MA 02110
-------
HOW TO CONDUCT AND EVALUATE
PUBLIC HEARINGS
THE POLICY
Under the broad category of "Dialogue," the Policy details
requirements for public hearings. While the most familiar forum
for dialogue, and often mandated by regulation or law, hearings
should not serve as the only forum for citizen input. When used,
they should occur at the end of a process that has given the
public earlier access to information and opportunities for
involvement.
In general, the Policy requires well publicized notice of
public hearings at least 45 days in advance. All interested and
affected parties on the contact list, and the media, should re-
ceive notice. In some cases, 30 days notice is allowed. Permit
programs and EIS hearings must have at least 30 days notice.
Only in emergency situations when an imminent danger to public
health and safety exists, or in situations where a legally
mandated timetable exists, may less than 301 days notice be per-
mitted .
The public notice must identify the issues to be discussed at
the hearing. Supporting information must include:
A discussion of alternatives identified and open for
review
Tentative agency conclusions on major issues
Information on the availability of an EIS, a bibliography,
or other relevant documents
Procedures and contacts for obtaining further information
Identification of the information/review the agency
desires from the public
All relevant information must be made available to the public
at least 30 days before the hearing.
The Policy encourages an informal hearing atmosphere whenever
possible. An agenda should allocate time for presentations,
questions and answers, and formal testimony. Hearing procedures
and structures must not inhibit the.free expression of views. If
appropriate, the agency should consider holding a pre-hearing
meeting to discuss key issues. Hearings should be held in the
geographic areas most affected by agency actions.
HEARINGS 91
Barry Lawson Associates, Inc.
190 Higll Street - Boston MA 02110
-------
At the beginning of the hearing, the agency must inform the
audience of:
- The issues involved in the decisions to be made
The considerations the agency will take into account under
laws and regulations
The agency's tentative conclusions, if any
The information the agency solicits from the public
The Policy requires the preparation of a formal hearing
record, such as a verbatim transcript or an audio tape recording.
Hearing records must be left open for at least Id days to receive
additional public comment, and be available for inspection and
copying. Should a responsiveness summary follow a hearing, it
must be provided to those who testified at or attended the
hearing, as well as to anyone requesting a copy.
SUMMARY AND BACKGROUND
Public hearings are required activities in most EPA programs.
They provide highly structured opportunities for hearing and
collecting public testimony on projects and issues. Public
hearings occur during the public comment period, and often serve
to encourage the preparation of written comments by the public.
Holding a public hearing does not mean that an agency has
conducted a public participation program. Under normal
circumstances many other public participation events must occur
prior to a hearing so that the public has had an opportunity to
gain considerable knowledge and understanding of the issues.
While public hearings are formal events, a variety of hearing
formats exist. A format should be chosen that meets the needs
and conditions of the project.
Sometimes, more than one hearing should be conducted to meet
the needs of the public, even if only one hearing is required by
the regulations. If multiple hearings occur, at least one
session should take place in the evening so that working people
can attend. . Choose locations and times that facilitate
attendance. Sites should be accessible by public transportation.
Frequently, opponents to projects will organize themselves
-and attend public hearings. Project proponents often think they
have less need to attend, and may have to be encouraged to attend
92 HEARINGS
Barry Lawson Associates, Inc.
-------
and speak. Government representatives must treat all groups and
interests equally. However, members of a citizen advisory group
or other involved citizens may encourage supportive citizens and
officials to speak out for projects they support.
Note: A public hearing is a type of public meeting.
Therefore, much of the material in the chapter on effective
meetings applies here. Please see that chapter for further
informat ion.
THE ESSENTIALS
I. What are some procedures for conducting public hearings?
A. Begin with an opening statement that includes a sum-
mary of major recommendations or conclusions, a des-
cription of the public participation program, and an
explanation of the hearing rules.
B. Consider having a question and answer period so that
issues are clarified and proposals explained. Ques-
tions can be taken in the hearing room or in an
adjacent room.
C. Accept public testimony scheduled in advance.
However, avoid giving one category of testimony the
"best" time periods, as this may alienate general
citizens who may also want to speak. Set a time
limit for oral testimony (such as five or ten
minutes) and encourage participants to submit longer
written testimony.
D. Have an additional period of testimony for those who
did not schedule their remarks in advance. Consider
taking them in the order in which they signed up at
the hearing, or schedule blocks of time for particu-
lar points of view. When many people sign up at
once, names can be drawn at random.
E. End with a closing statement in which the schedule
for additional hearings, the length of the comment
period, procedures for providing additional
testimony, and a statement on how to view or obtain
copies of the complete hearing record, are described.
F. Attempt to hold to a set schedule for those
participants who have signed up in advance to speak
at a public hearing.
Barry Lawson Associates, Inc.
HEARINGS 93
-------
G. Have some type of registration card available at the
hearing site for people who wish to speak but did not
pre-register . The card might include:
Name
Address
Z ip_
Telephone Number
Organi zation
Location of hearing (please check one)
Iowa City, Des Moines Ames
Please Check:
I would like to make a statement
I may want to make a statement
I would like to ask a question
I would like my name to be added to
your mailing list.
I would like my name removed from
your mailing list.
I woulcf like to receive a responsive-
ness summary.
EVALUATION
II. What are some questions to ask when evaluating
public hearings?
A. Was the purpose of the hearing stated to the public
in attendance? Were the issues clearly stated to the
publi c?
B. Were hearing notices sent out 45 days in advance?
Did participants indicate that they were notified
well in advance? Did they receive reminders a week
or two before the hearing?
94 HEARINGS
Barry Lawson Associates, Inc.
-------
C. Were notices sent to a cross section of the
population? To whom?
Officials
Organized Groups
Affected Citizens
Others
D. Were any significant groups omitted? If so, which
ones?
E. Were communication efforts beyond public notices used
to reach people? Which techniques were used?
Direct mail letters
Posters in prominent places
Phone calls to opinion leaders
Media or publicity events
Other
F. Were background information documents available to
the public at least 30 days before the hearing? What
was provided?
Executive summary
Fact sheets
Copies of full technical reports
Newsletters
Other
G. Did participants at the hearing seem to have a
sufficient knowledge of the issues discussed? Had
the public read the educational materials prepared in
advance of the hearing? According to the
participants, were the materials helpful in
clarifying issues or explaining proposals?
H. How many hearings were conducted? Were some hearings
held after working hours? Were hearings conducted at
one location or at several? Would hearing
participants prefer' to have hearings scheduled at a
different time, place, or location, in the future?
I. Was the hearing organized so that there was advance
scheduling of speakers? Did all those who wished to
speak have an opportunity to do so? Did the speakers
seem to represent a balance of perspectives, and
governmental and non-governmental points of view?
J. Were the hearing examiners attentive to the various
speakers throughout the length of the hearing? Did
Barry Lawson Associates, Inc.
HEARINGS 95
-------
they just receive testimony silently, or did they
respond to points raised by the various people
presenting testimony? Was this the appropriate role
for this hearing?
K. Was a hearing transcript prepared? Was it an
accurate reflection of the hearing's events? Did
citizens know in advance that their comments would be
part of a formal hearing transcript?
L. Was an "open record period" announced and explained
to the public? Was additional testimony submitted to
the agency during the open period?
M. Was the hearing record made available to the public?
Was a summary of the hearing record made available to
the public? To the media? How did citizens and
officials request copies of the transcript, if they
desired one?
N. Did the agency prepare a responsiveness summary
following the hearing? Did the summary fairly
reflect the points of view stated in written and oral
testimony?
HEARINGS
Barry Lawson Associates, Inc.
-------
How to Prepare and Distribute Responsiveness Summaries
Barry Lawson Associates, Inc.
190 High Street ¦ lioston MA 02110
-------
HOW TO PREPARE AND DISTRIBUTE RESPONSIVENESS SUMMARIES
THE POLICY
Documenting and communicating how the public has influenced
final agency decisions and actions is at the core of successful
public participation. Under the categories of "assimilation" and
"feedback", the Policy requires written documentation that public
input helped to shape agency activities. Responsiveness
summaries, regulatory preambles, and environmental impact
statements, are among acceptable formats. This chapter
concentrates on responsiveness summaries.
A responsiveness summary is a document that summarizes the
comments made by the public and states specific agency responses
to the comments. A responsiveness summary is used to inform the
public of how their comments are utilized. It keeps the public
informed about the current state of a project. It provides
decision-makers and reviewers with an overview of public
reaction and concern. If provides the public with a device to
track the success or failure of the participation effort.
The responsiveness summary (or similar report) must:
• explain the type of participation activity conducted
• identify participants and their affiliation
e describe matters on which the public was consulted
9 summarize viewpoints, comments, criticisms and suggestions
• disclose agency's process in reaching a decision
• set forth agency's specific responses in modifying
proposed actions or rejecting public proposals, and
reasons for such actions
It is important to distribute the responsiveness summary
widely to participants and decision-makers.
BACKGROUND AND SUMMARY
Responsiveness summaries should be brief and concise
documents summarizing the comments and responses of various
publics and goveVnment agencies. Complex issues and comments
should be broken down into component elements. Similar comments
from several groups or individuals should be re-phrased into a
single comment with a single response, unless this would obscure
important variations. Comments should be rephrased where
necessary for clarity or conciseness. Organize the
responsiveness summary so that participants can find their
comments easily and logically. Do not avoid negative points of
view — the responsiveness summary should contain an honest
assessment of public comments.
RESPONSIVENESS SUMMARIES 97
Barry Lawson Associates, Inc.
190 High Street ¦' Boston. MA 02110
-------
In some EPA programs, a single responsiveness summary may be
required at the end of an activity; in others, several
responsiveness summaries may be required — one at each major
decision points, in addition to a final summary.
The Final Responsiveness Summary for an EPA project must
include a summary and evaluation of the public participation
activities undertaken, and an evaluation by the advisory group
(if one existed). This provides a written history of
observations and lessons learned for future use in the same
locale.
There is no single format that should be used. Various grant
recipients and EPA and state agency offices have established
formats that meet their needs. Several examples of good and bad
formats, along with comments, are provided at the end of this
chapter.
THE ESSENTIALS
I. What are the benefits of preparing responsiveness
summaries?
A. They help to see if program and public participation
objectives are being met.
B. They provide feedback to citizens on their comments
and interpretation.
C. They help to determine if public information products
are being read, understood, and used in a timely and
meaningful manner.
D. They provide insight into the degree of success of
public hearings and meetings.
E. They provide a check on the success of innovative
participation and information techniques to inform
and elicit meaningful comments.
F. They can be used in a mid-course assessment of the
public participation program; this review may suggest
changes for the remaining phases of an agency
proj ect.
G. The Final Responsiveness Summary gives the
participating public a chance to provide the agency
with an evaluation of the participation program.
98 RESPONSIVENESS SUMMARY
Barry Lawson Associates, Inc.
-------
H. They provide opportunities to organize the issues
raised by the public and to view them from a new
perspective.
I. They help to document the decision-making process.
II. What is the appropriate timing of the publication?
A. In general, when decisions are being made following
public consultations, meetings, and hearings.
B. After specific decision points (often designated in
individudal program regulations and guidance, and
work programs).
III. What is the appropriate routine for handling minor
comments?
A. Note them and respond as appropriate.
B. They can be put together in a section of the summary.
IV. What are the requirements of a final responsiveness
summary?
A. It must include an evaluation of the effectiveness of
the public participation program.
B. The final responsiveness summary should describe:
1. The number and effectiveness of meetings,
mailings, and hearings at which the public was
informed or consulted about the project (e.g.,
Were meetings held only at major decision points
or was the public involved at other times?).
2. The numbers and kinds of diverse interests which
were involved in the project (e.g., What
organizations and special interest groups
provided advice?).
3. The extent to which citizen's views were taken
into account in decision-making (e.g., Were
comments used or rejected? Why?)
4. The specific changes, if any, in project design
or scope (e.g., What kind of changes occured as
a result of citizen input?).
RESPONSIVENESS SUMMARIES 99
Barry Lawson Associates, Inc.
-------
OTHER THINGS TO CONSIDER
V. Who should receive responsiveness summaries, and how
should their availabiity be publicized?
A. Responsiveness summaries should be sent to:
1. The decision-making official (s) .
2. Each participating agency, organization, or
individual mentioned in the responsiveness
summary as well as affected officials.
3. The members of the advisory group, if the
program has one.
4. All project participants, those who commented on
EPA materials, and people who attended program
meet ings.
5. Make it available to the public on reguest.
B. Publicize their availability through:
1. Announcements in agency and other newsletters.
2. Issue press releases announcing the availability
of the document.
3. Place copies in program depositories.
VI. What are some helpful hints for preparing responsiveness
summaries?
A. Choose a format that makes it easy for people to find
the specific information they are interested in. The
numbering system, layout, use of type faces, dividing
comments by category (according to groups who
commented or by subject matter), should all support
this primary goal.
B. Accurately portray public comments. Use one of
several methods to document public statements. A
legal transcript can be prepared. Staff members,
volunteers, or interns can take notes of questions
and responses at public meetings. The public session
can be tape recorded, and either turned into a
written transcript, or used to verify staff notes.
There is no one recommended method.
100 RESPONSIVENESS SUMMARY
Barry Lawson Associates, Inc.
-------
C. Be sure to include staff time in the budget and
work plan for staff members to prepare the
responsiveness summary, and for others to review it.
D. Demonstrate, where appropriate, that some public
comments changed or modified some parts of the
program or plan.
E. Consider including a cover letter with the summary as
a way to personalize the report, and highlight
selected comments and responses.
F. Keep different events such as meetings and hearings
separate within the summary. Otherwise, the public
will be confused by the context for various comments
and responses.
Don't include a full copy of letters and reports
received as a part of the public process. Just
highlight the key points. Make all written comments
available at an information depository.
H. There is no rule concerning the use of full names in
the summary. Whatever the choice, be consistent
throughout.
EVALUATION
VII. What are some questions to ask when evaluating responsive-
ness summaries?
A. Did the responsiveness summary provide a reasonable
description of the events, a summary of comments and
points of view represented, and a summary of the
responses of the sponsoring agency?
B. Did the responsiveness summary provide adequate depth
to the comments and responses? Would someone not
present at the event(s) have a clear idea of what
transpi red?
C. Is there an indication that the public had an impact
on the specific key decision point of the
responsiveness summary, or on the project as a whole?
If so, how is this impact expressed?
D. Who are the organizations and individuals cited in
the summary? Do they represent a good mix of
community leaders, business interests, government
agencies, potentially impacted neighbors of the
RESPONSIVENESS SUMMARIES 101'
Barry Lawson Associates, Inc.
-------
project, and the other major targeted publics of the
project? Are any key groups or individuals
unrepresented, and if so, why?
E. Do the comments suggest a strong and coordinated
opinion from a particular perspective, such as
abutters to a site? Should these organized and vocal
views receive more attention than some others?
F. Did the comments suggest a sound understanding of the
issues? Did the public education program contribute
to a better understanding of the issues?
G. Does the summary suggest that citizens and officials
had ample opportunity to express their views and
perspectives?
H. Does the summary indicate that citizens and officials
had adequate notice of meetings and hearings.
I. Do the responses to comments seem complete and
reasonable? Do they make a strong and convincing
argument for decisions or directions taken? Are
they responsive to the difficult issues raised by the
publi c?
J. Did the preparers of the summary use a design and
format that makes it easy for the reader to find key
issues, and differentiate between comments and
responses?
K. Did the preparers of the summary include aids such as
a cover sheet describing the content of the summary,
a brief description of the project as a part of the
introduction, and an outline of the organization of
the summary?
L. Did the final responsiveness summary include an
evaluation and analysis of the use of various public
participation techniques and approaches that might
prove useful in future participation efforts? Did
citizens, such as the members of an advisory group,
evaluate the participation program? If so, did their
observations parallel those of the staff?
M. Did the summary include copies of sign-in sheets,
notifications, handout material, agendas, and
questionnaires and evaluations? Were they helpful,
or just extraneous material in the summary? Would a
brief description of materials provided prove more
useful to the reader?
102 RESPONSIVENESS SUMMARY
Barry Lawson Associates, Inc.
-------
N. How was the responsiveness summary distributed? Was
it sent to affected decision makers? To those people
who made comments? To the people who attended the
hearing or meeting? To potentially impacted groups
and individuals? To information depositories or
libraries?
0. Was notice of its availability sent to the news
media, and the editors of newletters with a potential
interest in the project?
P. Was the length of the summary short enough so that
people might, in fact, read it? On the other hand,
did it seem like a long and weighty government report
destined to be placed on a shelf, and not read?
RESPONSIVENESS SUMMARIES 103
Barry Lawsort Associates, Inc.
-------
EXAMPLES OF RESPONSIVENESS SUMMARIES
NOTE: These examples of responsiveness summaries are
provided for illustrative purposes only. EPA does
not recommend a single format. Review them for
substance, length of response, design, and format;
then choose a format that best meets your needs.
In choosing examples for comments, neither EPA nor
Lawson Associates seeks to criticize any particular
government agency, grant recipient, or consultant.
The examples were chosen because they provided an
opportunity to make a particular comment or
observation.
Finally, only parts of a responsiveness summary are
presented. The actual summaries are longer than what
has been reproduced.
104 RESPONSIVENESS SUMMARY
Barry Lawson Associates, Inc.
-------
EXAMPLE A
WEST WARWICK REGIONAL SEWAGE STUDY
GOOD FEATURES AREAS NEEDING IMPROVEMENT
1. Identifies a contact person
and phone number.
2. Easy to read title identifying
the document, subject, activity
and date.
3. Italic type section explains
the reason for writing a
responsiveness summary
according to the regulations.
1. In the statements and
questions section, more
of a distinction needs to
be made beween the comments
and the responses.
4. Identifies notification
procedures so that people
will know how to find out about the
next meeting.
5. Gives a quick review of the meeting
agenda, and describes the audio-
visual materials available for other
speaking engagements.
6. Identifies speakers and
attendees at the meeting.
7. Summarizes the major concerns and
responses for a reader who wants
a quick understanding of the meeting.
8. Gives readers an action step by
explaining future public participation
activities.
RESPONSIVENESS SUMMARIES A-l
Barry Lawson Associates, Inc.
-------
EXAMPLE A
Keyes Associates
Project #:
Da te :
Contact Person:
July 22, 193
K. A. Cevoli
823-2353
361-2900
C440123-01
RESPONSIVENESS SUMMARY
West Warwick Regional Sewage Study
Public Meeting on Draft Alternatives
July 10, 1980
"In accoAdancz uxith. ^zdzxaJL public ptvUicipcUion xzgtxlation6, a. iumvaAy
iAAuM tHicni'Se.d. and action takzn in xupomz to diiizzn corrwejtti ui11
i{otlou) zacji public mzztinq and heating."
NOTIFICATION PROCEDURE:
Forty-five days prior to the public meeting Streamline was
distributed identifying the major issues and notification of
the public meeting. On 5/15/80 an article appeared in the
Pawtuxet Valley Times regarding the future meeting. Thirty
days prior to the meeting a Streamline outlining the various
alternatives and the draft costs was distributed throughout
the Pawtuxet River Valley. Several articles appeared in the
Pawtuxet Valley Times and the Providence Journal prior to the
meeting. Advertisements were placed i~n the Pawtuxet Valley
Times and on the WKRI radio station two weeks prior to the
meeting. Posters were displayed in town halls and libraries
throughout the valley.
Background information was available at local information
stations thirty days prior to the meeting.
In addition to the Streamline which outlined the alternatives
and their costs an information packet was available at the
public meeting.
Media used to present the following issues included slides,
overhead triansparenc ies and information packets.
Overview of present conditions at the West Warwick
sewage treatment plant.
Future projections for population and flow.
Regionalization
Regional and Sub-regional service area.
How to choose alternatives of sewage treatment collection
and disposal.
Alternatives for liquid ana solid treatment and disposal.
Environmental Consequences of preferred alternatives.
AGENDA:
RESPONSIVENESS SUMMARY
-------
Keyes Associates
PARTICIPANTS:
Speakers: O. Raymond Coutu, West Warwick Town Council President
John J. O'Hare, Town Planner, West Warwick
Dr. Carlos Carranza, Baystate Environmental Consultants
James J. Geremia, Project Manager, Keyes Associates
Kathleen A. Cevoli, Public Participation Coordinator
Attendees:
Over forty residents throughout the Pawtuxet River
Valley representing various publics. (see enclosed
sign in sheet) .
ISSUES:
All of the questions in this document were addressed at the meeting
and will become part of the West Warwick Regional Sewage Study.
None of the issues raised indicated a change in the treatment
processes or collection system. Below is a list of major concerns
and how they will be addressed:
Issue
Action
Coventry's reluctance to participate
in the West Warwick System - comments
indicate that the town is not
ready to make any commitment to
reserve capacity at this time.
Industrial participation in the
West Warwick System—particularly
the proposed tie-in of American
Hoechst.
Coventry will not be asked
to make a commitment until
just prior to design in
early 1981.
An indepth explanation of
industrial participation is
included in the question and
answer section. A thorough
cost breakdown will be printed
in the summary of the study.
Necessity of Upgrading and Expansion
for West Warwick.
Limitations and projections
are addressed in the question
and answer section.
Who should administer a regional
sewer system?
Participation of residents in the
Hope section of Scituate.
This issue is one that will be
decided on the local level
when administration of regional
agreements is discussed prior
to design.
A meeting will be arrangcc. with
residents in Hope to discuss
the issues.
Inflation, Operation and Maintenance,
placement of interceptor lines in
neighboring communities.
All of these concerns are
addressed in the question and
answer section.
RESPONSIVENESS SUMMARIES A-3
-------
Keyes Associates
What's Next:
All issues raised at the meeting are summarized in the question
and answer section. If any further information is needed or
you are disatisfied with the action taken contact K. A. Cevoli.
In late August a summary of the draft study will be distributed
throughout the Pawtuxet Valley. The full document will be
available at local libraries in West Warwick, West Greenwich,
Coventry and Scituate. A final public hearing on the plan
will be held in late September.
STATEMENTS AND QUESTIONS
Coventry: Area residents voiced many pro and con sentiments
regarding sewers for Eastern Coventrv(some are below:
Last opportunity for Coventry to tie in for the next 20 years.
Sewers are not a necessity for Coventry residents.
Cost should not be the only issue that determines whether or
not Coventry becomes part of the system.-also consider...
-Public health-human wastes running into Tiogue Lake, Johnsons
Pond, Pawtuxet River.
-Water Quality
-Coventry needs sewers to lower tax base with industrial input.
Would division of groundwater in Coventry effect drinking'water
wells?
A few inches could be lost by connecting east in Coventry's
flows to the West Warwick system.
Further septic system failures in Coventry may also eventually
foul drinking waters by 2000.
Coventry will be charged a comparable rate for use of the West
Warwick facility whether or not they tie in. There will soon be
an increased fee for septage disposal from Coventry at the West
Warwick treatment facility.
Is Coventry limited to 3.5 mgd for 20 years?
The state has designated a flow allocation to all communities
in the valley.
A change in population growth could mandate a change in future
flow considerations for Coventry.
A-4 RESPONSIVENESS SUMMARY
-------
EXAMPLE B
DETROIT WATER AND SEWAGE DEPT.
AREAS NEEDING IMPROVEMENT
GOOD FEATURES
1. The title page clearly and
simply states the title,
sponsor, project, and dates
of the events covered in
the responsiveness summary.
2. The question and response
format works well, especially
as the questions are grouped by
major issue.
3. A review of the meeting format
and presentations provides
useful information on major
consultation points
4. In the addendum, the
responsiveness summary
successfully presents
information on the use of
various techniques, such as
how people heard about public
meetings. In addition, the
recommendations presented on
each technique provide a good
written record for the next
group to consider when
launching a public participa-
tion program.
1. The location of the issues
between the questions and
responses in the same type-
face makes it difficult to
easily find where the issues
are located.
2. The title page should
identify a contact person
to answer questions concern-
ing the project or
responsiveness summary.
3. The names of people who
made comments should be
added .
5. In the second addendum, the
summary of locations and dates
of public meetings is useful,as is
supporting information on
the extent of the participation
program useful for others.
It is clearly stated.
RESPONSIVENESS SUMMARIES B-l
Barry Lawson Associates, Inc.
-------
EXAMPLE B
n"Tno!T v» vitj'. ?• z:zy]r.ftACi'~-
i-'-IwaL i-AUU'ilES i-'LAi'J
R ESPO IMS! V E N ESS SUM MARY
FOR
PUBLIC MEETING SERiES NO. 2
PUBLIC PARTICIPATION PROGRAM
January 24, 1980 — SEMCOG, Book Building, Detroit, 1:30 p.m.
February C, 1980 — Dearborn Civic Center, Dearborn, 7:C0 rj.ru.
February 7, 1S80 — Mercy College, City of Detroit, 7:00 p.m.
Prepared by:
Detroit Water & Seweraye Department
and
GiFfels/Biack & Vcatch
Consulting Engineer^
A Joint Venture
B-2 RESPONSIVENESS SUMMARY
-------
Detroit
Ynis rca^u.ijivtf:iia3 iummary h2j b^eri prepared lo sumrnarizj ilu commi-nts c;iu ci^-jsiioii^
made by the citizens who attended the public meeting series No. 2 and the responds ir.ady
by the Detroit Water & Sewerage Department (DWSD). The purpose of this sumrncuy i^ t-
let the public know that their comments are being utilized and to inform them about — t!i
current status of the Final Facilities Pian and Environmental Impact Statement (FFP/hiu).
It also provides decision makers with an overview of the public reactions ot the project.
Tapes of each meeting are also available for review at DWSD.
MEETING PRESENTATION
The format and presentations were identical at each public meeting. A review of the pre-
sentations are as follows:
I. DWSD provided a review of the intent and purpose of the facilities planning
process and invited the public to participate.
II. A member of the Citizens Advisory Council (CAC) explained the purpose,
composition, and task of the (CAC) and welcomed additional public parti-
cipation.
III. Giffels/Black & Veatch delivered presentations on four aspects of the Final
Facilities Plan — Environmental Conditions, Wastewater Flow and the
Treatment System, Options Under Consideration for Combined Sewer Over-
flows and Options Under Consideration for Ultimate Solids Disposal.
IV. EcolSciences, Inc. reviewed the purpose and schedule of the Environmental
Impact Statement for the FFP and invited public input.
V. A discussion period followed the presentations with citizens asking questions
about specific presentations, particular aspects of the FFP, features of the
treatment process and the facilities planning process in Southeastern Michi-
gan. Some citizens offered suggestions and others voiced concerns.
ISSUE 1: A number of people asked questions that pertained to Environmental
conditions.
Question: Does the speed of the river or any water way contribute to the
quality of that water?
RESPONSIVENESS SUMMARIES B-3
-------
Detroit
Response: Yes, the speed ha;. a significant affect on water quality. Some 1^00,QUO
cubic feet of water per second flow through the Detroit River at a speed
of approximately 1.9 mil^s per hour. The velocity of the Detroit River
moves some of the fluids and particles along a little bit faster and suspends
thern further than the Rouge River which is much narrower, much smaller
and slower moving. The panicles have more opportunity to settle in the
Rouge River which affects the water quality in negative fashion.
Question: What does non—attainment area mean?
Response;: Non-attainment area means an area where, according to the best estimate;
and research done by the Environmental Protection Agency (EPA), ti.o air
does not meet EPA air quality standards. For example, the DWSD along
with other industries like Great Lakes Steel are now embarking cn a vary
serious program to clean up the emissions.
Question: How will DVVSl) comply with the air pollution standards if all the
sludge is to be burned?
Response: Scrubbers are being added to the incinerators. This may enable the City
of Detroit to burn all the sludge from dry weather flow at complexes
and two at the DWVVTP. It will require meeting rather strict air po',n
standards. This is under consideration with another consultant wcr: • :.>i>
the incinerators. The DWVVTP is responsible for only between one
two percent of the air pollution in that area. For a significant clv.».it
is going to take more than DWWTP cleaning up its incinerators.
ISSUE 2: The questions below were concerned with various aspects of the Detroit
Wcst^wdter Treatment Phnt.
Question: What is the ultimate capacity of the Detroit Wastewater Treatment Pijnc?
Response: The projected needs arc based on projected dry-weather flows, wet-weather
flows, infiltration/inflow, plant recycle, and so forth. Domestic flows are
projected based on the SEMCOG Small Area Population forecast, Version
79. Using these populations figures, projected recycles, etc. this projected
capacity falls within a reasonable range of what will be needed. Thcs^
numbers aie preliminary right now. The object of the Final Facilities
Plan is to come up with a plan that would provide methods to tre^L the
projected flow.
B-4 RESPONSIVENESS SUMMARY
-------
Detroit
"TT;j purjASJc* of ir.y coming hjfj ionigiit ij U: roiss soir.r> coiv;j;ns ur.d abu to inform yuu
about certain projects which should influence your plans from a human point of view.
Especially, we are concerned about the possible expansion of the plant towards our residen-
tial area. I know that the questions you have for tonight deal more with the technicalities,
but I learned that if you don't jump early enough into the planning process with certain
concerns, you may miss the bout."
"I am very much for what the water treatment plant and for the few people who are trying
for the large community; but I am also here to inextricably protest, request, and beg (you)
not to expand any further up towards that neighborhood which we want to so desperately
ADDENDUM if 1 - EVALUATIONS
Evaluations were distributed to each participant who attended the second series of public
meetings held in February 1980. The results of the evaluations received are as follows:
1. How did you learn about thsse meetings?
to keep".
Newspapers Ads —
Newspaper Articles —
Radio Spot -
City Halls —
Special Mailing —
Newsletter —
Friend —
2
1
1
3
3
1
2
River Rouge Renaissance Committee — 1
2. Do you think Lii-j meeting accomplished its objective?
Yes - 13
(But needs improvement)
(Meeting fulfilled federal law requirements)
Didn't know what objective was.
RESPONSIVENESS SUMMARIES B-5
-------
Detroit
V/Ivh :>\»<*iion did you «.wt>.u u-; inwit im:>f?. !¦•.>¦ ;i.'
All of it
Questions & Answers
Good presentations
Magnitude of solids disposal problem
Combined sewer overflow problem
3
2
3
2
Chance for people to air their grievances
4. What portion did you consider laast important?
Environmental Conditions
A few questions
Slides were helpful, but too many, shown too quickly are ineffective
It's all important
5. Were the presentations informative and easy to understand?
Yes - 13
No - 1
Presentation on environmental conditions was inadequate.
6. Were you able to ask questions or express your concerns and/or comments?
"My biggest reaction was the lack of imagination of the engineers in conceiving
alternatives. For example, separation or accumulation of solids at sources; why
the separate sewers arc not practical (storm saparate'from sewage)."
7. How could this meeting have been more effective?
Start at 7:30 p.m.; 7:00 p.m. is too early.
More time for discussion, less time on technical detail.
Better attendance
Mo/e publicity in r^wsp-ioers and oMisr rr.eclia.
Learned of meeciriy iroin newspaper ad; would have liked to learn more.
It was well done.
Yes - 12
No - 0
8. Were the locations convenient?
Yes - 11
No - 1
Closer to Delray
B-6 RESPONSIVENESS SUMMARY
-------
Detroit
D. Whcic rL'rjoinm^nda'iOti--. '.vouid you maki? rr?f;drdiruj futur-".'
Additional information on costs. Hold on Saturday or Sunday afternoon. More
publicity to get more people involved. Hold a series of meetings to disucss each
topic in detail.
In general, the responses were positive, and the majority of people who returned evaluations
felt the meetings had been effective and accomplished the objective of informing the citizens
who attended and soliciting input from them.
Inspite of receiving evaluations only from approximately one-third of the total audience, th-j
analysis provides general insight into the concerns of citizens. Suggestions regarding holding
meeting on weekend afternoons or at 7:30 p.m., holding meetings to discuss one topic in
detail and having more publicity to involve mors people; all these remarks are valuable.
ADDENDUM rf 2 - PUBLICITY
Newspaper Advertising:
All daily and weekly newspapers in Southeastern Michigan were sont a press release and fact
sheets. In addition, advertisements we re purchased in the following newspapers.
Thirty-day notice — January 7 & 8, 1930:
Detroit Legal News
Detroit Free Press
Detroit News
Week of Public Meetings:
Oakland County
Birmingham — Bloomfield Observer Eccentric
Farmington Eccentric
Northville Record
Mutfi f'L'Ws '
Rochester Eccentric
Royal Oak Daily Tribune
Southfield Eccentric
Troy Eccentric
West Bloomfield Eccentric
Macomb County
Community News
Macomb Daily
RESPONSIVENESS SUMMARIES B-7
-------
Detroit
\v^yi:w CumiVy
Canton Observer Eccentric
Dsarborn Heights Leader
Dearborn Press & Guido
Garden City Observer Eccentric
Grosse Pointe Guardian
Harper Woods Herald
Livonia Observer Eccentric
Metro Detroit Monitor
Michigan Chronicle
Northeast Detroiter
Plymouth Observer Eccentric
Redford Observer Eccentric
Westland Observer Eccentric
Radio:
Public Service Announcements were sent to all radio and television stations in Southeastern
Michigan, and were run on WJZZ, WMJC, WJLB, IVJR, WGPR and WCH3.
Outdoor Signs:
Messages were run the week of public meeting series # 2 on the Ford Motor Company 1-94
sign and both of the General Tire & Rubber Company signs on the Chrysler and Lodge
Expressway.
Newsletter and Special Mailing
Dates, locations and topics were listed in the Calendar of Events section of the November and
January issues of MOVING AHEAD — POLLUTION CONTROL. Flier announcements were
mailed to over S00 names and organizations on the Newsletter mailing list.
Distribution Sites:
Juveral locations ILf-dU balow were sent or delivered pjckecs of N;ar to uj
placed for public access. Those locations were:
City-County Building
Bank of the Commonwealth on Fort St.
Manufacturers National Bank on Lafayette
Detroit Bank and Trust on Fort St.
Wayne State University — Administrative Services Bldg.
Ford Auditorium
Neighborhood City Halls
Detroit Public Library
Wayne County Community College on Fort St.
Water Board Building — Main Office
B-8 RESPONSIVENESS SUMMARY
-------
EXAMPLE C
BUTLER COUNTY LANDFILL
GOOD FEATURES
AREAS NEEDING IMPROVEMENT
1. A cover letter describes
the purpose for writing
this responsiveness
summary and identifies
1. The people who attend
the public meeting and
made comments should
be identified.
a contact person. The cover
information is given, including
the location of the site.
3. A concise summary of the
project is provided in one
paragraph.
4. A summary of the issues raised
at the meeting and their status
is stated on the first page.
This facilitates reading the
responsiveness summary.
5. Questions and answers are
clearly stated. Each subject
area is easy to locate.
letter adds a personal
touch to the public
participation process.
2. More information is
required on how the
public meeting was
advertised? How
2. Detailed engineering
many people attended?
RESPONSIVENESS SUMMARIES C-l
Barry Lawson Associates, Inc.
-------
O
EXAMPLE C
C? £
<£ o
m 8
Q j®
— ©
Cv -»
3 o
o -
YX °
CO CQ
October 16, 1980
CO
LU
o
ID
0
CO
UU
q:
—d <*5
< 5
o: 7
2 s
i— ^
< ^
Z 5
LL
OCM
O
1 10
2 2
d
o
-------
Date: October 10, 1980
BUTLER COUNTY LANDFILL
SUMMARY OF RESPONSE TO PUBLIC COMMENT
Specifics
Location:
Thirteen miles northeast of
Poplar Bluff, Missouri.
in Southeast
21, Township
East.
h of
26 North,
Status of application:
Permit issued Oct. 9, 1980
Applicant: Located
Poplar Bluff Const, and Dev. Co., Inc. Section
P.O. Box 442 Ranqe 7
Poplar Bluff, MO 63901
Consulting Engineer:
S.H. Smith and Company
301 South Main St.
Poplar Bluff, MO 63901
Date of original engineering report:
June 16, 1980
Date of supplemental reports:
August 7, 1980
Sept. 15, 1980
Summary of case background and status:
Based on a request, the Missouri Department of Natural Resources, Division of
Geology and Land Survey prepared an engineering and geologic report dated September
28, 1979 on a potential solid waste disposal site near Poplar Bluff, Missouri.
The site was also surveyed by the Poplar Bluff Regional Office on October 29, 1980.
Borings were made on the site by S.H. Smith & Co., the engineering firm
retained by the applicant, and reported on in a letter dated November 26, 1979.
A second engineering and geologic report was prepared on December 10.
On June 25, 1980, the department received the design and operations manual
and permit application for the landfill permit. Two days later, the department
. issued press releases indicating that an application had been filed, and that
a public meeting would be held if requested. The public meeting was held on
August 13, 1980 in Poplar Bluff.
This summary contains the department's response to the issues raised by the
citizens at that meeting, and in letters sent to the department.
Status report:
To aid review, questions and comments have been grouped by subject area as follows:
Topics raised by public
1) Water Contamination
Status of issue
Led to further on-
site investigation
of area.
Page number
2
2) Ownership and Liability
3) Controlon operations
Property transfer from
United States Forest
Service required before
construction.
Already addressed by
departmental review.
RESPONSIVENESS SUMMARIES C-3
The remainder of this suranary is arranged with a short description of the concerns
and questions raised. This description is followed by the response of the
Department. Some rephrasing has been done to keep this summary short and to the point.
-------
Butler Co. Landfill/
SUMMARY OF RESPONSE TO CITIZEN'S CONCERNS
Issue: Mater Contamination
Q: We are very concerned that this landfill will lead to the contamination of
area waters. Many people here rely on wells, springs, and creeks in the
area.
A: Of course any landfill, if improperly constructed or operated, could
pollute the water. The department feels that if constructed and operated
according to permit conditions, there will be no danger to area waters.
Several steps are being taken to prevent water from passing through the
wastes to be placed in the landfill and polluting the water as a result.
These steps include: 1) diverting storm water from flowing into the burial
area; 2) maintaining a layer of relatively impermeable soil as the base
of the burial area and 3) grading and reseeding the top of the trenches
to permanently divert storm waters away from the area of the trenches.
These and other steps will provide adequate protection for the. springs and'
creeks as well as the underground water used for drinking.
Q: This area has a number of springs that I am afraid could become polluted.
Have you checked the area for springs?
A: Department staff have been on the site and is aware that there are springs
in the area? It is the belief of the department's technical experts
that the landfill design and specifications will protect groundwater in
the area, including the water which comes to the surface in springs.
Q: What assurances can you give us that water will not become contaminated?
A: Through years of experience, it has been learned that when a landfill is
designed and constructed to meet certain design considerations, it will
not result in water contamination. Almost all problems associated with
landfills are the result of improper operations. While it is not possible to
give a total guarantee on the safety of anything in our modern world, the
Department of Natural Resources would not issue a permit to this facility
if it would be a likely source of water contamination.
C-4 RESPONSIVENESS SUMMARY
-------
Butler Co. Landfill/
Issue: Controls on Operations
Q. What is done to control odors?
A. Operating procedures required for landfills makes provisions to address
potentially bothersome problems. For instance, all refuse placed in the
landfill must be covered daily by 6 inches of soil to minimize odor prob-
lems, as well as rodents and other pests.
Q. The operations of the landfill sound rather complex. I don't believe that
the operator will be able to fallow the plans that have been prepared.
A. -To assure that the approved specifications are followed, the department
has specifically required a registered professional engineer be retained to
supervise all excavation and construction and to submit quarterly reports to the
department. Additionally the department itself makes quarterly on-site
inspections to check for compliance.
Q. Will burning be allowed at the landfill?
A. The permit for this landfill does not allow burning.
Q. If poisonous chemicals are placed in this landfill, we are going to have
contaminated waters.
A. First, this is not a landfill for hazardous wastes. Toxic materials cannot
be accepted for disposal. Second, it is in the best interest of the landfill
operator and the creators of such waste not to attempt such an action
because the penalities are very stiff. Finally,the inspections conducted
by the department would reveal such violations and a lawsuit could result.
The landfill will not have poisonous or otherwise hazardous waste, and
is designed to protect public health and the environment from contamination.
The Department of Natural Resources appreciates the input from citizens on
this landfill and other environmental issues. If at any time you have infor-
mation that you feel the department should be aware of, please contact the
Poplar Bluff Regional Office at (314) 785-0832.
§ # #
RESPONSIVENESS SUMMARIES C-5
-------
£
o1
Ht
3
£L
Z
o
O*
3
O
s
£T
&
n
-------
P'an ^lic lnfl
°rmation Pr
°grams an<* DeveJoi
Barrv Lowson Av
"M> >Mh Street , f S°Ci^es, J„c
Bos'"» MA02„o
-------
HOW TO PLAN PUBLIC INFORMATION PROGRAMS
AND DEVELOP PUBLICATIONS
THE POLICY
Under the category of "Outreach," the Policy requires the
development of effective public information to enable citizens
and officials to participate in an informed and timely manner.
Outreach methods include publications such as fact sheets and
technical summaries; questionnaires, surveys, and interviews;
information materials developed for the print and broadcast
media; and the educational activities of financially assisted
organi zations.
Overall, outreach activities should promote understanding
and highlight and summarize critical issues. The social,
economic, and environmental consequences of potential actions,
options, or decisions should be clearly stated when possible.
Public information materials must be distributed prior to public
consultation. The public should also have access to full reports
and documents. Place publications in information depositories.
At a minimum, outreach materials must include:
background information
- legal justification or the triggering event for the
action
timetable of proposed actions or planning phase
summaries of lengthy or technical material
delineation of issues
alternatives or tentative determinations made by
the agency
whether an EIS is, or will be available
ways to encourage public participation
names of people to contact for further information
BACKGROUND AND SUMMARY
Education and the dissemination of public information are
essential to successful public participation. The more
substantive information citizens have available, the better
equipped they will be to participate. Short, simple printed
publications are an ideal way to appeal to broad general
audiences, and provide timely and meaningful information to
various publics. Written materials meet the needs of people who
stay involved by staying informed. They are available to be used
at the reader's convenience. The agency controls the content of
publications and the means of distribution.
INFORMATION PROGRAMS 105
Barry Lawson Associates, Inc. ——
190 High Street J Boston MA 02110
-------
Publications must be well conceived and written, and
thoughtfully designed and printed, to capture and hold the
attention of readers. The process requires a long lead time. A
design theme should be followed through all publications to
maintain consistency and provide strong visual identification to
the project. Materials must be accurate, thorough, and well
edited. Finally, material must be presented in a timely manner,
with distribution preceding each major consultation activity. A
publication program must maintain some flexibility to develop
materials which solve problems or help projects over difficult
periods.
Printed materials should explain how a proposed action will
affect the reader or present the potential outcomes of
alternative actions. Avoid technical jargon. Graphics and
illustrations should be used creatively to increase
understand i ng.
These basic principles apply in both small and large
communities. In small communities, however, a public information
effort can be more easily integrated into a community's life.
For example, rather than begin a newsletter, a project might
request space for a weekly column in the local newspaper. There
are many low cost and no cost ways to meet public information
goals (see Section X).
THE ESSENTIALS
I. What are some general principles for developing public
information programs?
A. The first step in developing an effective
information program is to plan for a publication
effort. This should be demonstrated in the work
plan. The work plan must realistically balance the
cost, timing, quality, scope, variety of
publications, and identify target audiences, for
various publications. Using the plan for guidance,
work can proceed on individual publications with
knowledge of how each publication will contribute to
the total public participation effort.
B. Written communication should meet the five criteria
embodied in the acronym ANSVA: ATTENTION, NEED,
SATISFACTION, VISUALIZATION, ACTION
1. Attention: Each information product should
capture the attention of its intended audience
by using a theme or issue important to that
audience. Often, the theme has a human appeal.
106 INFORMATION PROGRAMS
Barry Lawson Associates, Inc.
-------
2. Need: Each publication should demonstrate that
the reader has a need or problem.
3. Satisfaction: The written piece should show
how the government program or plan can meet or
satisfy the readers' need or problem.
4. Visualization: People often comprehend and
retain complex ideas and material better if
they can see the material visualized. These
"mental pictures" may be in the form of charts,
diagrams, illustrations, photographs, or
mathematical displays. The adage, "a picture
is worth a thousand words" has proved true in
many studies of reader/audience comprehension
and retention rates.
5. Action: Each piece of public information
should invite action. Attending a public
meeting, placing a name on a mailing list, or
joining an advisory group, are examples of
action steps. Public information is effective
only if it provides the basis for potential
change. The action step reinforces learning.
C. Another way to consider the five criteria in the
acronym ANSVA is to make sure all publications
answer the questions, What?, So What?, and, Now
What?
What are some general guidelines for developing public
information products.
A. Begin each writing project by developing a detailed
outline of the content to be covered.
B. Every information program must operate on at least
two levels — the publics that are already
interested and involved, and those who are not. The
information directed toward the involved group
should support public participation, and may include
more complex or detailed information or progress
reports. Fact sheets and lengthy information
pieces fall under this category. The information
directed to the less involved group might be
considered preliminary to participation. These
materials should be attractive and brief, and appeal
to the needs and concerns of lay people.
INFORMATION PROGRAMS 10 7
Barrv Lawson Associates Inn
-------
C. In headlines and initial paragraphs, attract
attention and interest with thought provoking
statements or questions. Link problems and issues
with the reader's life and experience. Personalize
messages; demonstrate how EPA1s programs affect
people's lives.
D. Early in the text introduce the content of the
publication.
E. Write clearly, simply, and directly, avoiding
technical terminology and professional jargon.
Translate technical language into terms the public
can understand, or define technical terms the first
time they are used in a publication. Like
newspaper reporters, write general purpose materials
for an eighth-grade reading level.
F. Use short declarative sentences with active verbs to
make key points. Avoid the use of long and complex
sentences. Say it simply.
G. Use conversational English. For example, use "do"
for "accomplish" and "because" for "in view of the
fact that." (See longer list of examples at the end
of this chapter.)
H. Consider using human scale comparisons, rather than
technical terms, to communicate a point. For
example, "The facility will generate noise
approximately equal to that of a typical city
street," or "The cost per family will be about $10(1
per year."
I. Limit the length of the material. Five
double-spaced pages (about 1500 words) is all the
general interest citizen will typically take the
time to read. If the material requires greater
length, prepare a one-page summary for readers with
limited time. Another approach is to design a
longer piece so that someone with limited time can
read highlights in five (5) minutes, more in depth
material in 15 minutes, and complete the entire
piece in 30 minutes. By telling the reader how a
piece is structured on the first page, the reader
can choose how much time to invest in the piece.
J. Don't lose sight of broad perspectives and goals
when developing materials. For example, in
technical documents, provide a summary that stresses
concepts, not just facts. Organize material
conceptually with facts and data providing the
foundation for basic themes.
108 INFORMATION PROGRAMS
Barry Lawson Associates, Inc.
-------
K. Each individual element in an information and
education program should be easily linked to the
overall program. The reader/viewer should easily
see the relationship between a particular topic or
product and the total project.
L. Pre-test all public information products by asking
several lay citizens or officials to read and
critique drafts for clarity, order,
comprehensiveness, and detail. This final review
can help ensure high quality publications that meet
their intended goals.
M. Use graphics and illustrations to support the
written content of a publication. Photographs,
charts, and drawings can communicate ideas quickly,
directly using few words. Using several type faces,
such as a standard and an italic typewriter type,
can lend emphasis and clarity. Capitalization and
underlining adds emphasis, too.
N. Always make full reports and technical information
available to the public for review, in addition to
providing lay summaries. Providing access to all
information supports public participation goals.
Materials should be available at easily accessible
depositories. Let the public know where and when
the materials are available.
0. For general purpose publications, such as brochures
and newsletters, distribute copies to people whose
names are on a project mailing list, advisory group
members, and potentially affected elected and
appointed officials. Mail copies of publications to
media outlets in the project area. Make
publications readily available to the general public
at libraries, government buildings, shopping
centers, and other public places. Include
publications as a part of a project display.
THINGS TO CONSIDER
What role does a general or introductory brochure play in
an overall public information program?
\j A. A general pamphlet or brochure is a useful tool to
explain the background and mandate of a program, the
role of the public in the planning process, and the
INFORMATION PROGRAMS 109
Barry Lawson Associates, Inc.
-------
expected outcomes of the project. A brochure should
be an easy-to-read, quick summary of agency/program
goals and objectives. It should provide answers to
common questions.
B. A brochure should include a brief background on the
program, the planning process, schedules for
up-coming events, and the points where public
involvement is most important and how it is
organi zed.
C. The publication should give the reader a sense of
the scope of the final plan, how planning will
proceed, possible alternatives, potential impacts on
the area's growth and development, and possible
program effects on taxes and quality of life.
D. The brochure should be written with a long-term
perspective in mind, so the publication remains
timely throughout the plan or study.
E. Distribute the brochure widely in the early stages
of a project. Timing is important for establishing
credibility and for informing the public early.
Mail copies of the brochure to all media outlets in
the planning area, accompanied by a cover letter
explaining the program and offering a name and
address to contact for further information. The
letter should explain why the project is important
and how it might affect the nation/region/state
/community.
F. Include a pre-addressed mail-in form as a part of
the brochure so that people with an interest in the
program can be added to the project mailing list.
Let the public know that other materials will follow
as the program develops (i.e., newsletters, report
summaries, etc.).
G. Include a name, address, and phone number in the
brochure for the public to contact for additional
information.
TV. What roles do newsletters play in pubic participation
programs?
A. Newsletters facilitate a regular flow of information
to the primary audiences of a public participation
program. They provide timely and useful information
to citizens. They are an inexpensive way to
regularly promote understanding, dialogue, and the
public participation process.
110 INFORMATION PROGRAMS
Barry Lawson Associates, Inc.
-------
B. Newsletters should inform without bias. They should
not be used as an advocacy tool. Newsletter editors
must maintain credibility if the newsletter is to
remain effective over time.
1. Separate opinion from other material, and
label it as such.
2. Sometimes credibility can be enhanced by
printing statements developed by
representatives of opposing points of view.
C. Link key issues to subjects and ideas the general
public can understand and appreciate.
D. Newsletters can provide timely information such as:
1. Articles on new developments in a project.
2. Reports on public involvement activities, and
how to join them.
3. People stories are particularly good for reader
interest, but should not over used. Describe
the activities of citizens and officials
working on various aspects of a project. Use
people stories to provide drama and to
encourage citizens to participate. Avoid long
lists of names.
4. Feature articles on major issues in a project,
the most common questions asked by the public,
or the primary concerns of officials or other
professional. Also, consider reprinting
relevant articles from other publications.
5. Calendar of upcoming meetings.
6. Summarize meeting comments and responses. If
used as an informal responsiveness summary,
newsletters reach the most important audience
of a participation program with timely and
useful information documenting the value,
history, and impact of public participation.
7. Consider having members of an advisory group,
or other citizen participant, write a regular
column. If stories are invited from guest
authors, detail editing ground rules in
advance.
8. The names and addresses of people to contact
for further information.
INFORMATION PROGRAMS 111
Barry Lawson Associates, Inc.
-------
9. Maps and other forms of graphic information.
10. Lists of information and audio-visual materials
available to the public, and the locations of
resource material.
—_ E. More than any other information tool, newsletters
can be used imaginatively. Maps for citizens to
evaluate, mark-up, and return; word puzzles based
upon some of the new words and concepts citizens are
learning in a participation program; attitude and
opinion questionnaires; and contests such as a
documentary photography contest, are just a few
unusual suggestions for newsletters. These
techniques make newsletters an enjoyable and
interesting experience for readers.
F. Newsletters should be mailed to local and regional
media representatives as another way of keeping them
informed of progress in the program.
G. The editors of other newsletters with a potential
interest in the subject of your newsleter should
receive copies as well. They may find information
of importance they would like to pass on to their
readers.
H. Many citizens will keep all issues of a newsletter
as a historical record of their involvement in a
project. Number and date all newsletters.
V. What role do fact sheets play in an overall public
information program?
A. Fact sheets are an adjunct to newsletters and other
publications. They are most useful for providing an
in-depth analysis of specific, complex issues of
public concern. They may be longer than newsletters
and contain more detail.
B. Some fact sheet topics will be chosen in advance;
others will evolve from questions and concerns
raised during the public process.
C. Fact sheets can be distributed as a part of a
newsletter or as a separate publication. They can
be mailed to the entire mailing list or to selected
groups. They should be available to anyone for the
ask ing.
D. They are most useful for presenting large blocks of
information at crucial decision points in a project.
112 INFORMATION PROGRAMS
Barry Lawson Associates, Inc.
-------
E. They provide excellent background for citizen
activities at public meetings and conferences.
F. Some EPA programs and regulations require the
preparation of fact sheets at specific points. (See
indivudal program regulations and guidance.)
G. Fact sheets can be produced inexpensively, and are
easily up-dated as programs mature and become more
refined.
VI. How long does it usually take to prepare a typical
public information product?
A. Scheduling adequate writing, review, and production
time is an important element of information
planning. Plenty of lead time is required to
produce a high quality document. For example, for a
state government to produce a twelve-page newspaper
tabloid that serves as an executive summary and
public hearing notice, the following time schedule
is suggested (in person days):
1. Writing first draft 10 days
2. Typing the first draft 3 days
3. Agency staff reviews/citizen reviews
of first draft 5 days
4. Consolidation of reviews and
rewrite 5 days
5. Retyping 3 days
6. Graphic design, typesetting,
paste-up 5 days
7. Printing 8-10 days
8. Preparation for mailing
(5000 copies) 3 days
9. In the mails 5 days
10. Date in citizen's hands 30 days
before public meeting
or hearing
INFORMATION PROGRAMS 113
Barry Lawson Associates, Inc.
-------
B. Every state and region operates under a different
set of conditions. Large information staffs can
produce materials more rapidly than a one person
information office; some government offices have
access to rapid in-house printing, while other
agencies have to go through a competitive bid
procedure which adds substantial time.
C. Leave time for unanticipated problems when
estimating the time requirements for every product.
Delays in reviewing and printing occur with some
frequency.
VII. What are some techniques for holding down publication and
other public information costs?
A. Hold down printing costs by printing in one color,
and on a large size paper (i.e., 11" x 17", folded).
1. Black . ink generally costs less than colored
inks.
2. Quick offset printers generally cost less than
larger printers. Provide camera ready copy.
3. Experiment with ink and paper color
combinations as a low cost graphic arts
techn ique.
4. If the budget permits, two color printing and
colored paper offers many creative
possibilities at a reasonable price.
B. When possible, make publications self mailers, and
explore the use of a bulk permit if the agency does
not have federal "franking" privileges. (See the
chapter on mailing lists for more information on
mailing options.)
C. If applicable to the setting, consider no cost
public information options such as using existing
newsletters or newspaper columns rather than
beginning a new newsletter, using regular meetings
of town boards and public bulletin boards to inform
the public, and using existing groups and
organizations as the central focus of a
communications program.
D. Make presentations on radio and television public
affairs programs. Supply public service
announcements.
114 INFORMATION PROGRAMS
Barry Lawson Associates, Inc.
-------
E. Use graphics creatively. Purchase hooks that
contain non-copyrighted artwork ready to be clipped
and used in publications. Creative use of a
typewriter, such as using a variety of type faces
and sizes adds visual clarity and emphasis.
EVALUATION
VIII. What are some questions to ask when evaluating
information/education programs and products?
A. Information planning
1. Have information needs been identified in the
overall public participation work plan?
2. Do the program elements in the information plan
work together to support one another, and build
successfully upon one another?
3. Do information products precede consultation
activities in the work plan? Has this schedule
been maintained?
4. Are the goals of the information program and
each program element clearly stated.
5. Does each information piece have a definite
goal and a targeted audience?
6. What types of information products are
anticipated? Are a variety of methods
used to communicate with various target
publics? From the list below, check the
information products anticipated in the
work plan.
Brochures
Fact sheets
Direct Mail Letters
Flyers
Posters
Articles in other community or agency
newsletters
Issue Papers and Options Documents
Executive Summaries'
Speakers Bureau
Weekly Newspapers
Daily Newspapers
Radio and Television Talk and Public Affairs
Programs
Radio and Television News Programs
INFORMATION PROGRAMS 115
Barry Lawson Associates, Inc.
-------
Slide Program
Slide Tape Program
Fi lms
Other Media
B. Information products.
1. For each public information product, are the
issues and alternatives defined in an accurate,
realistic, and understandable manner? Are the
decisions requiring public involvement clearly
stated?
2. Are the social, economic, and environmental
impacts and consequences clearly defined and
stated for each alternative?
3. Do explanatory materials contain clear,
concise, and factual information?
4. Are technical and professional terms, and
government acronyms defined and explained? Has
a glossary of terms been prepared?
5. Have individual information products been
pre-tested with lay citizens and officials
prior to printing and distribution?
6. Are information products provided free of
charge to the public? If there is a cost, is
the cost nominal?
7. Do all information materials contain the name,
address, and phone number of a public
participation contact person within the agency
who can answer questions and provide
information? Does this person have public
participation training? Has an adequate amount
of time been allocated for this person to work
with the public?
C. Target publics.
1. Are informational materials targeted toward
identified publics as well as more general
publics?
116 INFORMATION PROGRAMS
Barry Lawson Associates, Inc.
-------
2. Can you identify 5 targeted publics from
looking at the work plan or individual
proposals?
3. Do these target publics appear to cover the
primary interests of the project? Is the
group representative of the affected geographic
area?
D. Timing.
1. Has adequate time been allowed for the
preparation, testing, and printing of materials
in order to get materials to participants at
least 30 days prior to meetings and hearings?
2. For materials already prepared, how soon before
a key event were they distributed?
3. If materials were not delivered 3d days before
the public event, what were the causes for the
delay, and how can problems in scheduling be
corrected?
E. Distribution and Outreach.
1. Was there an adequate balance between materials
developed by the agency (newsletters, fact
sheets, etc.) and the use of the mass media?
2. Were in-house publications used effectively?
3. Were the mass media -- weekly and daily
newspapers, radio, and television -- used
effectively?
4. Were key target publics and individuals placed
on the agency mailing list to receive public
information.
INFORMATION PROGRAMS 117
Barry Lawson Associates, Inc.
-------
F. Graphic Design.
1. Has a consistent graphic design format been
used in all printed and audio visual materials
for the project?
2. Will the materials look attractive and
interesting to the prospective reader/viewer?
3. Have graphic elements such as maps, charts,
diagrams, and photographs been used to improve
communication and make technical or scientific
information more understandable? Are they
understandable?
G. Other.
1. Rumors
a. Has preventive information been circulated
widely throughout the community or region
so that rumors bearing false information
are minimized?
b. Has a rumor phone been established or
considered? Is it a necessary tool for
this project?
2. Information depositories
a. Have information depositories been
established? In central locations?
b. Are they kept current with up-to-date
materials?
c. Are summaries and full documents available
at depositories?
d. Has the existence and location of the
depositories been adequately publicized?
3. Speakers bureaus
a. Has a speakers bureau been established as
part of the information program?
b. Have individual presentations been
previewed and critiqued by co-workers,
consultants, or citizens active in the
project?
118 INFORMATION PROGRAMS
Barry Lawson Associates, Inc.
-------
c. Have the speakers been adequately prepared
and trained for their public speaking
functions?
d. Do they serve as credible sources of
information?
e. Have good supporting materials such as
speeches and audio visual programs been
prepared for them? Are these products
exciting and useful?
Numbers
a. Have adequate numbers of copies of printed
materials been prepared?
INFORMATION PROGRAMS 119
Barry Lawson Associates, Inc.
-------
A TABLE OF SIMPLE AND COMPOUND PHRASER
Use simple or conversational English
when writing for the public
Compound
at that point in time
by means of
by reason of
by virtue of
for the purpose of
for the reason that
from the point of view of
in accordance with
in as much as
in connection with
in favor of
in order to
in relation to
in terms of
in the event that
in the nature of
on the basis of
prior to
subsequent to
with a view to
with reference to
with regard to
with respect to
despite the fact that
because of the fact that
in some instances the
parties can
in many cases you will find
during the time that
for the period of
in accordance with
in so far as ... is concerned
there is no doubt but that
Simple
then
by
because of
by, under
to
because
from, for
by, under
since
with, about, concerning
for
to
about, concerning
in
if
like
by, from
before
after
to
about, concerning
about, concerning
on, about
although, even though
because
sometimes the parties can
often you will find
during, while
for, during
by, under
(omit it entirely and
start with the subject)
doubtless, no doubt
120 INFORMATION PROGRAMS
Barry Lawson Associates, Inc.
-------
How to Prepare Public Notices
Barry Lawson Associates, Inc.
190 High Street < Boston MA 02110
-------
HOW TO PREPARE PUBLIC NOTICES
THE POLICY
Under the category of "Outreach," the Policy addresses
notification. The agency must notify all parties on the contact
list and the media of opportunities to participate. While
required by program regulations, published legal notices do not
substitute for this broader notice. In general, notification
should take place at least 30 days before proposed actions, and
45 days before public hearings.
BACKGROUND AND SUMMARY
Public notices represent one of many public notification
techniques. They have the goal of stimulating interest in and
increasing attendance at up-coming meetings and hearings. Other
communication devices, discussed in the public meeting and public
information chapters, should also be used. Just publishing a
public notice does not guarantee that the public will be
adequately notified of public events. Direct mail and one-to-one
telephone contact, for example, work effectively if the goal is
to generate attendance at public meetings.
In small communities, posting notices around town, and
printing notices in the local newspaper may reach a large number
of people for a relatively low cost. In larger geographic areas,
the number of activities required and their costs will likely be
higher. Once more, match the technique to the setting.
Public notification 30-45 days in advance of an event or a
decision provides adequate time for citizens and officials to
prepare testimony and comments. A reminder notice five to seven
days in advance is helpful. Public notification affords citizens
a fair and equal opportunity to participate. Public notices can
help meet these goals.
Public notices must be seen to be effective. They may be in
the form of letters, newspaper advertisements, posters, or other
graphic formats. They should entice readers so that they are
read. Using eye-catching headlines or photographs, or
personalizing issues, helps to do this. Notices should explain
why it is important to attend the meeting or hearing, how this
event fits into the overall public participation effort, and what
influence or responsibility attendees will have. The notice
should highlight issues to be covered at the event, decisions to
be made, and the potential impact of decisions. Avoid the use of
a strict legal notice format, such as those in the legal notices
section of newspapers; these notices are rarely seen or read by
the primary audiences of public participation programs.
PUBLIC NOTICES 121
Barry Lawson Associates, Inc.
190 High Street / Boston MA 02110
-------
THE ESSENTIALS
I. What are some guiding principles for preparing good
public notices?
A. Public notices should be distributed so that they are
highly visible to the " targeted audiences.
Distribution should occur well in advance of the
meeting or hearing. Respect the requirement for
30-45 days notice. This length of time allows busy
people to schedule the event in their calendars, and
to prepare comments and testimony.
B. Keep public notices brief and to the point.
Conceptualize issues from the public's point of view.
Personalize notices. Present the information in
language familiar to lay people; avoid the use of
jargon, government acronyms, and complex technical
terms.
C. Notices should highlight the economic and
environmental issues of concern, the implications of
the issues, and the decisions to be made.
D. The notice should indicate how participation in the
event will relate to subsequent decisions and the
resolution of issues.
E. Use graphics to capture the attention of the
audience, to tell a story, and to increase recall.
F. If possible, have public information specialists and
graphic designers prepare the notice. If this is not
possible, have an information specialist review the
notice.
G. Pre-test public notices with the public before their
distribution. Make sure the public receives the
message intended by the agency.
H. Distribute the notice through direct mail to
organizations and individuals with a potential
interest in the meeting or hearing.
1. In one major survey of how people who attended
meetings and hearings heard about the event, the
largest number said they received something in
the mail that told them about the gathering.
The second most common response was that someone
told them about the event. Word-of-mouth proved
to be an effective communications channel. Less
than five percent of those surveyed said they
saw a notice in the newspaper or heard about it
on radio or television.
122 PUBLIC NOTICES
Barry Lawson Associates, Inc.
-------
2. Consider the use of a telephone network to
initiate the word-of-mouth communications
system. This is especially effective in small
communities and in neighborhood organizing.
I. Distribute the notice widely to the print and
broadcast media.
1. Provide a camera ready copy to newspapers for
placement as an advertisement or as a free
calendar announcement. "Run-of-paper" or
display advertising rates are higher than
classified rates applied to legal matters.
Display advertising is generally more expensive.
2. Provide a slide of the notice to television
stations for them to use as a background image
when announcing the event.
3. For radio and television, include a public
service spot announcement or press release,
along with the notice. This will increase the
likelihood of the notice getting "air time."
OTHER THINGS TO CONSIDER
II. What are some helpful hints in preparing public notices?
A. When preparing a public notice, be creative. Do not
feel hamstrung by past practices. Like any human
communication, imagination and newness can help to
capture the audience's attention.
B. Popularize issues. Ask why the public should care
about the subject of the meeting or hearing from
their point of view, and not that of government.
Mirror the answer in the notice.
C. Thought-provoking statements, as long as they are
founded in fact, can capture the audience's
attention, and motivate people. Use them in notices
if they meet agency goals.
D. Emphasize the important advisory role of the
individual in planning, problem solving, and in
making decisions.
E. Like a good press release, the public notice should
explain the who, what, where, when, and why of the
event. If any of these elements are missing, the
notice will lack an important piece of information.
PUBLIC NOTICES 123
Barry Lawson Associates, Inc.
-------
1. The "Who" should include the sponsors of the
meeting or hearing, as well as an identification
of the primary audiences of the public notice.
Also, include the name, address, and phone
number of an individual for the public to
contact for additional information.
2. The "What" should include a brief, clear
statement of the most important issues under
consideration.
3. The "Where" includes the location of the event,
along with transportation directions. Also
include the locations of information depositor-
ies, and other information resources, if rele-
vant .
4. The "When" refers to the date and time of the
event.
5. The "Why" should include things like the purpose
of the meeting, the citizen's role, and the
problems under consideration. These issues
should be stated from the citizen's perspective.
EVALUATION
III. What are some questions to ask when evaluating public
notices?
A. Was the public notice part of an overall plan of
notification and information? Were the elements of
the plan, such as the use of advertisements, public
service spots, and public speaking events, well
coordinated?
B. Did the public notice appear 30-45 days before the
event, allowing adequate time for the public to
prepare?
C. Was the public notice attractively designed? Did it
capture the reader's eye, and quickly communicate the
intent of the event?
D. Was the method of distribution relevant to the
community or state? Did it build upon existing
communication channels?
E. Did notices reach all of the potentially affected
individuals and organizations? How was distribution
coordinated? Were both opponents and proponents
included in the distribution?
124 PUBLIC NOTICES
Barry Lawson Associates, Inc.
-------
F. Was the notice displayed prominently in the media and
posted in visible locations at least 30 days in
advance of the event?
G. Did a press release accompany the notice? Were other
media events organized, such as briefing reporters or
the preparation of feature articles?
H. Did the notice emphasize why the event was held? Did
it identify the important decisions, issues, and
program impacts?
I. Did the notice stress the importance of citizen
attendance and participation? Did it explain how
participation would affect decisions and value
choices?
J. Did the written notice include:
1. A timetable in which decisions will be made?
2. An identification of issues under consideration?
3. A description of alternative courses of action?
4. A brief listing of applicable laws and regula-
tions?
5. An identification of locations where relevant
documents were obtainable?
6. The names of individuals to contact for addi-
tional information.
PUBLIC NOTICES 125
Barry Lawson Associates, Inc.
-------
EXAMPLES OF PUBLIC NOTICES
Note: These examples of public notices are provided for
learning purposes only. Since EPA does not recommend a single
format, it is helpful to learn from the experiences of others.
Review them for substance, length of response, design, and
format; then choose a format that best meets agency needs.
In choosing examples for comments, neither EPA nor Lawson
Associates seeks to criticize any particular government agency,
grant recipient, or consultant. The examples were chosen because
they provided an opportunity to make a particular comment or
observation.
~EDITOR'S NOTE: Much of the information contained in this
chapter came from an EPA publication, How to Write a Public
Notice: A Collection of Examples, by Barry H. Jordan, Office of
Water Program Operations. December, 1979. Please see the
original publication for additional information and examples.
126 PUBLIC NOTICES
Barry Lawson Associates, Inc.
-------
Type Good Poaircts to
Features Consider
This is an example of a simple
newspaper ad used to attract
public attention prior to a public
hearing.
The ad generated several phone
calls for more information for
two reasons: the ad was placed
in a prominent location in a
widely circulated newspaper, and
the ad highlights a few dramatic
issues related to the hearing.
° "NO SWIMMING" in Charles & Mystic Rivers
° "SHELLFISHING BANNED" in Inner Harbor
® 400,000 pounds of partially treated sewage & toxic
waste flow into Boston Harbor daily
Does it have to be this way? Are you responsible?
What do you want done for a clean Boston Harbor?
Let the U.S. Environmental Protection Agency know
at a public hearing on:
November 2®, 1978
Fasieyil Ha!!, (Boston
1:39-5:30 P.M. and 7:00-10:00 P.M.
At the hearing EPA will hear your comments on its
recommendations for cleaning up the Harbor and its
tributaries. The EPA recommendations include:
® a $770 million water pollution control project with
waste water treatment at Deer Island
• environmentally sound sludge disposal
For more information contact EPA's Office of Public
Awareness at 223-7223.
The use of such an ad should be
carefully considered.
There is no question that a well
done, well-placed ad will attract
attention; however, caution must
be used to avoid overstatement.
The cost of such an ad is usually
much higher than the cost of a
legal notice, particularly in large
metropolitan newspapers.
It is not possible to tell a news-
paper where to put a legal notice.
Certain locations can be requested
for display ads.
PUBLIC NOTICE A-l
-------
Type Good Areas gy@@dirsg
Features Improvement
This invitation/hearing notice
was prepared by a consultant for
an EPA training session. Even
though it is for a hypothetical
situation, the notice exhibits
several important features.
The notice could stand by itself,
as a newspaper ad, poster or
mailer.
The format is not particularly
distinguished, but the notice
contains essential information
which must be included in any
effective notice:
• Outline of issues in promiment
location; -
0 A list of technical alternatives;
0 Information on where and
when to review documents;
° Information on how and when
to make formal comments;
• Name and phone number of
project contact person;
• The date, time and location of
the hearing, a central, easily
reached location at a time when
most people can attend.
In this example a letter, co-signed
by a local official, is sent to an
extensive mailing list, in addition
to publication of the notice in
the local newspaper and posting
in prominent locations in the
community. This extra step is
taken because those responsible
for the project are aware of a
very important fact regarding
meeting or hearing notification:
most people who attend meetings
or hearings do so because they
have been contacted directly,
either by phone, through the
mail or in person, not because of
a formal notice, newspaper arti-
cle or paid ad; This fact has
been verified in surveys and is
borne out by actual experience
every day. This fact must be
taken into account by those con-
ducting the hearing or meeting.
Existing communications net-
works such as newsletters
should be used, as well as some
form of direct contact. In most
cases, reliance solely on the
"media" will be insufficient.
The elected official also indicates
in the letter that views expressed
at the hearing will be used in
decision-making.
The notice does not mention the
availability of a technical sum-
mary or fact sheet. While not
directly related to notice content
and form, such a summary is an
essential part of any project. If
one is available, it certainly
should be mentioned in the
notice.
For the most part, the notice
avoids jargon; however, "collec-
tion system," "mgd," and
"secondary treatment" are not
everyday terms.
Board of Selectmen
PUBLBC HEARSRSG
on Water Pollution Control
B-l PUBLIC NOTICE
-------
Dear Mythical Citizen,
We would like to extend an invitation to you to participate in a public hearing to help
select among alternative waste treatment proposals for Town of Mythical. The hearing
will take place on Wednesday, February 16, 1977 at 7:30 p.m. at the Mythical Senior
High School Auditorium.
The different proposals for handling the current and expected wastewater flows have
highlighted a number of significant issues, including:
. should the sewer service district be expanded?
. should the capacity of the treatment plant be expanded?
should Mythical join with adjacent Makebleeve and construct
a regional treatment facility, phasing out Mythical's
current plant?
. what would be the land use impacts of an expanded facility?
Each of the proposals entails different environmental and monetary costs and benefits,
and we are seeking the advice and ideas of you and other citizens to help in making
the choice between them. We hope you will join us or February 16. Please refer to
the enclosed hearing notices for further details.
Sincerely,
Ima C. Leckman
Chairman,
Mythical Board of Selectmen
Board of Selectmen
PUBLIC HEARING
on Water Pollution Control
PUBLIC OPINION WILL BE SOUGHT ON ALTERNATIVE WASTE TREATMENT PROPOSALS
FOR THE TOWN OF MYTHICAL
TIME WEDNESDAY, FEBRUARY 16. 1977, BEGINNING AT 7 30 P M
PLACE MYTHICAL SENIOR HIGH SCHOOL AUDITORIUM
ISSUES Should the sewer service district be expanded?
Should the capacity of the treatment plant be expended?
Should Mythical and Makebleeve join in building a regional treatment facility?
What would be the land use i ipacts of an expanded or regional facility?
A SIMILAR PUBLIC HEARING will also be held in the MAKEBLEEVE TOWN HALL on Thurs-
day. March 10, 1977, begmnng at 7 30 P M Plans and analyses are available at Town Hall
(9 00AM to 4 00 P M , Mcndoy through Friday except legal holidays) A separate annour>ce-
ment for this heating will also be published
If you are unable to artend the hearing or would prefer to submit your comments in wnting.
signed written comments will be accepted up to midnight of the seventh calendar day after the
hearing and will be entered as part of the hearing record Signed statements received prior to
the close of the hearing will be read at the hearing Comments should be addressed to the
Board of Selectmen
This hearing is being held in response to the National Environmental Policy Act. the Federal
Water Pollution Control Act Amendments of 1972, and Regulations promulgated thereunder
On the bass of expressed public opinion and the environmental effects, monetary costs,
feasibility, resource and energy use, and reliability of the various, proposals, a "selected alter-
native" will be chosen and 75% federal/15% state funding will be sought
For more information, call Sue Erline, Community Liaison Officer for Oezme and Specks Inc .
Engineering Consultants, at 987-1234
ALTERNATIVES TO BE DISCUSSED 1 ) secondary treatment at existing plant with no
expansion of present capacity ( 7 mgd),
2 ) secondary treatment with expansion of capacity
{ 9 mgd) and collection system
-------
Type d©©d Areas iftHeediffig
Features Smprovemerat
C-l PUBLIC NOTICE
This is an excellent example of a
meeting notice/mailer.
The cover calls immediate atten-
tion to the hearings.
The information is clearly
presented.
A phone contact is given.
Many depositories are listed, and
the availability of a plan summary
is noted.
Information on how and when to
make comments is given.
The public has three options for
commenting: hearing testimony
(evening and weekend sessions
included), telephone comments,
or written statements.
The notice informs the public of
informational meetings being
held prior to the formal comment
period.
The notice would be improved
by a better title ("208 Public Par-
ticipation Bulletin" is not very
exciting) and with a better sec-
tion on plan contents which
highlights major issues of public
concern.
PUBLIC INFORMATION MEETINGS ALSO
SCHEDULED
To help you interpret the clean water proposal
prior to the hearings, N IPC will hold a series of public
information meetings
In Chicago, at the NIPC offices (400 W Madison
St), beginning at 1:30 p.m. on the following dates,
these parts of the clean water proposal will be dis-
cussed.
Tuesday, May 30 - Agricultural and septic system
pollution control.
Tuesday, June 6 — Urban stormwater run-off and
combined sewer pollution
control
Tuesday, June 13 — Wastewater treatment plant and
other point source pollution
control.
Tuesday, June 20 — Management systems, costs, and
financing of water pollution
control.
In the suburbs, beginning at 7:30 p.m., on the fol-
lowing dates, there will be a general presentation of
the clean water plan followed by discussion of topics
of interest to those in attendance.
Wednesday, May 31 — Lake Forest Village Hall;
220 E. Deerpath Rd
Wednesday, June 7 — Napervilla Municipal Center,
175 W Jackson St.
Wednesday, June 14 — Barrington Public Safety Bldg.,
121 W Station St.
Wednesday, June 21 - Frankfort Township Office;
Rt. 30 east of Wolf Rd.
LIBRARIES AT WHICH COPIES OF THE DRAFT
CLEAN WATER PLAN ARE ON RESERVE
Suburban Cook County-
Chicago North
Mam Library—425 N Michigan Arlington Heights
Social Science & History Div Evanston
Science Division Gicnview
Business & Industry Division Mt Prospect
Cultural Center — 78 E Washington Northbrook
Brighton Pk -43MS Archer Palatine
Jefferson Pk — 5363 W Lawrence Park nidge
Woodson — 9525 S Halsicd Schaumburg
Woodlawn-6247 S Kimbork Skokie
Hild —4536 N
Lincoln
Streamwood
Legler— 115 S
Pulaski
Wheeling
Winnetka
Suburban Cook County —
Suburban Cook County —
South
West
Chicago Heights
Bellwood
Harvey
LaGrangc Park
Polos Hills
Oak Park
Paik Forest
Sihiiler Park
Tinley Park
DuPage County
Lake County
McHenry County
Addison
Antioch
Algonquin
Bcnsenville
Barring; on
Cary
Glen Ellyn
Fox Lake
Crystal Lake
Lombard
Grayslake
Fox River Grove
Oak Brook
Highland Park
Harvard
Naperville
Lake Forest
Marengo
Roselle
Lake Villa
McHenry
Villa Park
Liberty ville
McHcnry -Nundn
Westmont
Round Lake
Richmond
Whcaton
Waucondo
Woodstock
Winfield
Waukegan
Wood Dale
Kane County
Will County
Dundee
Bolingbrook
Elgin
Joliet
Geneva
Lockport
Hampshire
New Lenox
St Charles
Peotone
Sugar Grove
Romeoville
Wilmington
-------
d
puUc participation
buletin N
areawide
clean water
planning
PUBLIC HEARINGS ON DRAFT CLEAN WATER
PLAN ANNOUNCED
The Northeastern Illinois Planning Commission
has scheduled eight public hearings on its proposed
Areawide Water Quality Management Plan for the six-
county metropolitan area. This draft plan suggests
strategies for solving the region's water pollution
problems and a management system for getting the
job done The proposal also describes the ways in
which this multi-billion dollar program can be financ-
ed. A clean water plan must be adopted in order to
qualify this region for state and federal grants for
many wastewater treatment system improvements
and water pollution control projects already planned
This plan will be a blueprint for public and private
action in water pollution control for years to come.
Hearing dates and locations are as follows
Saturday, June 24 - Chicago, NIPC office,
400 W Madison St
Monday, June 26 — DesPlaines Civic Center
1420 Miner St
Geneva; Kane Co. Gov't Center
719 Batavia Ave
Tuesday, June 27 - Crystal Lake
North Union High School
170 N Oak St.
Hinsdale Village Hall,
19 E Chicago Ave.
Joliet, Will Co. Courthouse,
14 W Jefferson St.
Wednesday, June 28 — Libertyville Village Hall,
200 E. Cook Ave
Hazel Crest Village Hall,
1818 W. 170th St
All hearings will remain in session for a minimum
of one hour after they are convened. The Saturday
hearing in Chicago will begin at 10 a.m. The seven
hearings in suburban communities will have an after-
noon session beginning at 3 p.m., and an evening ses-
sion at 730 p.m Procedures for registering for the
hearing, and for the conduct of the hearing are avail-
able, and they should be requested from NIPC if you
plan to make a statement Call Larry Aggens, Mike
Chapin, or Marty Moser (312) 454-0400, for a copy
of the procedures or for any additional information.
CLEAN WATER PROPOSAL AVAILABLE FOR
REVIEW AT 350 LOCATIONS
The complete draft clean water plan is more than
1,000 pages long. Copies are being placed on reserve
for public review in each municipal building, and in
each county planning office. Copies are also available
for inspection in the NIPC office, the offices of four
intercommunity councils, and in 75 libraries listed in
this bulletin Officials of agencies designated for plan
implementation, and members of the Local Steering
Committees and Areawide Advisory Committee will
also have copies of the complete draft plan
A 45-page summary of the draft plan will be sent
to all clean water planning advisors and to persons
who have been active in the basin planning process.
Summaries will be sent to others who request a copy
at no charge.
HOW YOU CAN GIVE US YOUR COMMENTS AND
SUGGESTIONS
NIPC has tried to make it as easy as possible for
you to tell us what you think about the draft plan.
You may make a statement at one of the eight public
hearings As an alternative, you may submit a state-
ment by mail, until July 8, or you may telephone a
statement to NIPC between 10 a m. and 4pm, dur
ing the week of June 26th Telephone statements will
be transcribed in the hearing record, or summarized
there if they are longer than five minutes Written
statements will be reproduced in the hearing record in
the form in which they are received.
northeastern IBlinois ptanning commission
400 West Madison Street Chicago, Illinois 60606 (312)454-0400
PUBLIC NOTICE C-2
-------
Yyp©
Good
F©atBJET@S
Areas gy@®siiiig
Improwm®^
This is an example of a poster/
mailer notice.
The notice emphasizes the alter-
natives for specific locations in
the community.
PUBLIC HEARING
on the
Wastewater Management Plan
for the
Town of New Field
. . . to discuss the alternative solutions and the recom-
mended plan for the Boomis Heights, Plain Meadow,
West End Pond areas, and the Sewage Treatment Plant.
Boomis Heights
® Community septic system, alternatives 1 & 2
® Subsurface sand filter ® Land application
® Conventional sewering, alternatives 1 & 2
® Abandonment of dwellings
Plain Meadow
• No build • Lateral sewer program
West End Pond
® No build ® Sewer to New Hartfield STP
• Sewer to Windsted STP
Sewage Treatment Plant
© Land application • Extended aeration
® Rotating biological contactors
• Two-stage trickling filters
The Date\ Monday, April 5, 1978 Time: 7:30 P.M.
The Place: The New Field Town Hall
There is no mention of major
issues of public concern.
There is also too much technical
jargon; e.g., lateral sewer pro-
gram, extended aeration, rotating
biological contactors, two-stage
trickling filters, etc.
In short, the writer is assuming
too much knowledge about the
project in the community. Even
in a well-publicized and/or con-
troversial project, this is a
dangerous assumption.
The notice should include a con-
tact for more information.
D-l
PUBLIC NOTICE
-------
Type
Things to
Consider
This is an example of a public
notice designed to reach a speci-
fic audience.
In many instances writing a
notice that can be read and
understood by the affected
public means taking the extra
step of writing the notice in a
language other than plain
English.
When this extra step is taken, it
is advisable not to give a literal
translation of an English language
notice. The notice should be
actually written by someone with
a good knowledge of the idiom
and nuances of the other lan-
guage. It may be advisable to
seek assistance and advice from
a member of the community.
Of course, the principles regard-
ing content and distribution also
apply to these types of notices.
- ftifUA*#.
A ft.*/ft '
Mia* !l. *•***¦*¦*'* ¦
tnawfciii.'
it A. «J f # A *S "r i;
4 i «¦ fc-9 ?t/tf m ft A«t fij.
»«¦»»~ *;+#>*«•/•-. n « it ti® **> * t & >I •! tt.
+*> <6 it 9 <> -Bf •*«! •
ii + ft '
it
4 » flKft * fl .¦! 1* .«£¦~»«• * *+¦ #11
. it Vi ¦ $ hWMAt*. + " 'MM
IM.
ii *4. HI H 2 f '
fl-fr i <4.
AtMlltf i j. 't
« n *1 H ft -t (Ltt £1 -fe »».
ife + j: ilt«IA
tl aj 4 K + f 1L>(««<* it «n k + * i*« >
il»e« *<»«~>~
ft.
* rt) K) <{,)~ l^,A 'i it « « i rt VI ¦>
s-M4i s alltt iH-4* m/r/t a.«n< «H
I'i > «i. LSltt« «~ *S A't i 1144 *-nn >«<#».>~»•) Jf-f.. ti X.+-1 i 19-+« <^/J Wt
b» + i.j(y4.
»f - ^
>}*/*¦* 4 *v-til
tl-ifA*. S UtttiVli t iift* I'I «/0:K-*l
-------
How to Work with the Press and Write Effective Press Releases
Barry Lawsort Associates, Inc.
190 High Street ¦ Boston MA 02110
-------
HOW TO WORK WITH THE PRESS AND WRITE EFFECTIVE PRESS RELEASES
SUMMARY AND BACKGROUND
Members of the print and broadcast news media represent an
important audience of public participation programs. Keeping the
news media informed on various issues of public concern, and
educating reporters on the content of the planning methodology
and the specific issues of a project, and the role of the public
in the overall program, can mean better and more accurate
reporting of public meetings and major decisions. Editors and
reporters can help encourage public involvement "and understanding
through supportive editorials, well placed stories, feature
articles, and access to various broadcast news and public affairs
prog rams.
Media activities should match the project setting. A small
rural community may have only one news outlet, such as a weekly
newspaper. In that case, project staff would work closely with a
local reportor or editor. A nationwide news campaign requires a
multitude of activities directed toward national, regional,
state, and local reporters and news outlets. Each level of
activity — local, multi-county, statewide, multi-state, and
national -- has unique media challenges to address. The
principles that follow should be tempered by experience, the
locale, and the goals of the press activity.
Developing good press relations requires an open and
flexible attitude and the availability of substantive materials
developed with an understanding of the needs of the broadcast and
print journalism industry. First and foremost, the press is
looking for "news" — the reporting of current events. Sometimes
an event is staged to meet this need. For example, conducting a
field trip for an advisory group and inviting reporters to come
along, inviting reporters to attend a public meeting or hearing,
or conducting a press conference, provides immediacy and a news
perspect ive.
In general, the media is interested in facts and events, in
names and human interest perspectives, in finding themes that
will interest their readers (conflict and controversy), and in
remaining neutral. Reporters are not interested in values,
"truth", persuasion, and exhaustive technical detail. When
preparing materials for the press, meet these needs of the media,
and not necessarily the needs of an agency or organization. This
will increase the likelihood of getting information about a
program or group into the mass media.
Personal contact with reporters and editors is vitally
important. Strong links to the media can be built through
editoral board briefings, meetings with individual reporters,
press briefings before major public events, and by preparing
briefing materials that inform reporters. Keep a list of the
PRESS 127
Barry Lawson Associates, Inc.
190 High Street / Boston. MA 02110
-------
names, addresses, and phone numbers of all reporters who attend
agency events, meetings, and press conferences. The chance
meeting at such an event is the basis for a personal
relationship.
Agency personnel should work with individual reporters and
editors to develop articles and editorials. Press advisories and
press releases should be well timed and constructed like a
newspaper or broadcast story. In addition, agency personnel
should aggressively pursue broadcast opportunities such as talk
programs and weekly public affairs programs. Also consider
inviting a reporter or editor to become a member of an advisory
group to aid the public education/participation effort.
Working with the press should become a symbiotic
relationship -- the press needs information and ideas for
stories, and the agency wants to communicate with many audiences
through the media.
THE ESSENTIALS
I. What are some reasonable suggestions for working with
the press?
A. Deal with the press on a personal basis, rather than
relying solely upon standard press release
distribution, if publicity for certain events is to
be assured.
1. At the early stages of a planning process, the
staff should identify reporters and editors who
might have a particular interest in a project,
and develop close working relations with them.
They will be more likely to provide substantive
coverage at critical times.
2. Reporters can be important sources of
information about a community or region, and
the major political leaders in an area.
Reporters often enjoy talking about what they
know.
3. Continue to work with reporters as individuals
for the length of a project.
B. Provide a fact sheet, press release, or brief
official statement to back-up a reporter's notes.
The handout represents one accurate source of
information. Having a good release, however, does
not guarantee against a reporter sensationalizing a
story on a public meeting or hearing.
128 PRESS
Barry Lawson Associates, Inc.
-------
Don't quarrel with a reporter who prints or
broadcasts an error. Instead, try for a follow-up
story, an editorial, or a letter to the editor. Be
positive. Use the situation to educate the reporter
to get a more accurate story the next time.
If the agency/organization has access to a public
participation or public information specialist,
consult this person before making contact with the
media. When the agency has contact with the press,
inform the public affairs specialist of the contact
and what was said.
Consult agency public affairs staff throughout the
life of a project -- you may be working on a
newsworthy project that could benefit from more
public exposure and not even know it.
Recognize the time constraints of the print and
broadcast news industry, and meet the deadlines of
various news outlets as a way of helping reporters
and your program. Each news source — radio,
television, weekly newspapers, and daily newspapers
— has different deadlines for production and
printing.
Don't create controversy, but don't avoid it either.
Take advantage of the heightened public visibility
of a controversy by focusing attention on the facts
and issues. Do not respond defensively.
Controversy builds public interest and gets front
page newspaper space and prime time broadcast
airing. Turn controversy and negativism into
something positive. Focus on the issues.
Never give quick off-the-cuff answers to reporters
when they call. Tell the reporter you have to look
through some material before answering his question,
and promise to return the call within 10 to 15
minutes. Think through your answers, talk with
others, and then return the call. Never give a "no
comment" answer. Answer questions from written
notes, and keep the notes for your record. For the
broadcast industry, answer in short,
written-to-be-spoken sentences.
Barry Lawson Associates, Inc.
PRESS 129
-------
II. What factors should be considered when preparing press
releases?
A. News releases are the most common, although by no
means exclusive, means of communicating information
to the press. Releases can be used to announce new
programs; to focus the public's attention on changes
in a department's rules or regulations; to comment
on a local or national news development; to announce
the issuance of a new or extended grant; to announce
a public meeting; or to highlight a speech or
test imony.
B. News releases should follow an "inverted pyramid"
style, in which the most important and newsworthy
elements appear in the first paragraph, with
additional information included in descending order
of significance.
C. The first paragraph should include the "who, what,
where, when, and why." This establishes the news
value of the story.
D. When selecting the lead sentence or first paragraph,
try to determine the most important or newsworthy
issue to bring to the immediate attention of the
reporter and the public.
E. If the release covers a speech, include a good
selection of COMPLETE QUOTES for the reporter who
does not have the time to read a complete speech.
Don't paraphrase a speech, as reporters are less
likely to use an excerpt than an actual quote in
their stories. Either include a copy of a full
speech along with your release, or let reporters
know where they can quickly get a copy.
F. Reporters often prefer to transfer information or
ideas through attribution or direct quotes. This
transfers the responsibility for credibility or
correctness on to the person being quoted. When
preparing press releases, state the most important
information in quotes attributed to a respected and
qualified person. For example, you might write,
"According to EPA Administrator Mary Doe ' ...,'
Doe added, 1 ...' ." Reserve the use of the third
person style for providing back-up information.
G. Where possible, supply a local angle when mailing
many releases over a large region. Lists of place
names, or local participants, help to provide a
local perspective important to media outlets.
130 PRESS
Barry Lawson Associates, Inc.
-------
Another way to achieve this goal is to prepare
"fill-in-the-blanks" releases to be completed and
distributed by advisory group members in their own
localities.
H. The heading on the top of a release should include:
o issuing agency and address
® release time (For Immediate Release or
Please Observe Embargo Until), and date
0 name and phone number of a contact person to
reach for further information
You can use agency letterhead, adding the heading
information, or design special news release
letterhead. (See example).
I. A news relese should be considered in large part a
fact sheet conveying to reporters the information
necessary to write an intelligent story. Anticipate
reporters' basic questions about programs or policy,
and include answers within the release.
J. A news release should be fairly brief, generally
limited to no more than two double-spaced pages. A
typical in-desk .at a daily newspaper will receive
12-18 inches of press releases a day. If a release
is too long, it simply will not be read. At the
same time, the release must not be so sketchy that a
reporter must dig for essential facts.
K. Press releases should be written in clear, concise,
and understandable language. Do not use
professional jargon or terminology that few
reporters or citizens understand.
L. Use press releases selectively. Editors who receive
many trivial releases from an agency will begin to
ignore everything with an agency's name and address
on it.
M. Effective press coverage will only be given to
events considered "newsworthy." Address news values
in press releases, such as drama, conflict,
controversy, immediacy, nearness, timeliness, and
pocket book and health impacts. Link messages to
the interests of readers and potential impacts they
can understand. Select press stories carefully.
N. Distribute the press release widely to broadcast and
print reporters. Include weekly newspapers and
"shoppers," and the newsletters of interested
organizations, on the distribution list.
Barry Lawson Associates, Inc.
PRESS 131
-------
0. Releases of more than local interest should he
distributed to the wire services, AP and UPI.
Newspapers and broadcasters will often pick up wire
service rewrites.
P. If the resources exist, write a different release
for the broadcast media than the print media. Radio
announcers in particular may not have the time to
edit a release in newspaper style for the more
conversational radio style. Broadcast releases
should have short sentences, active verbs, and be
concise. The copy should not run longer than 45
seconds when read aloud, about 90 words.
Q. Call interested reporters and inform them of the
release and let them know they can call you if they
have further questions. 1
R. Remember that television is a visual medium.
Consider providing a color slide to television
stations for use "on camera" while a story is being
reported. When possible provide photo opportunities
for television reporters.
III. What are some additional tools for working with the
med ia?
A. A PRESS ADVISORY informs the press of an upcoming
event for which the agency would like coverage
(i.e., a field trip, a speech, or a public hearing).
It allows assignment editors and reporters to
schedule major events.
B. A PRESS CONFERENCE provides an opportunity for
reporters to question officials on significant or
potentially controversial developments. Always
provide a handout containing basic information. In
general, provide photo opportunities. Reporters
will not attend a press conference unless the news
or issue warrants it. Issuing a press release will
suffice in most cases.
C. A PUBLIC SERVICE ANNOUNCEMENT (PSA) is a brief
statement on radio or television, broadcast free of
charge, and used to publicize programs or events.
They are generally limited to 10-30 seconds. They
can be pre-recorded or provided as written copy for
the station's announcer to read. Frequently,
stations will provide free production assistance and
studio time.
132 PRESS
Barry Lawson Associates, Inc.
-------
D. A CALENDAR INSERTION is a short notice sent to a
weekly or daily newspaper to notify the public of an
upcoming event. They appear in calendar sections of
newspapers, and are used for announcing an event on
a particular date.
E. An EDITORIAL BOARD BRIEFING is an informational
meeting with senior editors of a newspaper, or radio
or television station, for the purpose of answering
questions and educating the editors about a project
or agency. Either party may request the meeting.
Use this technique sparingly.
F. A LETTER TO THE EDITOR is a written and signed
correspondence for publication on the "op-ed" page
of a newspaper. It is particularly useful for
explaining and defending a point of view, a
recommendation, or a conclusion. Some letters to
the editor are accepted as signed guest editorials.
G. A BROADCAST EDITORIAL RESPONSE is the device radio
and television stations use to provide equal
broadcast time for people and organizations who
disagree with a broadcast editorial. Generally,
30-60 seconds of on-air response time is provided
during the evening news.
OTHER THINGS TO CONSIDER
IV. What rules govern media deadlines?
A. Morning newspapers generally cover news events
occurring between 9:00 am and 9:00 pm. Major
stories may be filed as late as midnight. Morning
newspapers typically come off the press before 5:00
A.M.
B. Evening newspapers have deadlines of approximately
10:00 am for same day editions, which are usually
published about 1:30 pm.
C. The final hours before the daily newspaper is
printed are hectic. Don't try to call an editor to
have a talk or to arrange a visit during these busy
hours. Wait for a quieter hour; early afteroon is
best for both morning and evening newspapers.
Barry Lawson Associates, Inc.
PRESS 133
-------
D. Many Sunday newspapers have a deadline of Saturday
noon. (Hence, a 2:00 pm Saturday speech should be
provided to the press in advance.) Special Sunday
newspaper sections may have deadlines of Wednesday
or Thursday.
E. The largest audience for television news occurs at
5:00/6:00 pm. While important, the 10:00/11:00 pm
news is second to the 5:00/6:00 pm news in viewer
audience. Television stations require a minimum of
two hours to transport, develop, edit, and write the
copy for a piece of television news film. Schedule
events to fit within the technical limitation of the
industry.
Some stations use mini-cams, electronic cameras that
use micro-wave systems to send film images directly
to a station. Even with this technology, stations
need to edit color video tape and prepare the
written dialogue.
Only for exceptional stories will TV news directors
hasten the process.
F. Radio receives its largest audience of the day
during the morning (7:00-9:00 am) and evening
(4:00-6:00 pm) "drive" times. These are the best
hours of the day to appear on radio news programs.
Schedule speeches, events, and interviews to place
the agency on the hourly news during the drive time
periods of the day. For example, a 1:00 pm
call/interview may put you on the 3:00 or 4:00 pm
news, whereas a 4:00 pm event will put you on the
5:00 or 6:00 o'clock newscast.
G. Many weekly newspapers are published on Wednesday or
Thursday, with a Monday mid-day deadline for receipt
of copy. Check with the local weekly newspaper for
exact deadlines. When mailing press releases, leave
plenty of time for the release to get to the weekly
before the deadline. For releases without a timed
deadline, mail the release 10 days in advance.
H. Pay attention to local and regional newsflows for
periods of time when the agency can best expect good
coverage. News flow refers to the pacing of news
events in an area; sometimes much is happening and
at other times little occurs. For example,
Saturdays and Sundays are relatively quiet news
days. Stories which might appear on Page 10 on a
busy day might get front page play on a Sunday or
Monday morning newspaper.
134 Press
Barry Lawson Associates, Inc.
-------
V. Can the media help meet public participation goals?
A. The mass media may stimulate interest, hut they do
not provide sufficient depth of information to allow
for informed and intelligent comments and criticisms
at public hearings and meetings. Feature length
stories, and publications such as report summaries
and newsletters, are more effective. People with an
interest in a project will read well-written and
designed publications.
B. The mass media play a useful reinforcing supporting,
and legitimizing role for participants and a
program. Active participants will often pay careful
attention to the way the news media cover their
activities.
However, people are selective about their reading,
viewing, and listening. There is no guarantee that
people will pay attention to print and broadcast
messages.
C. Public service announcements do little to attract
people to public meetings, but may serve to remind
someone who had planned to attend the meeting, (see
public meeting chapter for techniques to increase
attendance).
D. Broadcast news programs deal with timely news, but
not necessarily with general public affairs or
issues in depth.
E. Radio and television talk programs, interview
programs, and other public affairs programming can
be effective in raising public awareness of a
process and events. To be effective, however,
locally oriented programming must be used in-depth
by an agency. A single program or two will not
reach enough people; using every available news and
public affairs program within a limited time period
may reach many interested people.
F. While Americans turn to broadcast media for news,
they turn to newspapers and magazines for an
in-depth understanding of issues and for editorial
comment. Also, while the broadcast media serve a
regional market, most newspapers reach a local
market.
G. The use of purchased advertising space or time to
announce major public events should be considered as
a communications tool. People are used to receiving
Barry Lawson Associates, Inc.
PRESS 135
-------
messages through advertising. Under certain
circumstances, this medium is useful for public
participation and information programs.
EVALUATION
VI. What are some questions to ask when evaluating a
program of working with the press?
A. Has the agency or organization clearly identified
those issues it wishes to present to the public
through the mass media?
B. Does the agency have a list of personal contacts in
the media to call upon at appropriate times? Do
reporters occasionally call the agency seeking
information?
C. Does the agency find that its press releases are
picked up by weekly and daily newspapers, and by
radio and television news programs? Does the agency
have a clipping service or some other way to monitor
the success of its press programs?
D. In its public participation work plan, does the use
of the media represent a reasonable proportion of
proposed public information activities?
E. Has the agency aggressively pursued broadcast
opportunities such as interview programs, call-in
radio programs, television news features, and other
radio and television program types?
F. Does the press regularly attend agency events such
as meetings, press conferences, and field trips?
G. Has the press fairly represented the points of view
of the agency in its stories and reports? Do
reporters seem knowledgable about the major
questions and issues of the project?
136 Press
Barry Lawson Associates, Inc.
-------
news
^GENqy
s°URce:
name
United States
Environmental Protection
Agency
Region I
Office of
Public Awareness
John F Kennedy Federal Building
Boston. Massachusetts 02203
<8?EPA
HEWS REMISE
LETTERHEAD
Environmental
News
Release
FOR IMMEDIATE RELEASE AUGUST 28, 1980 Elizabeth M. Strock
(617)223-4704
ftjams Urges Creativity in Water Pollution Control
The environmental movement is entering a period of economic
austerity and environmental administrators should be
prepared to tighten their belts, according to EPA Regional
Administrator William R. Adams, Jr. Mr. Adams made his
remarks before the annual meeting of the Association of
State and Interstate Water Pollution Control Administrators
in Burlington, VT.
Mr. Adams said that government at all levels is feeling the
pinch of inflation and tight money and that we cannot really
expect to see any increases in funding to state water
pollution control programs. In addition, Mr. Adams said,
"There is a very strong anti-regulatory atmosphere on
Capitol Hill. In this election year, I believe that elected
officials are going to be very sensitive to that feeling and
are not going to be inclined to authorize increased
spending. We as environmental administrators are going to
be the subjects of increasing Congressional scrutiny and we
are going to have to tighten our own belts before they are
tightened for us."
Water programs are perhaps the oldest and largest of the
environmental programs. For fiscal year 1981, the
Environmental Protection Agency nationally has $240 million
and 3,600 positions for water programs. The states will
(continued)
-------
E
£P
ff
a-
§
cn
c
O
3
QTQ
C/)
k
C/5
-------
Barry Lawson Associates, Inc.
190 High Street / Boston MA 02110
-------
HOW TO MAKE BETTER PRESENTATIONS AT MEETINGS AND HEARINGS
BACKGROUND AND SUMMARY
Public presentations play a major role in public
participation programs. Presentations afford opportunities to
communicate in person, educate, and persuade. Many people learn
best by listening and viewing, and then asking questions.
Recognizing some simple rules for making presentations and paying
attention to style and process has much bearing on effectiveness.
The impact of presentations is, in part, related to the human
interaction involved. Making a strong impression, and passing on
valuable information, can help to reach many planning and
participation goals. The guidelines in this chapter apply in
small, medium, and large communities.
Information presented must be new and useful. Don't just
repeat information available in printed materials. Assume the
attendee has already read handouts and newsletters. Highlight
essential information presented in printed materials, and expand
upon it. Establish as much human contact as possible.
Greet friends and acquaintences in the audience. Don't speak
down to the audience; speak directly to them. Use several
different elements in the course of a large meeting, such as a
formal speech, time for questions and answers and possibly
interactive exercises. Use graphics and audio-visual aids to
enhance communication and education. Graphic materials can help
the audience conceptualize and understand complex material. Make
the room work for you by controlling such environmental factors
as lighting, seating, and temperature. Recognize always that you
are involved in direct human communication, that you have a
captive audience with members present to listen and talk, and
that the very nature of public speaking gives the speaker power
and control. Anticipate the audience's needs and potential
questions. Above all else, plan your presentation. Organize
your thoughts. Know what you will say.
The keys to effective presentations are innovation,
illustration, and demonstration. Public speaking is not unlike
theater — it is a process where communication of information and
ideas is paramount. People will remember unusual presentations.
Help them to relate information to aspects of their lives.
Visualization helps to accomplish this goal. Finally, be
credible, honest, and open.
Barry Lawson Associates, Inc.
190 High Sired ' Boston MA 02110
PRESENTATIONS 13 7
-------
THE ESSENTIALS
I. What are some of the factors to consider when preparing
and giving a speech?
A. Plan your speech. At a minimum, prepare an outline
of goals, major issues to be discussed, and
information to be presented to support main themes.
Consider the needs and desires of the audience as
well as the needs of the agency or grantee.
Evaluate the needs, goals, and starting perspectives
of the audience, and let this analysis influence the
form of information presented. Consider such things
as whether audiences are likely to be friendly or
unfriendly, lay or technical in their background,
and whether they want only to listen or to respond
and contribute.
B. Work from an outline or prepare a full speech based
on an outline. Writing out a speech gives many
people more confidence and i.s one way of assuring
that all points are covered.
1. Personal style is the most important
determinant of how materials are organized for
a presentation. Some people like to work from
a written outline, some from 3" X 5" cards,
some from a full written text, some from
slides, and some from flip charts or briefing
charts.
2. Feel comfortable and familiar with your chosen
medium of organization. Use it as a support
when presenting.
C. When planning your presentation, consider an "old
chestnut" of public speaking -- "Tell 'em what your
going to.tell them, tell 'em, and tell 'em what you
told 'em."
1. This recommendation is not meant to be
deroga tory.
2. It recognizes the importance of reinforcement
in adult learning. It completes the
communication for the listener. For people who
arrived during the middle of a presentation, it
informs them of what they missed.
138 PRESENTATIONS
Barry Lawson Associates, Inc.
-------
3. It recognizes the importance of organizing,
highlighting, and summarizing main points for
the audience. It serves to clarify main themes
for the audience at the end of the
presentation.
D. Recognize that in most settings — even among
hostile audiences -- the public speaker is perceived
as a credible and respected source of information
and ideas. The presenter inherently has power based
upon the role of primary speaker and because of
control over information and other resources.
1. The assumed credibility can be lost if the
presenter speaks without knowledge or conveys
disorganization. Good preparation prevents
this from occurring.
2. Project an air of confidence. The audience
naturally assumes that the speaker is confident
and competent. Let the perception continue
even if you feel nervous.
E. Draw the audience in. Don't just speak "at" the
audience, but ask them rhetorical questions and make
thought-provoking statements that hold their
interest.
One way to draw out the audience is to find out who
they are -- consider using an icebreaker or warm-up
exercise based upon asking the audience questions
that will reveal their backgrounds, interests, and
perceptions. The answers to the questions help to
build a group profile. If the goals of the meeting
call for involving the public, this technique begins
active participation at the beginning of the
meeting.
F. Use short sentences when you speak. Avoid
professional jargon and complex terms, if possible.
Define all concepts and words not easily understood
by lay audiences. Avoid creating a "we-they"
atti tude.
1. Planning, preparation, and careful choice of
words can avoid the perception of speaking down
to an audience.
No one wants to turn off an audience. It can
be an inadvertent result of speaking to an
audience as if they had a knowledge of
technical, governmental, or other professional
terms.
PRESENTATIONS 139
Barry Lawson Associates, Inc.
-------
G. Use illustrations and examples from the state or
locale to help communicate and bridge the gap from
technical information to local understanding.
People are most interested in the places and people
they know. Using locally based slides or graphics
helps local people to better understand issues and
solutions relevant to them.
H. Use audio-visual (A-V) and other graphic materials
to help you communicate. People learn better and
retain more of what they learn if both their eyes
and ears are used. The chapter on audio-visual
materials provides more information on the use and
effectiveness of A-V.
I. Practice your speech before others or alone using a
video or audio tape recorder. If other people are
involved, have them evaluate the speech for length,
logic, clarity, interest level generated, rate of
delivery, voice level, conversational pattern, and
usefulness of graphic aids.
J. Calculate how long your presentation will take.
Make sure it will fit within the allotted time.
Make modifications as necessary.
1. A presentation represents an implied contract
beyond a speaker and an audience. Once a
schedule is set in an agenda or meeting
announcement, the schedule should be met.
2. Consider starting a speech or program by saying
something like, "I will speak on "X" subject
for "X" amount of time. Then I will take
questions." This type of statement establishes
ground rules and expectations for the audience.
K. When giving the speech, vary the pitch, speed, and
volume of your voice. Enunciate clearly.
1. As in acting, varying the sound and pitch of
the human voice helps to hold the audience's
attention and interest.
2. A droning monotone lulls the audience and
rarely excites them. Do not feel inhibited to
use the full range of your voice. A theatrical
approach can help communication and learning.
L. Nervousness is a common problem among public
speakers. Some speakers feel more relaxed if they
take three deep breaths before starting. Others
140 PRESENTATIONS
Barry Lawson Associates, Inc.
-------
hold on to the sides of the podium for comfort and
stability. Find a technique that works for you.
Start by talking to just one "friendly" face in the
audience, as if you were having a personal or
professional conversation. As you progress in your
speech, let your eyes move to other members of the
audience. Find two or three people in the audience
to "talk to" and move your eyes from person to
person. Thi;nk about public speaking as many
one-to-one conversations occurring at once, rather
than as one person speaking to a hundred people.
Some people have found adult education or college
courses in public speaking helpful. Others have
found commercial courses like the Dale Carnegie
Institute and Toastmasters the best way to gain
public speaking practice and to increase confidence.
Consider them.
M. Dress and appearance may have a bearing on how a
speaker is received by an audience. Feel
comfortable in your dress. Make it neat, but not
flashy or conspicious. Clothing should not distract
the audience. In general, business-like attire is
the least conspicious.
Recognize the importance of non-verbal communication
as stated through posture, clothing, facial
movements, and body movements. The chapter on
conflict resolution contains information on
non-verbal communication.
OTHER THINGS TO CONSIDER
II. What are some of the answers to common questions raised
by EPA employees, grantees, and others concerning
presentations?
A. It is not unusual to lose track of a thought, or to
blank out mentally, while speaking in public. If
this happens to you, consider using flip chart
outlines, or a slide outline, to remind you of the
major points you wish to make. If you use a paper
outline or 3" x 5" cards, place a mark on the parts
of the outline completed, or place the cards face
down. It will be easier to find your place if you
do lose your train of thought.
PRESENTATIONS 141
Barry Lawson Associates, Inc.
-------
B. Should you inadvertantly skip a piece or block of
information in a presentation, just continue with
the presentation if the information is not crucial.
No one other than you will know that something has
been left out.
1. Try not to digress in your speech as this may
prove confusing to the audience.
2-. If the piece of information is important,
weave the information into the current topic
of your presentation.
C. Do not wait to prepare your speech while on your way
to a meeting site. Plan ahead. You cannot do your
best at presenting or persuading by "winging it."
D. If you think the audience of a presentation is
likely to be angry or hostile, consider going to the
meeting early to talk to several individuals about
their fears and concerns. Present this information
to the group in your introduction. Recognizing and
acknowledging their fears can go a long way toward
showing that you are listening and sensitive to
their needs.
E. If you are asked a question and do not know the
answer, don't answer it. Be honest; don't make up
an answer. You risk losing credibility and respect
by giving a false or partial answer. State that you
don't know the answer/ but promise the group that
you will get back to them by a certain day with an
answer.
F. If you have run out of time in answering questions
at the end of a presentation, consider pointing out
and introducing key staff people, and tell the
audience they will be available to answer questions
or accept comments for a half hour after the
meeting. Stick to the closing time announced at the
beginning of the meeting or presentation.
When dealing with hecklers or troublesome people in
the audience, remember that you have the power and
control. Don't lose it. The public meeting section
contains some recommendations on how to deal with
troublesome situations at meetings and
presentations.
14 2 PRESENTATIONS
Barry Lawsort Associates, Inc.
-------
H. If you have handouts, don't let them become a
distraction during a presentation. They should
provide reinforcement following an address.
Consider giving them out after the presentation,
unless the audience will use them during the
presentation or will have an opportunity to review
them in advance of the presentation.
I. If you use audio-visual products, practice working
with the material and hardware to get the timing
down tight.
III. How are graphics useful in increasing the effectiveness
of presentations?
A. Graphics are used to visualize ideas and concepts.
They help people to understand whet you're saying by
adding visual dimensions to your words. To many
people, the combination of visual and oral
information makes for easier learning.
B. Use local photographs and slides when discussing
general problems and issues. While a general
problem concerning water quality, for example, may
elude someone, showing a polluted local stream can
bring the issue home.
C. Use charts and graphs to support the presentation of
numerical information.
D. Develop sketches and drawings to convey various
designs and plans.
E. Use local maps to show the location of projects, and
to convey information on land use and character.
F. Line drawings and cartoons are useful for making
points not easily displayed in another graphic form.
G. When preparing graphics, make sure they are not too
crowded in detail. Do not over-use color. See that
line detail, letters, and symbols are bold enough to
be seen from the back of a room.
H. Practice presenting the full program using graphic
materials so you are familiar with their use and
order.
I. Consider giving participants standard paper size
copies of various graphic aids used in your
presentation. They will be able to write on the
paper copies, and have them for future reference.
PRESENTATIONS 143
Barry Lowson Associates, Inc.
-------
J. Mix different graphic types in a single
presentation: For example, you might want to use
slides, slide tape, overhead projections, or films,
for the major portion of a presentation. Once the
lights are turned on, you might want to refer to
maps which the audience can then peruse after the
formal part of a meeting. Also consider placing
materials for display on large mounted display
boards. The combination of media performance
followed by a live presentation works particularly
well.
K. Be innovative. For example, hold up gallon jars of
different colored waters, or pass low flow water
conservation devices among the audience. These
"involving" techniques all help to communicate,
inform, and visualize.
NOTE: See the chapter on audio-visual and visual
aid products for more information.
IV. How does the seating arrangement affect the potential
outcome of a meeting?
A. Meeting arrangements facilitate the interaction and
flow of information in a room. Formal public
meetings have the goal of one-way or two-way
communication. Informal meetings often have the
goal of complex communication where each of the
participants communicates with one another. Seating
arrangements can control the type of communication
poss ible.
B. For formal meetings, a theater or classroom
arrangement facilitiates one-way or two-way
communication. In this arrangement, the audience
faces the speakers, who are located in the front of
the room. The power to control both content and
process is held by the people running the meeting.
C. For small discussion groups, seating members at a
round table facilitates the most interaction. No
power relationships exist based on seating location,
as all seats hold the same vlaue. Next in order of
preference is a square table. For larger groups,
putting several rectangular tables together to make
a large square works well. Communication will occur
both across the table and from side-to-side. Plan
on two or three feet per participant sitting at a
table when you plan your meeting space.
144 PRESENTATIONS
Barry Lowson Associates, Inc.
-------
D.
Seating arrangements should be based on the maximum
number of expected participants.
E. For small groups, group dynamics specialists have
found that in groups of 5-"?, people will generally
speak to one another; in groups of 8-12, "quiet"
participants generally only talk to the group
leaders; and in large discussion groups of more than
12 people, 5-7 people will tend to dominate the
group.
EVALUATION
V. What are some questions to ask when evaluating
presentations?
A. How was the presentation received by the audience?
Did it meet its intended goal"5
B. Did the presentation meet the needs of the audience
as well as of the agency or grantee?
C. Did the presentation include a variety of formats,
or audio-visual or visual aids to hold the attention
of the audience, and increase the retention of
information?
D. Did the presenters practice their part of the
program in advance?
E. Is there a need for training in presentation and
public speaking skills for agency or grantee staff?
F. Were public participation specialists consulted in
the preparation of materials?
G. Was the presentation previewed and critiqued by
non-staff people such as an advisory group or other
interested citizens?
H. Was the presentation consistent with past
presentations in concept, information and goals?
Will it be possible to build upon the presentation
for future activities?
I. Was the presentation evaluated by the audience? If
not, why not? If so, what did the evaluations
reveal that might suggest improvements for future
presentations?
PRESENTATIONS 145
Barry Lawson Associates, Inc.
-------
J. Was the person who gave the presentation the proper
person to do it? Was the person knowledgable?
Respected? Known to the audience?
146 PRESENTATIONS
Barry Lawson Associates, Inc.
-------
How and When to Use Audio-Visual (A-V) and Visual Aid Products
Barry Lawsori Associates, Inc.
l(JO hluih Street - I3osto>\ MA 02} 10
-------
HOW AND WHEN TO USE AUDIO-VISUAL (^-V) AND VISUAL AID PRODUCTS
BACKGROUND AND SUMMARY
Audio-visual and visual aids help to create mental pictures
of products or events, thereby reinforcing learning and improving
the retention of information. They improve understanding by
helping the audience to conceptualize problems, issues, or
developments. Visual products improve presentations by
increasing audience interest and recall. Audio-visual products
in general, and film in particular, are highly persuasive
communication devices. They have a place in small and large
commun i t i es.
Audio-visuals and visual aids include a wide variety of
communication products including: slide programs, slide-tape
programs, overhead projections, movies, flip charts, video tapes,
video cartridges, and video discs. Each element of an
audio-visual product -- a single slide or a page of a flip chart
presentation, for example -- must be simple and contain only one
message. Placing more than one message on a single image
confuses the audience and diminishes the potential impact of
visual media.
For all A-V products, a thorough analysis of the
agency/program goal -- what you want to say -- should precede
production. Prepare a detailed outline of the desired content of
a given product. Then begin to collect the images and elements
necessary in the program. Freehand sketches, color images from
magazines, annual reports, and other glossy publications, can
yield high quality but inexpensive material for slide programs,
video programs, and films. Audio-visual products should tell a
complete story and highlight the most important themes or issues.
While A-V materials can be expensive, many shortcuts are
available to produce high quality but low budget programs. This
is especially important for small communities or programs with
low budgets.
THE ESSENTIALS
I. Why should audio-visual products and visual aids be
used in public presentations?
A. Visual aids and audio-visual products improve impact,
interest, and the retention of information and ideas.
1. In many studies, experimental psychologists and
educators have found that retention of
information three days after a meeting or other
event is six times greater when information is
presented by visual and oral means than when to
information is presented by the spoken word
alone.
AUDIO-VISUAL 147
Barry Lawson Associates, Inc.
190 High Strict ' Boston MA 02110
-------
The studies suggest that three days after an
event, people retain 10%
an oral presentation,
presentation, and ^5%
presentation.
of what they heard from
35% from a visual
from visual and oral
Memory Improvement Using A-V
VISUAL AND ORAL
65%
RETENTION OF
INFORMATION
VISUAL
35%
B. Studies by educational researchers suggest that
approximately 83% of human learning occurs visually,
and the remaining 17% through the other senses -- 11%
through hearing, 3.5% through smell, 1% through
taste, and 1.5% through touch.
R3; VT^IIAL
148 AUDIO-VISUAL
Barry Lawson Associates, Inc.
-------
II. What are some common audio-visual techniques?
A. Audio-visual products fall into one of two categories
-- simple, single image media, or more complex
multiple image media or "images in motion."
1. The simple, single image media cover those
technologies that rely upon static images, and
include overhead transparencies, 35mm slides,
35mm film strips, 35mm slide tape programs, and
flip charts.
2. Multiple image media include films,
film-o-graphs, video tapes, video cartridges,
and video discs.
B. Each A-V technology, like all public participation
techniques, must be evaluated on the basis of
agency capabilities and budgets, the agency goals
in the overall public paticipation program, and the
intended audiences.
The availability and cost of production facilities,
equipment, means of distribution and duplication, and
available staff expertise, all affect the budget.
III. What are some specific audio-visual techniques, and what
are their relative advantages and disadvantages?
A. 35mm slides and slide programs
1. 35mm slide programs are a medium well known to
most audiences. They can project a professional
image for the agency, have great impact on an
audience, are flexible, relatively inexpensive
to produce, and if necessary, can be produced
quickly.
2. Slides, like photographs, have high credibility
with audiences. Viewers looking at photographic
slides taken in the field often feel that seeing
is believing — hence the power of slides. In
addition, slide programs are not limited to
field photographs. The best slide programs
often mix field photographs with slides of
charts, graphs, and other supporting images.
3. The only hardware required is a slide projector
and a screen. Slide programs are easy to
package in slide trays. Changes in slides or in
AUDIO-VISUAL 149
Barry Lawson Associates, Inc.
-------
their sequencing can be done rapidly to meet
changing conditions or audiences. Note: See
Section V for a description of low-cost slide
show production.
B. Slide-Tape Programs
1. Slide-tape programs are self contained. They
have a prerecorded sound track that is
coordinated with the slides through the use of
an electronic sychronizer. The recording tape
includes electronic signals that activate a
connected slide projector so that image and
sound are perfectly coordinated.
2. Slide-tape programs are like movies -- they can
take the place of a speaker, or augment a live
presentation. They can be used - in rear view
projection devices for continuous showings at
fairs and workshops.
3. They do not have the full impact of a film, but
for a fraction of the price of producing a
movie, slide-tape programs can meet many
similiar program needs. They have the advantage
over film of flexibility -- slides can be
changed quickly to meet the needs of specific
audiences. The sound track remains the same, or
several sound tracks are produced, each targeted
to a specific audience or area.
4. They can be produced "in-house," or by a private
firm (listed in the Yellow Pages under "Audio-
Visual Production Services." If produced by the
agency, a master tape must be prepared in a
recording studio. The tape is based upon a
written script, and can contain any mix of audio
material, including interviews, sound effects,
music, and a narrator's voice. Slides and
script must be coordinated.
C. Overhead Transparencies:
1. Overhead transparencies can be made quickly,
simply, and inexpensively. A transparency can
be made in minutes from camera-ready art using a
standard office paper copier. The standard
transparency size is 8 1/2" x 11". The only
piece of hardware required is an overhead
transparency projector.
a. Most manufacturers of paper copiers offer
clear and colored acetate sheets that run
through copying machines like paper, but
15 0 AUDIO-VISUAL
Barry Lawson Associates, Inc.
-------
transfer a black image onto acetate for use
as overhead transparencies. Any camera
ready image -- words, illustrations,
charts, and diagrams -- will transfer to
the plastic material.
h. Colored gels can be added to any base color
acetate to provide diversity and
highlighting. Simply cut a piece of
colored acetate gel, available at art
stores, to the shape and dimensions needed
to highlight a particular part of a
transparency. The second (or third) color
is taped to the edges of the transparency
with clear tape, or glued over an area with
clear invisible adhesive such as spray
adhesive.
c. Permanent ink color marker pens are
available for use in hand coloring parts of
an overhead transparency.
2. Overhead projections have many advantages
they are easy and quick to prepare, versatile,
flexible, and relatively inexpensive to produce.
There are disadvantages as well. The projected
image size is sometimes too small to be seen
from the back of a large room. Often, the image
does not sit square on the screen, as the head
of the projector is tilted to increase the size
of the image. Some speakers can not easily
write on the transparency while it is on the
projector. Sometimes the projector head gets in
the audience's way. Some speakers feel captive
to the machine, because they must change each
transparency by hand.
3. Overhead transparencies can be developed during
a presentation by marking on acetate sheets with
water soluble or permanent transparency pens.
The same approach can be used to add information
to existing transparencies. In both cases, a
damp tissue can be used to wipe information off
a transparency that has been marked with water
soluble ink.
4. Opaque objects placed on a projected
transparency create a shadow or silhouette that
serves to highlight information. For example, a
rubberband on a transparency makes the
AUDIO-VISUAL 151
Barry Lawsort Associates, Inc.
-------
impression of words being circled; a swizzle
stick or other pointed object can be used as a
pointer or word highlighter; a straight piece of
wire can be used to underline key words or
phrases.
5. A 45 degree angle to the audience is the most
effective location for an overhead projector and
screen. This provides for the least obstructed
view. Ideally, the projector would sit on a
table lower than surrounding tables or platforms
which makes it less imposing.
6. Transparencies with too much information --
especially typed pages designed for a printed
piece and transferred to acetate -- are
confusing. Keep transparencies simple.
D. Film Strips
1. A film strip is a media product that contains
visual information on a continuous strip of
film. The information may be identical to that
of a slide program. They are constructed in a
manner similiar to slide programs. Unlike slide
programs which are easy to change and adapt to
local conditions, film strips cannot be easily
changed from their original form. They are easy
to carry around, and the user never has to worry
about images getting out of sequence, or of some
images appearing upside down. Film strips
require the use of a specially designed
projector, often available at local public
schools.
E. Flip Charts and Other Charts
1. Flip charts are large sheets of paper or
posterboard on which key words or graphics are
penned. They serve as visual aids during
presentations, provide information, and give
audiences something to look at other than the
speake r.
2. As in all audio-visual products, each sheet of
paper should contain one idea or theme.
152 AUDIO-VISUAL
Barry Lawson Associates, Inc.
-------
3. Words, charts, diagrams, and other symbols must
be penned in a large enough size to be seen by
people furthest from the speaker. See Section
VI for more information on this topic.
Fi lms
1. Film is considered the most powerful and
persuasive communications tool yet developed.
When audiences sit in a darkened room and watch
a moving image on a larger-than-life screen,
they are susceptible to direct and indirect
emotional appeals. People are often moved by
the combination of acting, dialogue, musical
sound track, visuals, and special effects. This
aspect of film making must be considered even if
the goal of an agency is to produce a balanced
documentary or informational film.
2. Film is expensive. Less expensive documentary
films done at a university film center will
often cost at least $1,000-2,000/minute, or
$30,000-60,000 for a half hour film. Movies
produced at a professional film production house
often cost much more -- $50, 000-100 ,000 for a
half-hour film.
3. Producing a movie takes expertise and experience
rarely available within a government agency. A
producer, director and writer are needed to
research, write, and plan the film; they are
supported by lighting, sound, camera and lab
technicians. (See Section IV for information on
managing A-V production.) Film is expensive
because of the large number of people involved
in every phase of film production, and the high
cost of film processing.
4. Films can be copied and shown in many places at
once. Often, films can be broadcast on local
television stations to increase outreach and
s
impact.
5. The content of films should not be timed to a
specific event or activity. Because of high
production costs, films should remain relevant
for a long period of time. Broad perspectives
should be emphasized, and supported with local
examples.
AUDIO-VISUAL 153
Barry Lawson Associates, Inc.
-------
Film-o-graphs
1. Film-o-graphs are films made from still images
such as photographs, slides, charts, and
original art work. Live motion sequences are
not included. The process of building a
film-o-graph is not appreciably different from
constructing a sophisticated slide program,
though the finished product is more
sophisticated and in the form of a 16mm film.
Rather than use a copy stand, an annimation
camera is used to individually photograph
images. Most l^mm movies contain 24 frames per
second of film. Six frames are needed to leave
a lasting impression in the mind (one-quarter of
a second). Hence individual images may be
photographed six-ten (^-10) times in a
film-o-graph. Individual images can be
dissolved into one another, or can be
photographed so as to create the effect of rapid
movement of one image to another. Film-o-graphs
can carry a sequenced sound track like a
traditional film; they can also be made without
sound tracks.
2. Their main advantage is low cost. Because the
entire film is made in a studio, the costs for
f i lm-o-graphs can be as low as one-quarter to
one-half that of a motion picture film. Fewer
people are needed in production, less raw film
is used, and production time schedules are
shorter.
3. Fi lm-o-graphs are a good second choice if the
agency can not afford a full fledged
documentary. Like film, a well made
film-o-graph has power, impact, longevity, and
high retention value.
H. Video Tape and Video Cassettes
1. Video tapes and cassettes represent different
versions of the same technology. Video tape is
an open reel of tape that electronically carries
both a picture and a sound track, while a video
cassette is no more than a convenient way to
package video tape for easier use. It is
comparable to audio tape cassettes.
2. Most commercial television programs are recorded
and broadcast on video tape. Videotaped
programs can be recorded and broadcast
154 AUDIO-VISUAL
— Barry Lawson Associates, Inc.
-------
immediately. Playback is through some form of
television set, from small home sets to large
commercial screens. Videotape can be edited.
3. Compared to film, videotape is an inexpensive
medium. The basic hardware consists of a
videotape camera, a videotape recorder/editing
deck, and a playback screen (a color or black
and white television set). Complete, light
weight portable black and white half-inch video
systems can be purchased for as low as
$1,500-2,500. Cassettes and reels of tape are
resuable; a sixty minute black and white
cartr.idge costs less than $25.00.
4. Videotape can play multiple roles in public
participation programs. The hardware is
versatile, and open to creative applications by
staff and public participants'. Some possible
uses include:
a. Create a visual record of an especially
important public meeting, workshop, or
advisory committee meeting for citizens and
officials unable to attend.
b. Prepare videotapes of site investigations
and other field activities for citizens and
officials unable to attend.
c. Use videotape as a training and learning
tool. agency representatives can practice
presentations before a video tape camera
and critique their own performances.
Actual presentations before the public can
be recorded for a similiar analysis and
evaluation after the event.
d. Provide videotape equipment to active
citizens, and encourage them to record
their questions and concerns in a visual
format.
5. Videotape equipment is easy to use. A single
button generally turns on the video/audio
recorder. The camera is focused like a home
movie camera, except that the image is viewed
through a small television screen (about 2" x
2") built into the camera's eyepiece.
Practicing and playing with the equipment is the
best way to overcome hesitancies about its use.
AUDIO-VISUAL 155
Barry Lawson Associates, Inc.
-------
Some citizens and officials feel uncomfortable
when they know they will be videotaped. For
some people, videotaping represents an invasion
of their privacy. Be sensitive to these
people's needs. Videotape can prove a useful
tool only so long as the staff and public do not
feel threatened by it.
I. Video Discs
1. Video discs represent the latest in audio-visual
technology. A video disc is the visual
equivalent of a phonograph record -- it looks
like a standard 33 1/3 rpm record. However,
here the comparison ends. The disc contains
pre-recorded television signals that contain an
audio and visual message. The disc is played
back through a video disc player that serves the
same function as a record player. Their ease
and convenience, relative low cost, and market
availability (as a result of a massive marketing
and sales effort by major manufacturers planned
for the early 1980's) will make them common
items in this decade.
a. Initially, video discs will only come pre-
recorded. Video disc players will be
available, but not recorders. The industry
claims that the production costs of video
discs, as well as the technological
advantage of having instant access to any
part of a 60 minute program, will make them
competitive with videotape.
b. As a pre-recorded medium, video discs could
be used by government agencies in training,
education, and career advancement programs.
They may also be used to train or educate
members of citizen advisory groups.
IV. How can an agency plan and manage non-agency production of
audio-visual and visual aid products?
A. Many times, an agency or grantee will contract for
audio-visual production from private firms. Because
of the creative and artistic nature of audio-visual
products, some managers have had difficulty getting
the product they had in mind -- they sometimes
receive the product that the producer or director had
in mind. Ways to minimize conflict, and receive the
desired product include:
156 AUDIO-VISUAL
Barry Lawson Associates, Inc.
-------
1. Clearly identify in a Request for Proposals
(RFP) or other written document the purpose of
the product, the intended audiences, how the
product will be used and by whom, time
schedules, and budget resources.
2. View audio-visual materials the firm has
produced in the past to make sure that the firm
has the artistic and technical capability to
perform the tasks outlined in the RFP.
3. Meet with the producers and directors the agency
would work with if the company were to receive
the contract to make sure that the agency
personnel working on the project can work
successfully with the audio-visual consultant.
4. Include artistic and creative parameters in the
qualifications the agency will use in choosing a
production house. Do not choose a consultant
based on price alone — make sure the firm has
the staff, equipment, and experience to produce
the product the agency has in mind.
5. In the RFP, request final editorial review at
each key planning and production stage -- after
the preparation of outlines, review of raw film
footage or slides, review of a draft program or
film, and review and critique of the proposed
final product. While this approach requires a
large investment of agency time in project
management, it is the only safe way to ensure
the agency is satisfied with -- and then uses —
the audio-visual products purchased.
OTHER THINGS TO CONSIDER
V. What are some techniques for producing inexpensive slide
programs? (Note: The following material details step-by-
step techniques for making slide programs. It is included
in this handbook so that small communities and
programs with low budgets will have the information
necessary to use this popular, inexpensive A-V
technique.)
A. Building slide programs "in-house" can be
accomplished speedily and at low cost. Turning to
professional slide and film production studios is
often very expensive.
AUDIO-VISUAL 157
Barry Lawson Associates, Inc.
-------
1. On field trips to project sites, agency staff
should consider taking photographs for future
use. Building a slide library containing
photographs of each stage of a project's
development and having slides of related
projects, provides a base from which to build a
slide program.
2. Catalog and categorize slides, and place a date,
location, and other relevant information on each
slide.
3. Any two dimensional graphic such- as color
photographs, diagrams, charts, and cartoons
clipped from magazines or other well printed
publications, report covers, original art work,
blue prints, and newspaper headlines can be
photocopied to make slides. Understanding how
to do this can save time and money.
a. The easiest camera to use for photo copying
is a single lens reflex camera (SLR),
because the user can see the exact
dimensions of the image to be photographed
through the viewfinder. Some range finder
earners can be used in photocopying, though
they require special hardware to be used,
such as copy stands with set leg lengths.
b. Several pieces of eguipment in addition to
a camera are also needed: (a) a copy stand
(or a very steady arm) to hold the camera
for the precise focusing required in photo
copying, (b) a source of light -- either
artificial light from photo flood bulbs or
a photography area with predictable amounts
of indirect sunlight. Many copy stands
come with attached lights. Artificial
lights should be used in pairs, and
directed at the copy at a 45 degree angle,
(c) A close-up lens system — a normal
5fl-55mm lens cannot focus close enough to
many printed materials to make slides.
Some type of special lens -- either an
auxiliary close-up filter or a macro lens
is needed. A macro lens is a lens designed
158 AUDIO-VISUAL
Barry Lawson Associates, Inc.
-------
for close-up photography. A less expensive
way to meet the same objective is with a
set of close-up filters. These filters
look like standard glass filters, but are
actually magnifying lenses for a camera.
They are sold in sets of three, with
additive powers of +1, +2, and +3. They
can be used individually or in any
combination up to + %. They cost less than
$20.00 a set. The other two close-up
options, bellows and rings, do not work
well for photocopying, (d) A cable release
-- a cable that trips the shutter without
moving the earners.
c. The camera is placed on a camera copy stand
or a tripod which can hold a camera in a
horizontal position. Indirect sunlight or
two artificial photoflood lights are
directed on a flat horizontal surface. An
18% grey board (available at camera stores,
this board reflects average light under any
conditions) is used to take light readings.
In the case of an SLR with a built-in light
meter, take a light reading directly off
the 18% grey card sitting in the horizontal
area where materials are to be photocopied.
This card is used because most light meters
would be deceived by the brightness of
light reflecting off white paper or
darkness of readings taken off dark paper.
Once the f. stop and speed are set, focus
on each two-dimensional item and begin
shooting one item after another until
complete. If material to be photocopied is
grouped by size, constant refocusing and
changing close-up lenses is minimized.
4. Films that can be " E-
-------
3. Prepare a written outline for the slide show and
accompanying sound track, lecture, or speech.
The outline should identify the messages and
themes you wish to communicate to intended
aud iences.
a. Many professional media companies produce a
"story board," with copy on one side of a
page and a freehand drawing of the slide
content on the other side of a page. This
creates a visual, as well as written out-
line.
b. The process of preparing an outline may
indicate field photographic needs, as well
as artistic and other materials needed to
produce the show.
c. If possible, work on a large surface light
table, where an entire slide program can be
viewed at once. One technique is to group
slides according to major themes in the
outline, and select slides from one subject
category at a time. This is equivalent to
building a book one chapter at a time. It
allows the producer to construct a program
without becoming overwhelmed with too many
slides at once.
4. Once a slide program is complete, pretest it
with a group of lay people who can critique it
and make recommendations to improve the amount
and quality of information presented. Make
modifications before taking the program public.
5. If the slide program is self-contained
(slide-tape), make sure all members of the staff
who might use it preview the program. It might
be helpful to prepare a series of questions for
speakers to use following the slide program to
encourage discussion. For slide programs that
require a spoken narrative or speech, have
speakers practice their presentation.
C. Consider using a dissolve unit for smoother
continuity and greater sophistication. A dissolve
unit coordinates slide projection from two slide
projectors that are directed at the same spot on the
16 0 AUDIO-VISUAL
Barry Lawson Associates, Inc.
-------
screen. Rather than have a moment of darkness
between slides as with a single projector, a dissolve
unit lowers the light on one projector while
increasing it on the other. The audience watches
images "roll over" one another smoothly, rather than
the choppy motion of a single projector. An image is
always on the screen when a dissolve unit is in use.
1. The speaker has a single slide change button;
the dissolve unit transfers power from one
projector to another automatically.
2. To use a dissolve unit, a slide program is
prepared. Number the slides and put the odd
numbered slides in one tray, and even numbered
in the other.
3. Many slide projector manufacturers also make
dissolve units. Two projectors and a compatible
dissolve unit are needed.
What are some of the small things that make a difference
when producing audio-visual and visual aids?
A. According to one major study on visual aids, poor
products generally fall into one of four categories:
1. The graphic is too crowded — the user tries to
put too much information on a single visual.
Reduce the message to its simplist form, and use
several visuals to convey a thought or idea.
Make only one point with each visual.
2. Color has been misused -- colors should have
meaning and impact, and be used sparingly and
intentionally. Color should play a function for
the visual, with cool backgrounds supporting key
messages and halting colors used for impact.
Maintain sufficient contrast when using more
than one color.
3. Line detail is too light or letter size is too
small — lines and letters must be thick enough
to be seen from the back of the room. In
general, make each letter at least 1/32" high
for each foot of distance from the material.
For example, a 1 inch letter is legible from 32
feet, and 2" letter from ^4 feet. Divide the
distance from the back of the room to the visual
by 32 to determine the minimum size of letters.
AUDIO-VISUAL 161
Barry Lawson Associates, Inc.
-------
4. Letters and symbols are hard to read — poor
penmanship, lettering too small for the room,
and too much information on the visual, are the
primary causes for this complaint. Use block
lettering, as it is easiest to read. Use all
capital letters, and do not slant or italicize
letters.
EVALUATION
VII. What are some questions to ask when evaluating audio-
visual and visual aid materials?
A. Were materials well planned to fit the objectives of
the public participation program?
B. Were they well timed -- were they produced on time?
Were major products available when they were needed?
C. Were major materials such as slide programs or films
previewed and evaluated by lay audiences prior to
their release?
D. Have audiences evaluated the audio-visual materials?
What have the evaluations revealed?
E. Are materials being used by a speakers bureau, field
staff, and others?
F. Has a method of promotion and distribution been
developed? Have the goals of the promotional program
been met?
G. Have audio-visual materials proved cost effective?
Are materials and art work prepared for use in an A-V
program also used in printed material and displays?
H. Have audiences responded positively to the A-V
materials? Are the materials perceived as credible
by their intended audiences?
I. Do audiences seem to learn substantive information
from A-V programs? Does A-V support overall
learning? Does A-V build credibility and good will
for the sponsoring agency?
16 2 AUDIO-VISUAL
Barry Lawson Associates, Inc.
-------
Barry Lawson Associates, Inc.
190 Hujh Street ' Boston MA 02110
-------
HOW AND WHEN TO APPLY CONFLICT RESOLUTION TECHNIQUES TO
ENVIRONMENTAL DISPUTES
BACKGROUND AND SUMMARY
"Conflict resolution" refers to the many techniques developed
to resolve disputes and lead to socially and politically
acceptable solutions to environmental conflicts. Increasingly,
problems concerning the scale, design, activity mix, land and
water use, and other features of major commercial, residential,
or mixed-use development proposals are being settled through
conflict resolution techniques in an attempt to avoid the costs
of litigation. Also, there is an increasing interest on the part
of government and business to accommodate, rather than confront,
when values and needs differ.
Conflict resolution techniques, such as negotiation,
mediation, information sharing, and fact finding, have their
roots in the labor-management collective bargaining field. The
techniques must be modified when applied to the natural resources
area, however, because the nature of the disputes and the
participants are different.
Conflict resolution is not an end in itself; conflict
resolution techniques must be goal-oriented and lead to sound
decisions. Conflict must be perceived as a healthy competition
of values and ideas.
Different conflict resolution techniques are applied at
various stages of disputes. The goals at each stage of a project
are to keep lines of communication open, to seek solutions
through the sharing of information and ideas, and to minimize
polarization of disputing parties.
It is often a public participation specialist, or others
aware of conflict resolution techniques, who may know when to
apply them in specific situations. Conflict resolution
techniques should be applied in very few situations. The
situations must meet a variety of criteria before the option of
conflict resolution is suggested.
Conflict resolution assumes a willingness on the part of all
parties to negotiate. By definition, this also means that each
party is willing to accept less than its total demands -- each
party must give up something in the search for a compromise
solution.
In any conflict situation, it is important to seek consensus
at each major stage of the decision making process. Goals and
needs must be clarified and defined in sufficient detail so that
all parties can agree on the information and methods to be used
in determining potential solutions.
CONFLICT RESOLUTION 163
Barry Lawson Associates, Inc.
I90 High Street / Boston. MA 02110
-------
There must be an explicit statement on the limitations of
data. The usefulness of various kinds of information for
addressing specific questions must be defined. An analytical
methodology acceptable to all parties must be chosen. Systems
for testing the potential impacts of alternative solutions and
scenarios must be established.
Timing plays an important role in the choice of conflict
resolution technique. Mediation, for example, works best after
participants have reached a point of impasse, and at least one
side has realized that there cannot be a unilateral victory.
External pressures, such as a federal agency deadline, can have a
bearing on conflict resolution. Some conflict resolution
techniques, such as negotiation and fact finding, can provide
help at earlier stages in the discussion process, and prevent
extreme polarization and a deadlocked situation requiring
mediation.
In each conflict situation, the number and mix of
participating parties, and their degree of involvement, will
vary. Each major group or individual with an interest in the
outcome of a dispute should be given an opportunity to
participate in the discussion or negotiation. Excluding parties
who can block a final settlement through litigation or other
means, vitiates the attempted resolution. There is no clear
consensus on who should choose participants in negotiation. It
is generally done by the negotiator or by parties to the dispute.
An intermediary, such as a mediator or negotiator, plays an
important role in determining the outcome of a dispute.
The overriding need in any conflict situation is to maintain
flexibility and the desire to reach a mutually satisfactory
solution to a dispute. This requires sensitivity to other points
of view, toughness in a bargaining situation, knowledge of
negotiation, and technical skills. There must be a desire to
maintain open lines of communication. Participants must be
willing to take risks.
I. What is meant by the term "conflict resolution"?
A. Conflict resolution is an umbrella term which
includes a variety of interactive problem-solving
techniques. Among the primary tools of resolving
conflicts are the following:
1. Negotiation: The process of attempting to re-
solve disputes by meeting, discussing, and
agreeing on facts, questions and solutions. The
parties design their own solutions to the
problems.
16 4 CONFLICT RESOLUTION
Barry Laws on Associates, Inc.
-------
2. Mediation: A process of intervention by an
acceptable impartial third party with no
decision-making power who attempts to assist and
persuade contending parties toward mutual
settlement of their disputes.
3. Conciliation: A process whereby an individual
who is not a party to the conflict brings the
disputing parties together so that they can try
to solve their problems, but does not take
further part in the conflict resolution process.
The conciliator need not be impartial.
4. Arbitration: A process whereby the power to
resolve the problem is given by the parties or
the courts to an impartial third party or
parties. The arbitrator(s) must deal only with
the facts, within the guidelines agreed to by
the parties. The decision is usually considered
legally final and binding.
5. Fact-Finding: A process involving a neutral or
impartial third party to determine and study the
facts and realities underlying dispute. Find-
ings sometimes contain recommendations, and
depending on the situation, may be made public.
6. Information Sharing: Recognizing that conflicts
often arise from, lack of information or from
differences in interpretation, information
sharing is a process for providing uniform
information to all participants in a dispute.
The process may call for seeking agreement on
the sources of information to be used. The
information may be engineering or scientific
data, or more conceptual material on the current
status of a program, the implications of
continuing with current practices, or
enumerating alternatives and their implications.
What are the steps to follow in seeking conflict
resolution?
A. Step 1: Identify the parties that ought to be in-
volved in planning and negotiation.
B. Step 2: Ensure that groups and key individuals with a
stake in the outcome are appropriately represented.
C. Step 3: Define the issues and confronting differences
in data, assumptions and values.
CONFLICT RESOLUTION 16 5
Barry Lawson Associates, Inc.
-------
D. Step 4: Generate a sufficient number of alternatives.
E. Step 5: Agree on the boundaries and time horizon for
impact assessment.
F. Step <5: Weight, scale, and amalgamate judgements
about impacts.
G. Step 7: Identify appropriate compensatory actions or
mitigating measures.
H. Step 8: Implement the bargains that are made.
I. Step 9: Hold the parties to their commitments.
III. What is th<= role of an intermediary, such as a mediator or
negotiator ?
A. Creates a climate of trust and a willingness to
discuss on the part of participants
B. Ensures fair and adequate representation
C. Assists the participants in defining the key issues
and setting priorities in the order in which they
will be discussed
D. Encourages clear communication, and ensures that all
points of view are heard
E. Ensures the credibility of scientific or other
information and expertise during discussions
F. Offers suggestions on problem solving approaches (but
does not offer opinions on substantive issues)
G. Helps break deadlocks by setting goals and deadlines
H. Suggests solutions or alternative solutions
I. Outlines implementation plans and helps create
mechanisms for implementation and enforcement of the
ag reement.
166 CONFLICT RESOLUTION
Barry Lawson Associates, Inc.
-------
Each conflict resolution technique requires some
negotiation. What are the steps to follow in any
negotiating situation?
A. Step 1: Define the problem from the various points
of view in the dispute. Similarities and differences
in perspective should be articulated so that
attention can be focused on developing strategies for
achieving agreement.
B. Step 2: Diagnose the problem and study the facts in
order to understand the causes of the conflict.
Identify hidden agendas and false assumptions.
Assess the political and policy implications of the
dispute.
C. Step 3: Assign priorities to issues and needs in the
conflict. Establishing an order of importance for
various aspects of a conflict is an important step in
seeking alternative solutions. With priorities set,
it is easier to keep negotiations centered on the
primary issues, and not be diverted to secondary
issues.
D. Step 4: Determine courses of action or positions for
each priority area of the conflict. Establish an
initial position or demand, a fall back position, and
a bottom line position. This process helps to
establish areas for negotiation.
E. Step 5: Develop arguments and collect supporting
data. Be able to substantiate a case and persuade
others of its validity.
F. Step : Evaluate and determine your strengths and
weaknesses, and take steps to bolster weaker
arguments and positions by developing new resources
or finding additional allies.
G. Step 7: Anticipate the other parties' needs,
demands, positions, constraints, strengths, and
weaknesses. Evaluate who holds final decision-making
authority in the other parties' camps. Try to
determine their likely responses to arguments.
H. Step 8: Develop strategies and tactics for
negotiations which will allow your party to reach
goals and defend bargaining positions.
CONFLICT RESOLUTION 16 7
Barry Lawson Associates, Inc.
-------
I. Step 9: Identify consistuency, organize them, and
choose a negotiating team. Establish the authority
of the negotiation team and systems of communications
to keep all interested agency parties informed on
progress in negotiations.
J. Step 10: Practice negotiating techniques and various
ways to state the case.
V. What are Some,,Guidelines for Managing Complex Problems in
Negotiations? J
A. To deal with a complex problem, divide the problem
into manageable sub-parts, with each one representing
a substantive issue.
B. Look behind generalizations for hidden facts and
values, and then separate facts from assumptions and
values.
C. Begin negotiations early. Early participation will
help to improve communications among various parties,
and help to avoid the development of mis-information.
D. Resolve issues and disputes one piece at a time.
Build upon past successes to resolve future issues.
E. Allow enough time at the start of the process to
involve the participants and sort out the manageable
parts of the dispute. Investing this time early in
the negotiations will save time later.
F. Try to avoid discussions about impacts and con-
clusions until agreements have been obtained on a
definition of the problem and the basic facts and
assumptions required to resolve it.
G. Not all issues should be discussed by all par-
ticipants. Consider what the best composition of
participants is for each stage of the negotiations,
taking into account levels of responsibility, exper-
tise, and direct concern with the issue under
discussion.
VI. What are Some Helpful Hints for Negotiating?
A. Recognize that every party in a negotiation has power
and options if they choose to use them.
1. Power in a negotiating session is in part based
on the perception of power. Let your opponents
16 8 CONFLICT RESOLUTION
Barry Lawson Associates, Inc.
-------
know you have options, and hence power. You may
not choose to use these options, but they're
helpful in establishing a power relationship.
2. Persistence in negotiations can yield power. If
you feel strongly about a particular set of
demands, and they are "non-negotiable", don't
yield on them. Continue to explore new ways to
present these demands as part of your bargaining
strategy.
B. Recognize that anything is negotiable. Any issue or
point in the subject of negotiations is fair game for
negotiation.
1. Don't accept "no one ever did that before," as
an answer. It does not matter that no one did it
before—it is fair game in yotir negotiation.
2. Any list of guidelines, criteria, and other
planning factors are the result of compromise
and negotiation themselves. Therefore they are
subject to further negotiation by you.
C. Decisions and agreements are formulated and built
through hard work and persistence. Don't be deceived
by the idea of negotiation being an easy forum for
"finding" agreements.
D. Successful negotiations, or win/win negotiations,
allow both sides to have their needs met. One clue
to successful negotiations is to find out what the
other parties REALLY want, and show them a way to
reach their objectives while outlining a way for you
to reach yours.
E. Timing is essential. Generally, concessions occur at
deadlines. Know your opponent's deadlines, and your
own, and make this knowledge work for you.
1. If no outside deadlines exist, set them.
Without time horizons, negotiations will not
end.
2. The anticipation of the resolution is often
greater than the reality of the actual
agreements. Setting deadlines forces decisions.
3. Any offer put forward by your group should have
an expiration date and time. Offers without
deadlines do not induce decisions. More often
than not, they induce delays while other parties
explore the possibility of better terms.
CONFLICT RESOLUTION 16 9
Barry Lawson Associates, Inc.
-------
4. Make sure you bargain for both long and short
term interests.
F. Personalize issues and agreements. Make the
representatives of big business, big government, or
any other large institution take personal
accountabli1ity for the decisions made. Locking a
personal commitment into the agreement, along with
the institution's, means that a person's honor is on
the line, and this person will work within the
institution to make sure the agreement is
implemented.
G. Hold negotiation sessions in person. While you might
have informational conversations over the telephone,
avoid negotiating over the phone. It is easier for
someone to say "no" over the phone than in person.
Also, face-to-face negotiations helps to personalize
large institutions.
H. Do negotiating in private. People feel defensive and
resist change and the acceptance of new ideas if they
are forced to negotiate before the media or in public
meetings.
1. Settle differences in private, and present the
outcomes to the public and media.
2. While this violates basic public participation
principles, one of the lessons from
labor-management negotiating is that bargaining
must take place in private if it is to be
successful.
I. Whenever possible, be the initiator in the
negotiations. If someone needs to take notes, write
memoranda confirming understandings, or make phone
calls, be the one to do it.
1. The person who summarizes, states, or sets
priorities, controls the situation.
2. In general, information is power. The person
who controls information, controls power.
3. For example, after many hours of discussing and
arguing, the group finally reaches agreement on
a key point. By taking the initiative to write
up the agreement after the negotiating session,
you make sure that the final agreement is as you
perceive it. When it comes time to review and
approve the written version, you are in a
stronger position not to lose ground than others
involved in the negotiating.
170 CONFLICT RESOLUTION
Barry Lawson Associates, Inc.
-------
J. When making proposals, make explicit requests. You
cannot ask for that which you are unclear about.
1. Form the request in terms of the principles held
by the other side.
2. Put your proposals forward in a form that allows
someone to say yes or no to them. Providing a
list of options muddles the negotiations.
3. Being specific in a proposal buys influence at
the cost of flexibility. A proposal to charge a
specific fee per tonnage of hazardous waste, for
example, carries more weight than a request for
fair compensation at an appropriate time.
Credibility increases when you show your
adversary you have detailed plans and an
implementation program. Having contingency
plans available should your initial proposal not
succeed also builds credibility and establishes
both your high level of. capability and honest
intentions.
4. Sometimes it is easier to make a request for
in-action (do not initiate an action), as
opposed to action. Let the rules of large
organizations such as the fact that
bureaucracies move slowly and resist change,
work for you.
5. Sometimes, narrowing a proposal to a single
limited area can yield a success when a broad
proposal would net. Your plan or strategy could
include many small things your group considers
important. From the other side's point of view,
the immediate cost of yielding to a request will
be less, if less is asked. Also, each small
success or positive experience provides a
precedent for future agreements and action.
K. In general, if there is a small chance of having to
pay a great cost as the basis for reaching an
agreement, it IS worth taking the risk. However, if
there is a small chance of receiving a large benefit,
the risk is NOT worth taking.
L. There is no need to reach agreement on the REASONS if
those present can reach agreement on the appropriate
ACTION to be taken.
CONFLICT RESOLUTION 171
Barry Lawson Associates, Inc.
-------
1. Sometimes there is a tendency to emphasize
purposes and values as a way to boost a
proposal. However, if all parties can agree to
an action step, retrain from moralizing. It
proves counter-productive.
M. It sometimes takes time for people to get used to a
new idea or innovative approach. Be patient.
1. One strategy calls for the initiator of the idea
to toss out the idea and let it be rejected.
Change its dressing or appearance, and toss it
out several more times. If the idea has
validity or merit, it is not uncommon for the
idea to gain acceptance over time. Eventually,
the idea or proposal will develop the aura of
having been around for a while.
2. It is important to make the proposal appear
different if it has been rejected before. Each
new proposal represents a new opportunity for
evaluation and decisions. It allows other
parties to reverse past decisions without losing
face.
N. Recognize early that different parties in a dispute
have different needs and perceptions. One definition
of successful negotiation is meeting the needs of
participants. To do this successfully, all parties
must be approached based on the way they define their
needs. Use the lead time before negotiations to
begin to find out about the needs of the other
parties. If you wait until negotiations begin, it
will be more difficult to discover this information.
1. Your opponent's perception of what is important
controls their decisions -- not your perception
or some objective standard. No matter how
irrational they may appear, if your goal is to
influence them, deal with them based on their
needs and perceptions. Deal rationally with
what you perceive as their i rrational.1 ity.
2. Don't think in terms of good guys and bad guys
in the dispute. All parties perceive themselves
as fair, honest, reasonable, and as meeting a
social need.
3. Try to convince opposing parties that your
proposals should be accepted in terms of the
values they hold.
172 CONFLICT RESOLUTION
Barry Lawson Associates, Inc.
-------
4. Self-righteousness does not have a place in
negotiations. Attempting to point out to
adversaries that they ought to make a decision
based upon your parties' definition of
fairness,* history, principles, or morality, is
at best a diversion from the immediate task at
hand, and at worst destructive of the desired
results.
0. Don't threaten an opposing party with an ultimatum
unless your party is prepared to back it up. If the
other party BELIEVES you are prepared to back it up,
you probably won't have to.
1. In general, in a negotiation, if you insist on
all or nothing, and do not have the capacity to
get all, the demanding party often gets nothing.
2. Before making threats, consider what might
happen if the threat fails to exert its desired
influence. Has your party gained or lost
credibility?
P. Maintain your parties' credibility at the negotiating
table. Integrity and credibility can only enhance
your position.
1. Ml commitments and agreements must be met. If
you can't meet a set of conditions or
agreements, don't make them.
2. If doubts exist about the sincerity or
genuineness of an offer, concentrate on this
problem before negotiating substantive issues.
Q. Don't be afraid to ask opposing parties for help
during negotiations. It is resonable to explain that
you don't understand something, and ask for an
explanation or for more information. Asking for
assistance helps shift the environment from one of
competition to one of collaboration.
1. Asking for assistance and information builds
mutual trust.
2. It helps to personalize issues, and build
stronger personal relationships among
negotiating members.
3. Your party compromises nothing when asking for
information.
CONFLICT RESOLUTION 173
Barry Lawson Associates, Inc.
-------
4. On the other hand, take the initiative and
provide information to other parties when
appropriate. Give a little to get a little in
the negotiations. By taking the initiative,
your party influences the expectations of the
other parties.
R. A general rule of thumb in strategy development, is
that if you are selling, start high, and if you are
buying, start low. However, don't be insulting by
setting parameters on a position that seems absurd to
any party.
1. The goal is to test the negotiating waters, and
to provide room to maneuver.
2. The initial position may help to establish or
lower your opponent's expectations.
OTHER THINGS TO CONSIDER
3
VII. What are some do's and don'ts of negotiation?
A. Some do's of negotiations
Prior to Negotiations
1. Agree to negotiate only with authorized
representatives of legitimate interests.
2. Prepare thoroughly.
3. Aim for accommodation and compromise rather than
"win" or "wipe out."
Negotiations
1.
Be
calm and cool.
2.
Be
personable; use names; be
respect Eul.
3.
Be
confident in yourself and
in the process.
4.
Be
flexible.
5.
Be
reasonable.
6.
Listen carefully.
7.
Keep meeting focused on the
issues.
174 CONFLICT RESOLUTION
: Barry Lawson Associates, Inc.-
-------
8. Sell your ideas persistently.
9. Phrase questions for a positive response.
Id. Study alternatives and new information.
11. Caucus when necessary, but don't keep the other
side waiting too long.
12. Avoid intimidation.
13. Respect confidentiality.
14. Express appreciation of time and effort expended
by others.
15. Close on a positive note.
Dont's of negotiations include:
Prior to Negotiations
1. Don't underestimate other parties.
2. Don't over estimate yourself, your team, the
justification of case or strategies.
3. Don't wait to prepare.
4. Don't talk loosely about your plans or attitudes
toward other parties.
Negotiat ions
1. Don't argue publicly among yourselves; save it
for the caucus.
2. Don't lose your temper.
3. Don't waste people's time.
4. Don't list priorities for the other side.
5. Don't escalate demands or present surprises.
6. Don't oversell.
7. Don't react too unfavorably to your own
mistakes; don't be defensive; don't blame; don't
apolog i ze.
3. Don't rush the other side.
CONFLICT RESOLUTION 175
Barry Lawson Associates, Inc.
-------
9. Don't he pressured; if you have doubts, delay.
10. Don't be afraid to let issues stay on the table.
11. Don't keep worrying about the end result.
12. Don't end meetings on a negative note.
Do Not Ever
1. Make promises you cannot keep.
2. Lie.
3. Assume.
VIII. What is environmental mediation, and what is behind
its current popularity?
A. According to the University of Washington's Office of
Environmental Mediation, mediation is a voluntary
process in which those involved in a dispute jointly
explore and reconcile their differences. The
mediator has no authority to impose settlement. His
or her strength lies in the ability to assist the
parties in resolving their own disputes. The
mediated dispute is settled when the parties
themselves reach what they consider a workable
solution.
B. Among the many conflict resolution techniques,
mediation has received much study by universities and
others as a new and useful tool when applied to
environmental disputes.
C. Several criteria differentiate environmental
mediation from other conflict resolution techniques.
1. Involvement in the mediation process is
voluntary.
2. Exploration of issues in dispute must be carried
out jointly by all parties, even though all
parties do not agree to all issues.
3. The mediator has no authority to impose a
settlement. The participants must agree to a
given settlement on their own.
4. The mediator facilitates the negotiation process
by assisting the parties in reaching a resolu-
tion acceptable to them.
176 CONFLICT RESOLUTION
Barry Lawson Associates, Inc.
-------
5. The mediator shares the responsibility of
ensuring that any solution represents a workable
solution -- one which is politically,
physically, and financially feasible. This
responsibility on the part of the mediator is
inversely proportional to the experience and
sophistication of the least skilled party to a
d ispute.
D. What criteria can be applied to determine the
applicability of mediation in specific environmental
disputes?
1. The mediation process is most appropriate at the
point in a dispute when the issues have been
defined, the parties are visible and highly
involved, and there is some sense of urgency in
resolving the conflict. Such circumstances
typically occur near the point of impasse.
2. There must be some relative balance of power in
which it is recognized that the parties each
have some ability to exercise sanctions over the
other.
3. ¦ There must be some reasonable assurance that the
responsible authorities will implement an
agreement reached by the disputing parties.
E. What ste^s should be followed in a mediation
process?
1. Step 1: Make an initial contact and explore the
viability of mediation with the disputing
parties.
2. Step 2: Decide on whether mediation is an
appropriate tool to use.
3. Step 3: If the answer to Step 2 is yes, design
the mediation process for the specific conflict.
4. Step 4: Determine whether the parties are wil-
ling and able to commit to good faith negotia-
tion and agreement.
5. Step If the answer to Step 4 is yes, enter
into formal mediation.
5. Step : Reach agreement or not.
7. Step 7: If the result of Step 6 is agreement,
implement the recommendations or program.
CONFLICT RESOLUTION 177
Barry Lawson Associates, Inc.
-------
IX. What are some listening skills important to negotiations
and working with others?
A. Concentrate on what the other person is saying —
listen to understand. Focus attention on the words
and ideas of the other person.
B. Do not talk while someone else is talking. It is
impossible to listen while talking. Talking sends a
non-verbal message to the other person that you do
not consider what is being said important.
C. Look at the other person and show that you are
listening. Establish eye contact, nod your head,
smile when appropriate, and take notes -- all of
these behaviors tell the other person you are
listening.
D. Concentrate attention on the main points in a
discussion. Do not become bogged down in details,
such as a story or example. Focus attention on the
high-priority issue.
E. Empathize with the other person and their argument.
Try to put yourself in their position and evaluate
arguments from their point of view.
F. React to the other person. Ask questions. Show
involvement verbally and nonverbally. Do not ask
questions or make gestures that will put down the
other person. React to ideas and not to the
personality of the other person. Good ideas can come
from people you don't know or like.
G. Recognize that communication is a two-way process.
Participants in communication share responsibility.
If you don't understand something, ask for clarifi-
cation .
H. Consider clarifying your understanding by
paraphrasing the other person's postion aloud, and
asking the other party to verify its accuracy.
I. Do not make hasty judgments. Wait until all facts
and ideas are presented before making judgments.
X. What are some non-verbal communication cues important
to determining how well some one is listening?
A. An active listener will establish eye contact, nod at
appropriate points, and take notes carefully.
178 CONFLICT RESOLUTION
Barry Lawson Associates, Inc.
-------
Body posture reveals much about how somebody is
listening and responding. For example:
1. Dominance is communicated by leaning back when
listening or talking, by placing hands behind
the head when speaking, or standing erect when
speaking before a group.
2. Open hands, uncrossed legs (for men), and un-
crossed arms suggest openness to ideas and
people.
3. On the other hand, arms crossed across the
chest, cro.ssed legs (for men), tightened fists,
and sitting reversed in an armless chair (for
men) suggest that a person is threatened. These
are defensive gestures.
4. Frowning, placing a hand over the mouth, a nose
wipe, and a finger along the side of the nose,
suggest suspicion, evaluation, or disagreement.
5. Nervousness is communicated by gestures such as
rapid smoking, fidgeting in a chair, covering a
mouth while speaking, perspiring hands, face or
forehead, wringing hands, avoiding eye contact,
pulling on the ear lobes, or wiping hands on
clothes.
-------
REFERENCES
1. Cormick, Gerald W., Patton, Leah K., "Environmental
Mediation: Potential and Limitations," Environmental Comment,
Urban Land Institute, May, 1977, p. 13-15.
2. Selected readings on Conflict Management, American
Arbitration Associates and Clark McGlennon Associates, Inc.,
April, 1980, p. 1R.
3. Op. cit., p. 8, 9.
4. Cormick, et al., p. 13-16.
5. Op. cit., p. 13-15.
In addition, material for this chapter on conflict resolution
was drawn from numerous sources. We wish to thank the following
organizations for the use of their materials.
American Arbitration Association
Research Institute
140 West 51st Street
New York, New York
Clark-McGlennon Associates
148 State Street
Boston, Massachusetts
Environmental Impact Assessment Project
Laboratory of Architecture and Planning
Massachusetts Institute of Technology
Cambridge, Massachusetts
Martin-Simonds Associates
3100 Smith Tower
Seattle, Washington
RESOLVE
Center for Environmental Conflict Resolution
350 Bryant Street
Palo Alto, California
Institute for Environmental Mediation
3313 Queen Anne Ave., N.
Seattle, Washington 98109
(formerly the Office of Environmental
Mediation at the University of Washington
in Seattle)
180 CONFLICT RESOLUTION
—— Barry Lawson Associates, Inc.
-------
How and When to Conduct Public Opinion and Attitude Surveys
Barry Lawson Associates, Inc.
190 High Street / Boston MA 02110
-------
HOW AND WHEN TO CONDUCT PUBLIC OPINION AND ATTITUDE SURVEYS
BACKGROUND AND SUMMARY
Note: Public opinion surveying is a controversial publi c
participation technique. Some people find them useful, others do
not. In preparing this chapter, the assumption is made that
approval to perform a survey has been given. This chapter
contains basic information on options, costs, and procedures.
This information will help save time and money when working with
survey professionals. Recognize, however, that obstacles to
surveying exist. EPA regulations (40 CFR 30.630, appended to
this chapter) place limits on surveys and questionnaires. Some
EPA regions have developed guidance which prohibit the use of
limited public participation funds for this purpose. Investigate
these obstacles before proceeding with a survey proposal.
Public opinion and attitude surveys are information
collecting tools. Survey information can serve as a guide to
planning, and provides insight into people and their concerns and
levels of knowledge. This information is useful in designing
public participation and education programs.
Surveys measure publi c opinions and attitudes, yielding
information on the breadth and depth of feeling on the part of
various publics, or a cross section of the population at large.
They ensure that attitudes and opinions of the entire population
— even people not actually involved in the project — will be
considered in planning. This means that survey data can be used
as a public participation tool, providing one more source of
information on people's desires and needs. However, surveys
represent only one source of information; projects must still use
many other forums for collecting information and advice from the
public. A survey does not take the place of public meetings,
hearings, workshops, and other consultation activities.
The release of survey data often serves to heighten public
interest in the project under consideration. The media will
often report on survey results. Planners must consider the
consciousness-raising aspects of surveys as they plan for them.
Also, for projects where a survey is conducted early, the survey
results may be the first tangible products of the project.
Surveys can provide information in three areas -- attitudes,
opinions, and levels of knowledge. A survey should have one
goal, and pursue it. A survey cannot provide in depth
information in all three survey areas.
There are three common ways of conducting surveys — through
face-to-face interviews, through telephone interviews, and
through mailed questionnaires. There are costs and benefits for
each of the survey techniques.
SURVEYS 181
Barry Lawson Associates, Inc.
190 High Street / Boston MA 02110
-------
The choice of survey type should be guided by the goals of
the survey. The ultimate use of the data, and the type and
format of data analysis, will affect the way the survey
questionnaire is prepared. Packaged computer programs exist to
analyze survey data, but surveys must be designed in advance to
use these quick and efficient programs.
Opinion survey procedures must be open to public scrutiny.
Interested citizens should have access to survey design
information, the sampling method, and the raw data. They should
have the option of analyzing the data on their own. They should
know who analyzed the data for the agency, and how it was done.
These extra steps will help to build credibility and trust for
the sponsoring agency, and support public participation goals.
Survey preparation and analysis is complex. Many variables
influence the design of questionnaires, and survey sample type
and size. Most often, government agencies will contract for
these services. The following material is based upon this
assumption.
THE ESSENTIALS
I. What kinds of information can surveys provide?
A. Surveys can be used to collect three types of
information -- attitudes, opinions, and levels of
knowledge.
1. Attitudes generally refer to more long term,
deeper emotional feelings and responses.
Attitudes are slow to change, and are often
founded in religious, family, and socio-cultural
background. Understanding the public's basic
mind set toward problems and issues can be
helpful to planners. For example, attitudes
toward growth and development, or creating more
or less government fall into this category.
2. Opinions often take the form of short lived
responses to political issues and events.
Opinions can change quickly, and are susceptible
to new information and the persuasions of
opinion leaders. They are not founded in basic
emotions or beliefs. For example, how citizens
feel about permitting a new source of air
pollution, or inspection and maintenance of
automobile pollution control systems is
important information for planners, engineers,
and administrators.
18 2 SURVEYS
Barry Lawson Associates, Inc.
-------
3. Surveying levels of knowledge is important
because of the inter-relati.onships between
information and opinions and attitudes. If
people have mis-information on an issue they may
base their emotional responses on faulty
knowledge. Information on levels of knowledge
is helpful in developing information and
education programs.
People with negative attitudes and/or opinions
and a high level of knowledge require different
information and participation programs than
people who have a strong opinion but little
substantive information.
B. Because of survey length and time limitations, a
survey should have a single main focus. It is
difficult to prepare a survey that collects useful
information on all three survey information types.
Examples of survey themes include:
1. Gathering information on various public's
current knowledge, attitudes, and opinions on a
specific project.
2. Presenting a new idea or concept to the public
and seeking responses to it.
3. Seeking solutions to problems or generating new
information or ideas.
4. Measuring changes in opinion and levels of
knowledge over time.
What are the common survey methods used for collecting
data?
A. Three basic methods exist for collecting
statistically valid information -- personal
interviews, telephone interviews, and mailed
questionnai res.
Other survey techniques, such as placing question-
naires in newsletters and magazines are useful in
meeting public participation goals and in collecting
information. However, the information is not
representative of the public at large. The survey
sponsors have no way of determining who responded, or
why.
Barry Lawson Associates, Inc.
SURVEYS 183
-------
B. Field or personal interviews call for face-to-face
contact between randomly selected respondents and an
interviewer. It is the most effective technique of
the three, but because of the cost of sending
interviewers into the field, it is also the most
expensive. Personal interviews have flexibility,
permit the use of visuals, and allow the interviewer
to prepare written observations. It is the most
precise technique -- interviewers can make sure that
every randomly selected participant is contacted.
1. Respondents tend to answer questions more
completely than in the other two survey types,
in part because they can speak their answers
rather than write them. For people who have
difficulty reading, interviews are best.
2. The interviewer can probe open-ended responses
to clarify answers.
3. Field interviews allow for longer and more
complex questionnaires. In general interviews
should not last more than 45 minutes, compared
to 10-15 minutes for telephone surveys, and 5 — 1 PI
minutes for mail surveys.
4. If the sequence of questions is important, field
interviewers can control it.
C. Because of costs, speed, and the fact that some 98%
of American homes have telephones, more and more
surveys are conducted by telephone. The person
conducting the interview must convince some people to
stay on the phone to answer questions. It is easier
to refuse to be polled over the telephone than in
person. The questionnaire must be shorter and less
complex than in face-to-face interviews. Long lists
of choices (i.e., multiple choice) don't work because
people can't remember the options. Shorter and
simpler questions work best.
1. Field interviews may take days or weeks to
complete, depending on the size of the sample
and the number of required return visits to
interview people not at home on the first
attempt. Telephone interviews can be conducted
quickly. For example, most of the daily polling
that occurs during national elections is done by
telephone. Dozens of people working from phone
banks can make interview calls at the same time.
The Bell System has even established an entire
service (the 900 series) for performing low cost
telephone polls.
184 SURVEYS
Barry Lawson Associates, Inc.
-------
2. Pollsters can keep careful records of those in
the random sample who responded and those who
did not. Accuracy and predictability is high.
3. Sometimes, a phone interview has less bias
because people are not responding to the sex,
color, size and other characteristics of inter-
viewers .
4. Some interviewers tend to avoid high-crime
neighborhoods. This is not a concern with phone
interviewing.
Mailed surveys are self-administered questionnaires.
They are the least expensive survey technique, and
contain the most limitations. The average response
rate is about 33% — this means that the sample size
must be three times more than needed. Respondents
have no particular reason to respond. They do not
have to say "no" to another person; they merely toss
the survey into the waste can. People tend not to
like to write answers to questions, so mail surveys
often rely upon close-ended questions. People are
likely to take less time to complete an impersonal
questionnaire, than to answer questions in person or
over the phone.
1. Because the questionnaire relies upon the postal
system, it can take several weeks to conduct.
Also, if the initial response rate is especially
low, it may be necessary to do a second mailing.
This adds additional time and expense.
2. Respondents sometimes take time to think about
their answers. This can make it difficult to
get quick reactions from mail surveys.
3. Mail surveys do not permit control over the
sequence of questions, if that is important.
Some people will read the entire questionnaire
before beginning to answer questions.
4. Sometimes respondents will consult with family
members and friends before answering questions.
It is difficult to know whether the mail
responses are the respondents' alone, or an
amalgam of ideas.
Barry Lawson Associates, Inc.
SURVEYS 18 5
-------
TIT. What are some general rules for designing questionnaires?
A. Survey questionnaire design is a highly specialized
field. A questionnaire can determine the success or
failure of a survey. Questions must meet the goals
of the survey. They must be neutral or non-biased in
their tone. A poorly worded questionnaire can yield
incomplete and incorrect data.
B. Two types of survey questions exist — closed-ended
questions and open-ended questions. Tn closed-ended
questions, the respondent chooses among a group of
alternatives, such as true-false, a multiple choice
of a-e, or checking a point on a line from strongly
agree to strongly disagree. Tn open-ended questions,
the respondent answers with his/her own words.
1. Closed-ended questions work best when the
desired information is factual (such as
demographic information on age, family size,
income, and marital status), where the range of
choices is predictable, or where the goal is to
measure a social response. Closed-ended
questions are easiest to compute and analyze.
2. Open-ended questions work best for gathering
information in-depth on people's feelings and
motivations. The responses are more difficult
to code and analyze. They do not work well in
self-administered (i.e., mail) surveys.
3. Often, closed-ended questions will include an
"other" category in multiple choice lists. This
is a type of open ended question. Even if it
will not be coded for analysis, it is often a
good idea to include some open-ended questions
(i.e., "Is there anything else you would like to
add on the subject?") in closed-ended surveys as
a release valve for respondents who feel
frustrated by the limited choices offered in the
close-ended format.
4. When seeking demographic information in
closed-ended questionnaires, use large intervals
of numbers. Income, for example, might be
grouped by $5,000 increments. Since no one
wants to be in the lowest category, make it
difficult for people to fit into this category,
such as by starting average family income at
$2,50fl. If the data will be compared with other
information, such as the federal census, make
sure the groupings for age, education, and
income are the same as those used in the
comparison survey.
186 SURVEYS
— Barry Lawson Associates, Inc.
-------
C. The order of questions in a survey must make common
sense to the people being interviewed. Most of the
questions should proceed from the general to the
specific. A logical questionnaire, where the
respondent understands the goals and order of the
survey, will often encourage more open and complete
responses to questions. It can also decrease
sensitivity and increase honesty to personal
quest ions.
D. Within the survey, the respondent should know when
themes or subjects are being changed. This helps to
create a logic or flow to the survey. In an
interview survey, for example, the interviewer might
say something like, "Now, I'd like to ask you .a few
questions about your community," to make a shift.
E. Language should be simple and easy for a lay person
to understand. All questionnaires should be
pre-tested to ensure that the public has the same
understanding of the question as the survey writers.
Some words have different meanings to different
groups. Any terms that might be new or confusing to
the person being surveyed should be defined.
Sometimes showing the respondent a photograph or
drawing helps to explain concepts, ideas, or
facilities.
F. How the data will be collected and analyzed will have
bearing on the question design. For example,
computer coding and analysis of closed-ended
questions is simple and quick; open-ended questions
are harder to code and interpret.
G. Questions must appear balanced and fair. The answers
to closed-ended questions must appear balanced, fair
and comprehensive. For example, ra'ther than ask
whether the individual likes location A or location
B, the questionnaire might ask about location A,
location B, another location, or not building a
landfill at all. This format of questioning, though
wordy, yields the most non-biased answer.
If the respondent thinks the survey seeks a specific
answer, the respondent may give the desired answer,
and not his/her genuine feelings.
H. If the survey includes questions that ask the
respondent to agree or disagree with a number of
statements, the statements should be equally divided
between negatively worded and positively worded
statements.
Barry Lawson Associates, Inc.
SURVEYS 18 7
-------
I. When asking sensitive value-laden or personal
questions, two techniques work well in gaining honest
and non-defensive answers. One is to lead the
question with a qualifying statement that sanctions a
negative action. For example, the question might
read, "Many people didn't get a chance to read about
the new sewer proposal. Did you happen to have the
time to read the executive summary, or not?"
The other technique is to place the sensitive
question in the third person, rather than the first
person. Rather than ask whether the individual will
vote to support the bond issue to build the new sewer
plant, the question might read, "On the basis of your
knowledge of the community, do you think the voters
will vote to approve the bond issue, or not?"
J. All questionnaires need careful and detailed
instructions for all types of questions. This
includes written instructions for mail surveys, and
oral instructions for telephone and field surveys.
1. Careful attention to instructions clarifies
questions and increases the predictability of
getting uniform interpretations and answers.
For example, in rank order questions, let the
respondent know that "1" is low and "5" is high,
or that the respondent should only check one
response out of the list.
2. In personal interviews, it helps to hand a card
containing written questions and answers to the
person being interviewed. The interviewer
records the answer; the respondent gets to see
the question and options.
K. The layout and design of the questionnaire should
appear orderly and clear. The reader should know at
a glance where to begin, how to proceed, and where to
place answers.
1. Attempt to keep a question and answer on the
same page.
2. Consider using several type faces (standard
and italic) to separate instructions from
questions and answers.
188 SURVEYS
Barry Latvson Associates, Inc.
-------
IV. How is the size of the survey sample determined?
A. In general, four factors dictate the size of the
survey — the nature and complexity of the issues
under investigation, the degree of accuracy required,
the funding available for surveying, and the time
available for information collect ion.
B. The quality of information collected should be the
main determinant of survey size. Quality of data is
more important than quantity of data.
The quality of data is determined by the
size of the sample, the demographics and
source of the sample, and the type of survey
(mail, personal, or telephone) conducted.
C. Many methods exist for selecting a sample. Some
methods yield a statistically valid representative
sample, and others do not. Sometimes it is important
to choose a sample that will statistically represent
the total population of the area, with an error or
confidence factor of 5% or less. At other times, the
goal may be to pool an entire block or neighborhood,
knowing that the selected area is demographically
different from the rest of the community.
1. To develop a statistically valid sample, a form
of probability sampling is used. Once the
population to be surveyed is identified, a
systematic procedure for selecting a
representative sample of the whole population is
developed. The system should give everyone in
the survey audience an equal opportunity of
being chosen.
Random sampling is the umbrella term used to
describe the method for choosing a statistically
valid survey population from the target
audience. A variety of random sampling
techniques exist, including simple, systematic,
and stratified random sampling.
2. Sometimes survey specialists deliberately over
sample certain populations that might normally
be under representated. For analytical
purposes, complex weighting procedures are then
used to balance the data back to the more normal
proportions found in the population at large.
This is one of several more complex sampling
techniques that survey practioners use.
Barry Lawson Associates, Inc.
SURVEYS 189
-------
D. The process of selecting the final survey sample size
is complex, and founded in mathematical and
statistical theory. However, the common rule of
thumb used by survey specialists calls for a sample
size of roughly 2-10% of the targeted public, but not
less than 400 nor more than 2000 people.
1. For example, the Nielsen television preference
survey polls approximately 1600 households in
the United States to develop its nationwide
data.
2. Both the size of the sample chosen and the
technique used to draw the sample have a major
impact on the cost of the survey. The larger
the survey sample size, the more expensive the
administration and analysis of the survey.
V. When is the proper time to do public surveys?
A. The timing of a survey is dependent on the goals of
the survey.
1. If the goal is to collect baseline data on
public knowledge, opinions, and values, the
survey should occur prior to planning.
2. If the goal is to test a plan or approach on the
public, the survey should be conducted during
the plan evaluation and review stage.
3. If the goal is to measure changes in knowledge
and opinions over time, several surveys are
needed. One survey should occur prior to the
implementation of the education/participation
program. The other survey should take place
after the education/participation program.
VI. What steps are necessary to plan, design, and implement a
survey?
A. Developing and preparing the questionnaire is the
first step. This includes:
1. Identifying the issues and questions to be
asked.
2. Designing the questionnaire.
3. Pretesting the questionnaire.
190 SURVEYS
Barry Lawson Associates, Inc.
-------
4. Making adjustments and changes in the
questionnaire as a result of the pretest and
other reviews.
5. Printing the questionnaire.
<5. This step requires two to four weeks to
complete.
Administering the questionnaire is the second
step in the process. This step includes:
1. The training of interviewers, if necessary.
2. Distributing the questionnaire.
3. Conducting the interviews/waiting for mail
responses to be returned.
4. Follow-up on missed respondents or
non-respondents.
5. The time required depends on the type of survey:
a. Field interviews take 2-3 weeks.
b. Telephone interviews take 1-2 weeks.
c. Mail questionnaires take 3-4 weeks.
Analyzing the results is the final step. This step
includes:
1. Editing and coding responses, as necessary.
2. Computer processing and printing of tabulations.
3. Analyzing data, synthesizing material, and
re-running parts of the program to do cross
tabular analyses (comparing the answers of one
question to the answers of another, seeking new
information and insights).
4. Reporting the results to the public or to more
specialized audiences.
5. Depending on the complexity of the summary,
access to computers, and the amount of time
required for re-running parts of the program,
this step can take 2-4 weeks.
Barry Lawson Associates, Inc.
SURVEYS 191
-------
VII. What are the costs for doing a survey, and who can
do it?
A. Costs are determined by many factors. Among
them are:
1. Degree of difficulty in developing the survey
design.
2. The size of the survey sample.
3. The method of surveying — personal interviews,
telephone, or mail.
4. The design of the survey -- random sampling vs.
less stastically valid sampling.
5. Level of skill needed to perform interviewing.
6. Length of the interview.
7. Location of the interview.
8. Time of day.
9. Type of respondent (e.g. executive, housewife,
minority group member).
10. Need and level of follow-up activities to reach
non-respondents.
11. Complexity of coding and editing of raw data.
12. Amount of computer time/analysis needed.
13. Length and complexity of the analytical report
on the data required.
14. Environmental factors, such as the weather, and
political difficulties.
B. The following represents estimated costs for
each survey type. These figures include the costs of
preparing the survey questionnaire, administering the
survey, coding, editing and key punching, and
performing a basic analysis of the data.
1. Personal interview, per respondent: $20 - $40
2. Telephone, per phone call: $10 - $20
3. Mail survey, per questionnaire: $ 5 - $10
192 SURVEYS
Barry Lawson Associates, Inc.
-------
C. Due to the complexity and special nature of the
survey process, government agencies invariably
contract for survey work. Each community or state
has some survey research capability. Look at a
university or college survey research center
(non-profit), or a for-profit survey center
affiliated with a university. Many commercial survey
companies do market and political analyses, and
opinion polling. Look in the yellow pages under
"Market Research and Analysis," and "Public Opinion
Analysis," for the names of these companies.
VIII. What are some questions to ask when evaluating surveys?
A. Was the survey necessary? Was it the best and most
cost effective method of reaching stated goals? What
were the goals behind the survey? Were the goals
met?
B. Were the results of the survey useful? How was the
data used, and by whom?
C. Did the survey stay within budget constraints?
D. Was the data and analysis shared with the public?
What was the public's response to the survey? Did
the survey results aid in overall public
participation or planning? If so, how?
E. Did the survey have an impact on the project? How
did the survey affect project decision making?
F. Was the survey appropriately timed? Would an earlier
or later survey have been more useful?
G. Who performed the survey and analysis? Was this the
appropriate group to do this work? Did they lend
credibility to the effort?
NOTE: Much of the information in this chapter was developed from
material in Effective Citizen Participation in Transporation
Planning. Volume II, A Catalog of Techniques, U.S. Department of
Transporation, Federal Highway Administration, Washington, D.C.
20590, 197
-------
EPA Regulations on Surveys and Questionnaires (40 CFR 55 3d.^30)
(a) Costs associated with the collection of data or informa-
tion through surveys or questionnaires by a grantee (or party to
subagreement) shall be allowable project costs only if prior
written approval of the Project Officer has been obtained for
such survey or questionnaire. The Project Officer shall not give
such approval without the concurrence of the EPA Headquarters
Reports Management Officer to assure compliance with the Federal
Reports Act of 1942 (44 U.S.C. 3501-3511).
(b) A grantee (or party to subagreement) collecting informa-
tion from the public on his own initiative may not represent that
the information is being collected by or for EPA without prior
agency approval. If reference is to be made to EPA, or the
purpose of the grant is for collection of information from the
public, prior clearance of plans and report forms must be re-
quested by the grantee through the Project Officer.
194 SURVEYS
Barry Lawson Associates, Inc.
-------
>
ro
M •
X
-------
SUMMARY OUTLINE: EPA POLICY ON PUBLIC PARTICIPATION
• Strengthens EPA's commitment to public participation.
• Emphasizes the responsibility of senior management to
ensure that the policy is implemented properly.
c Establishes uniform procedures for public participation.
• Identifies mandatory and discretionary public
participation activities.
o Applies to:
EPA rulemaking, when the regulations are classified
"significant" under Executive Order 12044.
- Administration of permit programs.
State and substate programs supported by EPA grants
or cooperative agreements.
The process of delegating responsibilities to states.
- Major policy decisions, including priority setting.
THE MAJOR CONCEPTS IN THE POLICY ARE:
To establish:
• Five basic functions required in all public participation
activities:
- Identification
- Outreach
- Dialogue
- Assimilation
Feedback
• Public participation work plans.
o Agency funding to assist public participants.
0 Authority and responsibilities of:
The Administrator
Regional Administrators
Assistant Administrators
Director, Office of Public Awareness
POLICY OUTLINE 195
Barry Lawson Associates, Inc.
190 High Sheet • Cos.'o/i AM 02110
-------
THE POLICY SETS FORTH THE BASIC PREMISE OF PUBLIC PARTICIPATION
IN EPA
• Public participation will improve Agency decisions, and
make Agency decisions more acceptable to the public.
i
« Agency officials will provide for, encourage, and assist
participation by the public.
• Extra encouragement and assistance may be required to
ensure participation by groups with fewer opportunities
for involvement, or more limited resources.
a Agency employees should strive to do more than the minimum
requi rements.
• Public participation must begin early, and continue
throughout the decision-making process.
o The public must have an opportunity to influence and shape
Agency decisions.
• Public participation should be concentrated on activities
where alternatives are available or where substantial
agreement will be needed from the public if the activity
is to be carried out.
• Agency officials must avoid advocacy and pre-commitment to
any alternative prior to decision-making.
© Agency officials should actively seek to resolve conflicts
over issues among members of the public.
0 Effective public participation will reduce the need for
the public to go to court to resolve disputes.
THE OBJECTIVES OF THE POLICY ARE TO:
• Create early and continuing opportunites for public
participation in Agency decisions;
o Promote public involvement in implementing environmental
laws;
e Ensure public understanding of official programs and of
the implications of potential alternatives;
• Obtain the public's assistance in identifying alternatives
and selecting from among alternative courses of actions;
• Inform the public as significant developments arise;
196 POLICY OUTLINE
Barry Lawson Associates, Inc.
-------
e Create equal and open access to the regulatory process;
» Ensure government understanding of and responsiveness to
public concerns;
e Demonstrate the impact of public input on government
decisions;
» Anticipate conflicts and provide early means for
resolution;
• Foster trust and openness between public agencies and the
public; and
o Emphasize the responsibilities of Agency and program
management for promoting effective public involvement in
decision making and government action.
GENERAL PROCEDURES FOR ALL PROGRAMS
Identification:
© Target members of the public who are likely to be affected
by or interested in forthcoming agency activities;
e Use techniques to identify interested persons and areas of
interest among the public;
© Develop a contact list and add to it as needed and upon
request;
• Use the contact list in announcing participation
opportunities and other events, and in identifying
potential members of advisory groups;
e Use questionnaires and other means to determine the levels
of public awareness.
Outreach:
• Ensures that the public can participate on an informed and
timely basis.
e Outreach methods include among others:
publications such as fact sheets, technical
summaries, and bibliographies
questionnaires, surveys, interviews
POLICY OUTLINE 197
Barry Lawson Associates, Inc.
-------
media programs, news releases
education activities by financially assisted
organi zations
© Outreach materials must include:
background information
legal justification or the triggering event for
the action
timetable of proposed actions
summaries of lengthy or technical material
delineation of issues
alternatives or tentative determinations as
seen by the Agency
whether an EIS is or will be available
encouragement of participation
names, addresses and phone numbers of persons to
contact for information
e Social, economic, and environmental consequences should be
stated whenever possible.
• Summaries must not substitute for access to complete
documentation.
• Persons on the contact list and the media must be noti f ied
of participation opportunities in a manner consistent with
outreach requirements, and not simply through legal
articles.
e Notification should be at least 30 days before Agency
action, and 45 days before public hearings.
« Comment period should be sufficient for public response,
generally allowing at least 60 days.
• State and substate programs should provide notice of
participation opportunities within 45 days of award.
9 Copies of documents should be free of charge, or available
at cost, and be consistent with Freedom of Information Act
requirements (see 40 C.F.R. Part 2).
• Free copies may be reserved for persons or groups with
limited resources.
• Depositories for documents and other information shall be:
at public libraries and universities when possible
readily accessible by the public
available for use during off-work hours
copying facilities available
198 POLICY OUTLINE
Barry Lawsori Associates, Inc.
-------
Dialogue:
® Exchange of views between responsible officials and
members of the public.
• Preceded by distribution of information.
• Occurring sufficiently in advance of Agency action to
influence that action, and to permit agency response to
public views.
0 Provided for at times and places that facilitate
parti c i pat ion.
e Dialogue forms may include among others:
public hearings, usually at the end of the
participation process
- review groups or ad hoc committees
workshops
conferences
task forces
- personal conversations and correspondence
series of meetings
toll-free telephone access
- citizen hearings panels
other techniques chosen to meet particular needs
Dialogue: Requirements for Public Hearings
• 45 days notice to persons on contact list and media,
unless Assistant Administrator or Regional Administrator
finds 30 days sufficient for effective participation.
• At least 30 days notice in permit programs.
9 Notice of EIS hearing consistent with EIS regulations but
no later than 30 days prior to hearing.
e Less notice time in emergencies or where legally mandated.
e Content of notice:
- background
- identify matters to be discussed
discuss alternatives identified and any tentative
conclus ions
availability of an EIS
bibliography of other relevant materials
procedures for additional information
- specify information that is solicited by the Agency
POLICY OUTLINE 199
Barry Lawson Associates. Inc. —
-------
© All relevant background information must be available at
least 30 days before the hearing.
© Conducting the hearing:
informal atmosphere wherever possible
time for presentations, questions and answers, and
formal comments on the record
audience must be informed of the issues involved,
considerations that will be taken into account, any
tentative conclusions, and the information
particularly solicited
hearings should be held in geographic areas affected
by the action being considered
meeting to discuss issues prior to hearing when
beneficial
• hearing record
transcript or other complete record
left open for at least 10 days following hearing
for additional comments
copier available at cost, or free of charge
responsiveness summary when prepared, provided to all
who participated or who request a copy
Dialogue: Requirements for Advisory Groups
• When established by EPA, Federal Advisory Committee Act
(PL. 92-463) and General Service Administration (GSA)
regulations must be followed.
c Special requirements for state, substate and local
programs.
membership in substantially equivalent proportions
o f:
private citizens
representatives of public interest groups with
non-economic interest in the action
Federal, State, local and tribal officials
citizens or representatives of organizations
with substantial economic interests in the
plan or program
professional and clerical staff time available
operating budget for expenses
reimbursement of reasonable out-of-pocket costs
• Advisory group recommendations and meeting minutes are
public information, available to the public and other
agenc i es.
200 POLICY OUTLINE
Barry Lawson Associates, Inc.
-------
Assimilation
® Demonstrating that public input has been used in shaping
agency actions.
© Consideration of public input must be demonstrated, and
may take the form of Responsiveness Summaries, regulatory
preamble, or other appropriate forms.
o To demonstrate assimilation of public input,
- explain the type of participation activity conducted
identify participants and their affiliation
describe matters on which public was consulted
summarize viewpoints, comments, criticisms and
suggestions
disclose Agency's process in reaching a decision
set forth Agency's specific responses in modifying
proposed actions or rejecting public proposals,
and reasons
e Responsiveness Summaries must be used by the Agency in
decision-making.
o Final Responsiveness Summaries must include an evaluation
of the public participation activities performed.
Feedback
« May be in the form of personal contact, if the number of
participants is small. Otherwise a Responsiveness Summary
or publication should be mailed to those on the contact
list.
• All public participants must receive feedback.
© Persons who participated must be informed of the final
action taken, and the effect of public comments on that
action.
• Written feedback must be made available to the public, and
notice of availability must be given.
PUBLIC PARTICIPATION -WORK PLANS
• Written planning tools setting forth objectives,
schedules, techniques, audiences, and resource
requi rements
POLICY OUTLINE 201
Barry Lawson Associates, Inc.
-------
® Undertaken by EPA or applicants for EPA financial
assistance
e Work plans must include:
- key decisions subject to public participation
staff contacts, including address and phone number
budget resources allocated for public participation
- segments' of public targeted for participation
proposed schedule of public participation activities
mechanisms to achieve the identification, outreach,
dialogue, assimilation and feedback functions
of public participation
e All reasonable public participation costs identified in an
approved work plan will be eligible for financial
assistance.
• Work plans will be prepared for individual projects and
also at the program level.
• Assistant Administrators and Regional Administrators
ensure that program work plans are used in the budgetary
process.
• Work plans will be reviewed by the Special Assistant for
Public Participation who will work with program and
regional managers to ensure that public participation is
planned effectively.
« Work plans may be used as public information documents.
ASSISTANCE TO THE PUBLIC
• Assistant Administrators, Office Directors, and Regional
Administrators can provide funds to outside organizations
and individuals to promote public participation
activities.
• Applicants for financial assistance for non-regulatory or
non-adjudicatory participation will be judged by the
following criteria:
prepared activity will further the objectives of
public participation policy
result in participation by an interest not adequately
represented
resources will be inadequate for participation
without assistance
work can be accomplished completely
20 2 POLICY OUTLINE
Barry Lawson Associates, Inc.
-------
AUTHORITY AND RESPONSIBILITY
Administrator
® Overall direction and responsibility.
« Aided by the Special Assistant for Public Participation.
© Establish policy direction and guidance.
e Review public participation program work plans, including
resource allocations.
o Coordinate funding, and provide technical assistance to
outside groups as appropriate.
© Provide training and incentives to Agency personnel.
• Evaluate the adequacy of Agency public participation
activities, at least annually.
Assistant Administrators
© Identify and address activities where application of
policy is required.
o Identify and address forthcoming major policy decisions
where policy should be applied.
• Ensure that work plans are developed annually for programs
and by grantees.
• Implement approved public participation and information
work plans.
o Ensure that program regulations are amended to incorporate
policy provisions.
• Evaluate public participation activities in their
jurisdiction, and revise as necessary.
® Encourage coordination of activities where appropriate.
• Provide guidance and assistance to support regional office
activities.
• Seek public participation in national policy development.
• Consider funding authorized pilot and innovative
demonstration projects.
• Consider measures to ensure policy implementation in
manager's performance standards.
POLICY OUTLINE 203
Barry Lawson Associates, Inc.
-------
0 Provide financial assistance for public participation at
the national level.
Regional Administrators
• Identify and address activities where application of
policy is required.
• Identify and address forthcoming major policy decisions
where policy should be applied.
o Ensure that work plans are developed annually for programs
and by grant recipients.
• Implement approved public participation and information
work plans.
e Ensure that public participation is included by applicants
in the development of funding applications, State-EPA
agreements, and other decisions identified by the Policy.
• Provide guidance and technical assistance to grantees.
a Evaluate public participation activities annually and
revise them as necessary.
• Encourage coordination of activities where appropriate.
• Support and assist the public participation activities of
Headquarters.
9 Ensure that staff are trained and that necessary resources
are allocated.
© Ensure policy implementation in manager's performance
standards.
e Provide small grants to citizen groups, subject to the
availability of funds.
Director, Office of Public Awareness
9 Assist Headquarters and regional programs in identifying
persons to include on contact lists.
• Assist Headquarters and regional programs in developing
and distributing outreach materials.
204 POLICY OUTLINE
Barry Lawson Associates, Inc.
-------
e Develop annual public awareness/participation support
plans to complement work plans and identify resource
requi rements.
COMPLIANCE
0 Assistant Administrators, Office Directors and Regional
Administrators must ensure that activities under their
jurisdiction comply with the Policy.
e Compliance by approved State programs will be ascertained
during annual review and any other program audit or
review.
• Inadequate compliance may delay grant award.
e Specific Policy requirements may be involved if greater
public participation will result.
• Citizens with information of non-compliance should notify
the appropriate Regional Administrator or Assistant
Administrator, and, if necessary, the Administrator.
e Instances of alleged non-compliance will be investigated
promptly, and corrective action taken where necessary.
POLICY OUTLINE 205
Barry Lawson Associates, Inc. —
-------
SELECTED PUBLIC PARTICIPATION BIBLIOGRAPHY
Alloort, Gordon. ''The Ps\chology of Participation." Psychological
Review, LU (May 1945), 117 - 132.
Arnold, John E. "People Involvement: Participation to Restore
Confidence." Public Management, L111 (September 1971), 11.
Arnstetn, Sherry R. "A Ladder of Citizen Participation." Journal ol
the American Institute of Planners, XXXV (July 1969)" 216 - .
Buer, Michael A. and Jaros, Dean. "Participation as Instrument and
Expression: Some Evidence from the States." American Journal
of Political Science, Volume 18 (May 1974), 36"5 - 383.
Ballweg, John A. Measuring ALtitudes Toward Water Use Priorities.
Ballweg, John A. and Ibsen, Charles A. "Water Resources as Social
Problems." Water Resources Bulletin, Vol. 7, No. 5 (1971),
935 - 940.
Bel], Daniel and Held, Virginia. "The Community Revolution."
Public Interest, No. 16 (Summer, 1969), 142-177.
Bell, Wendell and Maryanne T. Force. "Social Structure and
Participation in Different Types of Formal Associations."
Social Forces, Vol. 34 (May 1956), 345-350.
Berelson, Bernard R. "Democratic Practice and Democratic Theory."
Public Opinion and Public Policy. Edited by N. Luttbeg.
Homewood, 1 1 1 i noi s : The Dorcev Press, 1968.
Bishop, A. B. "Public Participation for Water Resources."
Institutp for Water Resources. Reoort 70-7 (1970), AD717022.
Bishop, A. Bruce. Public Participation in Water Resources Planning.
A1 exandr 1 a, Vi rgin ia : 0~! Army Corps ol Engineers Institute
for Water Resources, 1970.
Bolan, Richard S. "Community Decision Behavior: The Culture of
Planning." Journal of the American Institute of Planners
(September 1969), 301 - 310. (Further references to this
publication will be abbreviated JAJP.)
Bolle, Arnold W. "Public Participation and Environmental Quality."
Natural Resources Journal, XI (July 1971), 497-506.
Bonjean, Charles M.; Clark, Terry; and Lineberry, Robert L. (eds.)
Commun11 y Politics: A Behavioral Approach. New York:
The Free Press, 1971~i "
Borry Lawson Associates. Inc.
I'M) I hyh S.riv ; Rnsion AM0JIJ0
Bonner, Patricia and Shimizu, Ronald (eds..) !'i oceoding^ of a
Workshop on Public Participation. Windsor, Ontario:
International Joint Commission, 1075.
Borton, Thomas E. : Warner, Katherme P.; and Wenrick, J. William.
"The Susquehanna Communicat ion - Participation Study:
Selected Approaches to Public Involvement in Water Resources
Planning." (Original work: A ] exandr a , V ir gin i a .i l.cl Michi gan
University Institute for Water Resources, 1970). Cited in:
Water Resource Abst racts 7, 1 (1 Sept., 1970): S4 Ir'-i itul c
for Water Resources, Report 70-6, AD717023.
Bradley, Keith T. "Public Participation m the Saint John River
Basin Study." Techniques and Strategics lor Public Involvomcni
in the Water Resources Planning Process. Alexandria, Virginia:
U. S. Army Corps of Engineers Institute lor Water Resources, 1971.
Brown, David S. "The Management of Advisors Committees: An
Assignment for the '70's." Pub 1 l c Adm mistration Re\ l ew,
Vol. XXXII, No. (July/August , 1972), 334 - 3-12.
Browne, Ivore. "Wh\ Commun U\ Participation''' Adm inisi rat l on ,
XXI (Spring, 1973), 41-44.
Brune, David. "Citizen Action in Water." Proceedings ol tho Fourth
American Water Ro'-ources Conference. Cohen k Francisco; 2 96- 1303.
Brune, David. Environmental Guidelines for the Civil Works Propiam
of the Corps oi Engineers. Institute for Water Resources
Report 7-05, AD716770.
Burke, Edmund. "Citizen Participation Strategic^." JA IP
(September, 1968), 287-294.
Cahn, Edgar S. and PasseLt, Barry A. (eds. ) Cinzen Participation:
Effecting Community Change. Neu York: Pracger, 1971.
Caldwell, Lynton K.; Hayes, Lynton R.; and MacUhirter, Isabel.
Citizens and the Environment. Bloonu ngton, Indiana:
Indiana University Press, 1976.
Carroll, James D. "Particlpatorv Technologv." Science, Vol. 171,
No. 3972 (February 19, 1971), 647-653.
"Carter's Uphill War on Those Outside Advisors." U. S. News and
World Report 8 5 (July 17, 1978), 61-62.
Cartwright, Donvm. "Achieving Change in People: Some Appl nations
of Group Dynamics Theory." Human Rel ations, Vol. -• , No. 4
(1951), 387.
Center for Research in Social Change, Emory University. "An Interim
Report to the Urban Observatory of the City of Atlanta, Georgia -
Organized Citizen Participation: Literature Analysis,
Case Study Design." March 1, 1970.
-------
-3-
Cheney, Ruth*- "Advocacy Planning: What It Is, How It Works."
Progressive Architecture XLIV (September 1968).
Chisholm, Shirley. "Planning With and Not for People." Planning 1970
Proceedings of the American Society of Planning Officials,
Annual Conference, ASPO. Chicago (1970); 1-5.
"Citizen Participation and Local Government in the United States."
Studies in Comparative Local Government, Vol. 5 (Winter, 1971),
74 - 97.
Clavel, Pierre. "Planners and Citizens Boards: Some Applications
of Social Theory to the Problem of Plan Implementation."
Journal of the American Institute of Planners, Vol. XXXIV,
No. 3 (May 1968), 130 - 139.
Coates, James F. "Why Public Participation is Essential in
Technology Assessment." Public Administration Review 35
(January/February, 1975).
Comptroller General of the United States. Better Evaluations Needed
to Weed Out Useless Federal Advisory Committees. Washington, D.C.
General Accounting Office, 1977.
Connor, Desmond M.and Bradely, Keith T. "Public Participation in
the St. John River Basin." Washington, D. C.: Preprint of
Conference Proceedings, Scheduled for publication by the
American Society of Civil Engineering, 1972.
Cormick, Gerald W. and McCarthy, Jane E. "Environmental Mediation:
A First Dispute." Social Science Institute, Washington
University, December 20, 1974.
Crenson, Matthew. "Organizational Factors in Citizen Participation."
Journal of Politics, Vol. XXXVI (May 1974), 356- 378.
Cronin, Thomas E. and Thomas, Norman C. "Educational Policy
Advisors and the Great Society." Public Policy 18 (Fall, 1970).
Cronin, Thomas E. and Thomas, Norman C. "Federal Advisory Processes:
Advice and Discontent." Science 171 (February, 1971), 771- 779.
Curran, Terronce P. "Water Resources Management in the Public
Interest." Water Resources Bulletin 7 (February, 1971).
Dahl, Robert A. Who Governs. New Haven: Yale University Press, 1961.
Dahlgren, Charles W. Public Participation in Water Resources Planning:
A Multi-Media Course. Alexandria, Virginia: U. S. Array Corps
of Engineers Institute for Water Resources, 1971.
Davidoff, Paul and Reiner, Thomas A. "A Choice Theory of Planning.
JAIP (May, 1962), 103-115.
-4-
Davidoff, Paul. "Advocacy of Pluralism in Planning." Journal of
the American Institute of Planners, Vol. XXXI (1965).
Delbecq, A. and Van de Ven, A. A Group Process Model for Problem
Identification and Program Planning, Madison, Wisconsin:
Center for the Study of Program Administration, undated.
Delli Priscoli, Jerry. "Citizen Advisory Groups and Conflict
Resolution m Regional Water Resources Planning." Water
Resources Bulletin 11 (December, 1975).
Detroit City Plan Commission. "Citizen Participation in the
Planning Process." Master Plan Study Report - A Working Paper
(August 19, 1968).
Dodge, B. H. "Achieving Public Involvement in the Corps of
Engineers, Water Resources Planning." Water Resources Bulletin,
Vol. 9, No. 3 (1973), 448-454.
Doerksen, Henry R. and Pierce, John S. "Citizen Influence in
Water Policy Decisions: Context, Constraints, and Alternatives."
Water Resources Bulletin 11 (October, 1975).
Douglas, A. Industrial Peace-Making. New York: Columbia University
Press, 1962.
Draper, Diana. Public Participation in Environmental Decision-Making.
Exchange Bibliography No. 396. Monticello, Illinois:
Council of Planning Librarians, 1972.
Ducey, John M. "Citizen Participation in the Planning Process."
Proceedings of the Annual Conference of the AIP (1964) 228 - 233.
Ebbin, Steven and Kasper, Raphael. Citizen Groups and the Nuclear
Power Controversy: Uses of Scientific and Technological
Information. Cambridge: The MIT Press, 1974.
Ertel, Madge and Koch, Stewart G. Citizen Participation in
Comprehensive Water Resources Planning. Amherst, Massachusetts:
University of Massachusetts Water Resources Research Center (1976).
Ertel, Madge. "The Participatory Role of Citizens Advisory Groups
in New England Water Resouces Planning." University of
Massachusetts Water Resources Research Center, 1972.
Ertel, Madge. The Role of Citizen Advisory Groups in Water Resources
Planning. Amherst, Massachusetts: University of Massachusetts
Water Resources Research Center, 1974.
Federal Register. Washington: Government Printing Office, 1936 -
Published daily. Contains rules and regulations of Federal
departments and agencies. A codification of these rules is
found in the Code of Federal Regulations, also published by
the Government Printing Office.
-------
-5-
Foley, Carl 0. (ed.) Techniques and Strategies for Public
Involvement in the Water Resources Planning Process,
Workshop Proceedings, Board of Engineers for Rivers and
Harbors, U. S. Army Corps of Engineers, May 1971.
Freeman, A. Myrick. "Advocacy and Resource Allocation Decisions
m the Public Sector." Natural Resources Journal (April,
1969) 166 - 175.
Freidman, Robert S. "Representation m Regulatory Decision-making."
Public Administration Review 38 (May/June, 1978), 205-214.
Gage, Kit and Epstein, Samuel S. "The Federal Advisory Committee
System." Environmental Law Reporter 7 (February, 1977),
50001 - 500T^
Gelhorn, Ernest. "Public Participation in Administrative Hearings."
Report to the Committee on Agency Organization and Procedure
of the Administrative Conference of the United States, 1971.
Gilbert, Douglas L. Public Relations in Natural Resources Management.
Minneapolis: Burgeis Publishing W., 1964.
Godschalk, David R. and Mills, William E. "A Collaborative Approach
to Planning Through Urban Activities." JAIP, Vol. 32, No. 2
(May, 1966), 86 - 95.
Haefele, Edwin T. Representative Government and Environmental
Management. Baltimore: The Johns Hopkins University Press, 1973.
Haefele, Edwin T. "Social Choices and Environmental Quality."
Resources for the Future. Annual Report (1970), 23- 31.
Havlick, Spenser W. "The Construction of Trust - An Experiment
in Expanding Democratic Processes in Water Resource Planning."
Water Spectrum (Fall/Winter, 1969-1970), 13-19.
Heberlem, Thomas A. "Some Observations on Alternative Mechanisms
for Public Involvement." Natural Resources Journal 16(Jan,1976).
Hyman, Herbert H. "Planning with Citizens: Two Styles."
JAIP (March 1969), 245-252.
Ibsen, Charles A. and Ballweg, John. Publ3c Perception of Water
Resource Problems. Blacksburg, Virginia: Water Resources
Research Center, Virginia Polytechnic Institute, Bulletin 29
(1969).
Ingram, Helen M. Case Study of a River Basin Commission Established
Under Title II of the Water Resources Planning Act of 1965.
Washington, D.C.: National Water Commission, 1971.
-6-
Ingram, Helen. "Information Channels and Environmental
Decision-Making." Natural Resources Journal, Vol. 13
(January, 1973).
Ingram, Helen. "Patterns of Politics in Water Resources
Development." Natural Resources Journal (January, 1971),
102 - 118.
Izaak Walton League of America. A Citizen's Guide to Clean Water.
Prepared for the U. S. Environmental Protection Agency.
Arlington, Virginia: 1973.
Jennings, M. Kent. Community In fluentials. New York: The Free
Press, 1964.
Jones, Garth N. "The Multitudinous Publics." In Municipal Pub"! ic
Relations '> Anderson, D. L. (ed.) Chicago, Illinois:
International City Managers1 Association (1966); 70.
Kasperson, Roger E. "Political Behavior and the Decision-making
Process in the Allocation of Water Resources Between
Recreational and Municipal Use." Natural Resources Journal,
Vol. 9 (April, 1969), 176-211.
Katz, Elihu. "The Diffusion of New Ideas and Practices." In
The Science of Human Communication: Schramm, W.(ed.) New York:
Basic Books, 1963.
Katz, Elihu and Lazarsfeld, Paul F. Personal Influence: The Pari
Played by People in the Flow of Mass Commmunications.
Glencoe, Illinois: The Free Press, 1955.
Katz, Elihu. "The Social Itinerary of Technical Change:
Two Studies in the Diffusion of Innovation." Human Organization
20.
Kaufman, Herbert. "Administrative Decentralization and Political
Power." Public Administration Review 29 (January/February, 1969).
Klapper, Joseph-T. The Effects of Mass Communication. The
Free Press of Glencoe, 1968.
Lasswell, Harold D. "The Structure and Function of Communication in
Society." In The Communication of Ideas: Gryson, L. (ed.)
New York: Institute for Religious and Social Studies,
Jewish Theological Seminary of America, 1948.
Lazarsfeld, Paul F. and Menzel, Herbert. "Mass Media and Personal
Influence." In The Science of Human Communication: Schramm, W.
(ed.) New York: Basic Books, 1963.
Ledyard, Julia. Citizen Participation in Planning. Exchange
Bibliography No. 76 for Council of Planning Librarians
(April, 1969).
-------
-7-
Levy, Harold P. Public Relations for Social Agencies. New York:
Harper and Brothers, 1956.
Libby, Lawrence. "More on Public Participation." IN Social and
Economic Aspects of Water Resource Development: Dworsky, L. B.;
Allee, D. J.; and Casallany, S. C. (eds.) Urbana, Illinois:
American Water Resources Association (1972); 67.
Marshall, Dale Roger. "Who Participates in What: A Bibliographic
Essay." Urban Affairs Quarterly 112 (1968), 201 - 223.
Matthews, Vincent. Citizen Participation: An Analytical Study of
the Literature, Community Relations Service, U. S. Department
of Justice (June, 1968).
Mazmanian, Daniel A. Citizens and the Assessment of Technology.
Paper presented at the Annual Meeting of the American Political
Science Association, 24 August - 2 September, 1974.
McMurtry, Virginia A. The Federal Advisory Committee Act:
Problems and Proposed Changes. Washington, D.C., Congressional
Research Service, 1977.
Milbraith, Lester W. Political Participation. Chicago: Rand
McNally, 1965.
Mogulof, Melvin B. Citizen Participation: A Review and Commentary
on Federal Policies and Practices. Washington: Urban Institute,
1970.
Mogulof, Melvin B. "Citizen Participation: The Local Perspective."
Working Paper - Part II. Washington: The Urban Institute
March, 1970.
Mosher, Frederick C. (ed.) Governmental Reorganizations: Cases
and Commentary. New York: Bobbs-Memll Company, 1967.
Moynihan, Daniel P. Maximum Feasible Misunderstanding. New York:
The Free Press, 1969.
National Asociation of Regional Councils, Regional Councils
Communications: A Guide to Issues and Techniques. Washington,
D.C.: National Association of Regional Councils, January, 1973.
Perntt, Henry H., Jr. and Wilkinson, James A. "Open Advisory
Committees and the Political Process." Georgetown Law Journal
63 (February, 1975),725 - 747.
Pierce, Milo C. Participation in Decision-Making: A Selected
Bibliography" Exchange Bibliography No. 258. Monticello,
Illinois: Council of Planning Librarians, 1972.
-8-
Planalysis, Inc. MML Citizen Participation Manual: A Guide for
More Effective Citizen Involvement. Produced with the
cooperation of the Community Services Administration.
Jefferson City, Missouri: Missouri Municipal League, not dated.
Public Administration Review. "Symposium on Alienation,
Decentralization, and Participation." Vol. 29, No. 1 (1969)
2-63, American Society for Public Administration.
Public Participation Concepts and Skills. U. S. Environmental
Protection Agency, Barry Lawson Associates, Inc.,
Boston, Massachusetts, 1979.
Puget Sound Governmental Conference. Communication - Key to
Participatory Regional Planning: The Design of Policy
Development Tool. Seattle, Washington: May, 1970.
Reidel, James A. "Citizen Participation: Myths and Realities."
Public Administration Review 32 (May/June, 1972).
Rein, Martin. "Social Planning: The Search for Legitimacy."
JAIP (July, 1969), 233-244.
Research Center for Urban Environmental Planning. Planning and
Design Workbook for Citizen Participation. Princeton, New Jersey
Princeton University Press, 1969.
Rogers, Everett M. and Shoemaker. Communication of Innovations.
New York: The Free Press / Collier-MacMillan Ltd., London, 1971.
Ross, Peggy J.; Spencer, Barbara G.; and Peterson, John H.
Public Participation in Water Resources Planning and
Decision-Making Through Information - Education Programs:
A State-of-the-Arts Study. Mississippi State, Mississippi:
Mississippi State University Water Resources Research Institute,
1974.
Sargent, Howard L. Asce, Colone, U. S. Army Corps of Engineers.
"Fishbowl Planning Immerses Pacific Northwest Citizens in
Corps Projects." Civil Engineering - ASCE, Vol. 42, No. 9
(1972), 54-57. Discussion: D. Kelly O'Day, Jan 73:59.
Schramm, Wilbur. The Science of Human Communication. New York:
Basic Books, 1963.
Seaver, Robert. "The Dilemma of Citizen Participation."
Pratt Planning Papers 4 (September, 1966).
SEDFRE Training Manual Series: How To Be An Effective Board-Member,
Negotiation -- A Tool For Change, Public Relations
How To Use It, How to Apply for Grants, Help! I Have to Write
a Report, ABC's of Community Organizing. New York: 1970- 1973.
-------
-9-
Sellevold, R. P. "Public Involvement in Planning - U. S. Army Corps
of Engineers." In Social and Economic Aspects of Water Resource
Development: Dworsky, L. B. ; a1lee, D. J., Casallany, S. C.(eds.)
Urbana, Illinois: American Water Resources' Association, 1972;
56 -60.
Selznick, Philip. TVA and the Grass Roots. Berkeley: The University
of California Press, 1949.
Sewell, Derrick W. R. and O'Riordan, Timothy. "The Culture'of
Participation in Environmental Decision Making." Natural
Resources Journal 16 (January, 1976).
Shaeffer, John R.; Davis, George R.; and Richmond, Alan P. Community
Goals - Management Opportunities: An Approach to Flood Plain
Management. Washington: U. S. Army Corps of Engineers,
Institute for Water Resources (May, 1970), Report #70-2.
Shaller, Lyle E. "Is the Citizen Advisory Committee a Threat to
Representative Government9" Public Administration Review 24
(1964),N 1 75 - 179.
Shore, William B. Public Participation m Regional Planning.
A Report of the Second Regional Plan, New York Regional Plan
Association (October, 1967).
Sigel, Roberta S. "Citizens Committees -- Advice vs. Consent."
Transact ion, Vol. 4, No. 6 (May 1967), 4 7 - 52.
Smith, Donald F. "Changing Public Opinion: Problems and Prospects."
Proceedings of a Conference on Water Resources Planning and
Public Opinion. The University of Nebraska Water Resources
Research Institute, March 8- 9, 1971; 45- 59.
Smith, Richard Warren. "A Theoretical Basis for Participatory
Planning." Policy Sciences 4.
Smith, Stephanie. Federal Advisory Bodies: A Select Bibliography.
Washington, D.C.: Legislative Reference Service, 1974.
Smith, Thomas B. "Advisory Committees in the Public Policy Process."
International Review of Admistrative Sciences 43 (1977), 153-166.
Spiegal, Hans B. C. (ed.) Citizen Participation in Urban Development:
Volume I - Concepts and Issues. Washington: NTL Institute for
Applied Behavioral Science, 1968.
Spiegal, Hans B. C. (ed) Citizen Participation in Urban Development.
Volume II - Cases and Programs. Washington: NTL Institute for
Applied Behavioral Science, 1969.
Spiegal, Hans B. C. "Citizen Participation in Federal Programs:
A Review." Journal of Voluntary Action Research. Monograph
No. 1 (1971).
-10-
Stenberg, Carl W. "Citizens and the Admistrative Stale: From
Participation to Power." Public Admistration Review,
Vol. 32 (May/June, 1972), 190 - 198.
Svindoff, Mitchell. "Planning and Participation." Address
delivered to the American Institute of Planners, January 24, 1969.
Tinkham, Lester A. "The Public's Role in Decision - Making for
Federal Water Resources Developments." Water Resources Bulletin,
Vol. 4., No. 4 (1974), 691-696.
Tucker, Richard C. "Planners as a 'Public' in Water Resources
Public Participation Programs." Water Resources Bulletin,
Vol. 8, No. 2 (1972), 259-269.
U. S. Citizen's Advisory Committee on Environmental Quality.
Citizen Action Guide to Energy Conservation. Washington:
Government Printing Office, 1973.
U. S. Department of the Army, Corps of Engineers, Institute for
Water Resources. Public Participation in Water Resources Planning
IWR Report 70-7. Springfield, Viginia: Clearinghouse for
Federal Scientific and Technical Information, December 1970.
U. S. Department of Housing and Urban Development. Citizen and
Business Participation in Urban Affairs: A Bibliography.
Washington, D.C.: U. S. Government Printing Office, 1970.
U. S. Department of Transportation, Federal Highway Administration,
Social - Economic Division. Effective Citizen Participation
m Transportation Planning, Volumes I & 11. Washington:
Prepared under contract by Arthur D. Little, Inc., 1976.
U. S. Environmental Protection Agency. Clean Air: It's Up to You,
Too. Washington: Government Printing Office, 1973.
Van de Ven, A. and Delbecq, A. Guidelines for Leaders in Conducting
Nominal Group Meetings. Madison, Wisconsin: Center for the
Study of Program Administration, May 1971.
Van de Ven, A. and Delbecq, A. "Nominal versus Interacting Group
Process for Committee Decision Making Effectiveness."
Madison, Wisconsin: Center for the Study of Program Administration
undated.
Verba, Sidney. "Democratic Participation." In Social Intelligence
for America's Future: Gross, B. (ed.) Boston: AJlyn and Bacon,
1969; 129.
Warner, Katherine P. A State-of-the-Arts Study of Public
Participation in the Water Resources Planning Process.
Arlington, Virginia: National Water Commission, 1971.
-------
-11-
Warner, Katherine P. Public Participation in Water Resources
Planning. Ann Arbor, Michigan: University of Michigan, 1971.
Water Resources Research Institute, The University of Nebraska.
Proceedings of a Conference on Water Resources Planning and
Public Opinion. Lincoln, Nebraska: April, 1971.
Wengert, Norman. "Citizen Participation: Practice in Search of
a Theory." Natural Resources Journal 16 (January, 1976).
Wengert, Norman. "Public Participation in Water Planning."
Water Resources Bulletin, Vol.. 7, No. 1 (February, 1971).
Wengert, Norman. "Where Can We Go with Public Participation in the
Planning Process?" In Social and Economic Aspects of Water
Resource Development: Dworsky, L. B.; Allee, D. J.: and
Csal lany, S.C.(eds) Urbana, Illinois: American Water Resources
Association, 1 y 72 ; 9-19.
Wennch, J. William. "Community Education for Participation in
Water Resource Planning." In Focus on Change: Intergovernmental
Relations in Water Resources Planning; Straayer, J. A. (ed.)
Policy Science Papers No. 1, Colorada State University,
January, 1970; 235-246.
Willeke, Gene E.; M. ASCE. "Citizen Participation: Here to Stay."
Civil Engineering - ASCE; 78 - 82.
Wilm, Ann S. and Thomas, Kristi L. The Winooski Workshops: An
Assessment of Specified Workshop Techniques for Stimulating
and Improving Public Involvement in Water Resources.
University of Vermont Water Resources Research Center, 1975.
Wilson, James Wood. People in the Way: The Human Aspects of the
Columbia River Project; 1973.
Yin, Robert K. et al. "Bibliography on Citizen Participation."
In Citizen Organizations: Increasing Client Control over
Services. Santa Monica, California: Prepared for the U. S.
Department of Health, Education and Welfare by the Rand
Corporation, 1973; 111-195.
Young, Kimball. "Comments on the Nature of 'Public* and 'Public
Opinion1." Public Opinion and Propaganda; Katz, D. et al. (eds.)
New York: The Dryden Press, 1954.
Young, Robert C. "Goals and Goal - Setting." JAIP (March, 1966),
76 - 85.
Zeller, Florence. Use of Advisory Committees. Washington, D.C.:
International City Management Association, 1977.
Barry Lawson Associates, Inc.
-------
Monday
January 19, 1981
Part XXXII
Environmental
Protection Agency
Responsiveness Summary and Preamble
on Public Participation Policy
-------
5736
Federal Register / Vol. 46, No. 12 / Monday, January 19,1981 / Notices
ENVIRONMENTAL PROTECTION
AGENCY
CAS-FRL-1688-81
Responsiveness Summary and
Preamble on Public Participation
Policy
AGENCY: Environmental Protection
Agency.
action: Policy.
SUMMARY: This Policy is designed to
provide guidance and direction to public
officials who manage and conduct EPA
programs on reasonable and effective
means of involving the public in
program decisions. The Policy applies to
programs under the Clean Air Act (Pub.
L. 95-95), Quiet Communities Act (Pub.
L. 95-609), Resource Conservation and
Recovery Act (Pub. L. 94-580), Toxic
Substances Control Act (Pub. L. 94-469),
Federal Insecticide, Fungicide and
Rodenticide Act (Pub. L. 95-396), Safe
Drinking Water Act (Pub. L. 95-190), and
the Clean Water Act (Pub. L. 95-217).
The Policy establishes the objectives
of public participation in EPA programs,
outlines essential elements that must be
incorporated in any public participation
effort, discusses a number of public
participation mechanisms with ground
rules for their effective use, and assigns
responsibility for planning, managing,
funding, and carrying out public
participation activities to EPA
managers. The intent of the Policy is to
ensure that managers plan in advance
needed public involvement in their
programs, that they consult with the
public on issues where public comment
can be truly helpful, that they use
methods of consultation that will be
effective both for program purposes and
for the members of the public who take
part, and finally that they are able to
apply what they have learned from the
public in their final program decisions.
The Policy provides a uniform set of
guidelines and requirements applicable
to all EPA programs, thus assuring a
consistent base level of effort. The
Policy applies to all EPA activities as
well as to State and local activities
funded or delegated by EPA. EPA will
develop work plans as part of the
annual budget development cycle, and
amend program regulations as needed to
incorporate the Policy. Affected
programs are listed in the Appendix to
the Policy.
dates: Tils Policy is effective on
January 19,1981.
FOR FURTHER INFORMATION CONTACT:
Sharon F. Francis, Special Assistant for
Public Participation, Office of the
Administrator (A-1Q0), Environmental
Protection Agency, 401 M Street, SW.,
Washington, D.C. 20460, telephone 202/
245-3066.
SUPPLEMENTARY INFORMATION: The
Policy which takes effect with this
publication is the result of long and
careful consideration on the part of EPA,
State and local agencies, and the diverse
public that is actively concerned with
EPA programs. EPA already enjoys a
substantial amount of involvement from
an active and interested public. Indeed,
to that public goes substantial credit for
progress made in cleaning up
environmental pollution over the last ten
years. There has been recognition,
however, both inside and outside the
Agency, that new steps need to be taken
to ensure that members of the public
affected by EPA programs are given an
earlier and better opportunity to be
heard in EPA decisionmaking.
EPA has received a significant volume
of thoughtful criticism of its performance
in implementing its legally mandated
public participation activities and its
more general responsibility to involve
the public in governmental decisions.
The desire of the public to have a
stronger role in shaping government
programs which affect their lives,
businesses, and communities, and also
the growing need for governmental units
at all levels to participate in the
programs 6f other governmental entities
has stimulated this criticism.
Government decision-makers have
become increasingly aware of the
capability of the public to make
constructive use of opportunities for
involvement. This new awareness has
been accompanied by increased
practical experience in using a variety of
techniques to facilitate public
involvement.
For these reasons, EPA has recognized
the need to improve public involvement
in governmental decisions by clarifying
the rights and responsibilities of
potential participants and those
responsible for administering public
participation programs. This will lead to
better decisions, more satisfactory
opportunities for the public to pursue
their goals through government, and
greater public confidence in government
because decisions will be made with
participation by interested and affected
members of the public.
Both EPA and members of the public
have more demands on their scarce time
and resources than can be filled, and
need to use them where the results can
be most effective. This Policy's common
objectives, procedures, and emphasis on
results will benefit the entire Agency,
and will give the public new
confirmation that EPA intends to be as
responsive as possible to public
questions, concerns, and preferences.
This Policy is the result of analysis
and reforms instituted at the
Administrator's direction by the Agency
Task Force on Public Participation. The
Policy was initially proposed in the
Federal Register on April 30,1980. In
order to ensure that the proposed Policy
received attention from the various
sectors'of the public active in EPA's
programs, the Agency mailed copies of
the proposal to a nationwide mailing list
that included business and industry,
labor organizations, professional and
trade associations, news media,
consumer and women's organizations,
environmental and public interest
groups, Black, Hispanic, and Native
American organizations, scientific,
public health, legal and planning
societies, and State agencies.
Additionally, each of EPA's ten
regional offices received copies of the
Policy for distribution to their
constituent lists at the regional, State
and local levels. A number of regional
offices wrote and distributed summaries
of the proposed Policy, as well as held
meetings to give members of the public
opportunity to raise questions and
express their views. Public meetings
were held in Boston,. Chicago,
Columbus, Minneapolis, Denver, Seattle,
Portland, Boise, Anchorage, and
Washington. As a result of these
outreach efforts, close to 500 members
of the public took part in discussions
and offered comment on the proposal.
The following analysis of the
comments received, in terms of the
affiliation of the person commenting,
provides insight on the expectations and
needs of various sectors of the public.
Written comments were received from
people in forty-two States, with the
largest number of comments coming
from States where EPA's regional offices
had also stimulated public meetings,
namely Massachusetts, Connecticut,
Minnesota, Ohio and Washington.
Written comments were in almost every
case substantive and extensive, often
running many pages in length. In almost
all cases, the people who wrote had
been involved with EPA programs either
as public participants or program
managers, and their comments reflected
this reservoir of practical experience.
The largest section of the public who
commented were public interest groups,
including environmental, consumer, and
local civic groups. They provided 3035 of
the comments received and were closely
followed by economic interests,
including industries, business, and trade
associations with 27%. Additionally, 15%
of comment came from State agencies.
10% from citizens-at-large, 10% from
-------
Federal Register / Vol. 46, No. 12 / Monday, January 19, 1981 / Notices
5737
local officials, 6% from other federal
agencies, and 2% from academic
insititutions.
Over 420 issues were addressed, and
of these, the ones that drew ihe greatest
amount of discussion were the
following: the composition of advisory
groups; whether to provide financial
assistance to the participating public,
and under what criteria; whether to
apply the Policy to State agencies
carrying out EPA programs; and the
content and use of Responsiveness
Summaries.
Eighty-five percent of those who
commented supported a final Policy as
strong or stronger than the one the
Agency proposed in late April, and this
support came from all sectors of the
public. In the case of State agencies, for
example, only 7 of the 44 who
commented were negative about EPA's
emphasis on public participation or
wanted to see it weakened. The other 37
agencies all wanted a Policy and
wanted it even stronger than EPA
proposed. Economic interests expressed
opinions on both sides of the issue, but
20% wanted it stronger and 50%
supported the Policy as proposed.
Those who opposed the proposed
Policy said that EPA should not be in the
business of stimulating participation.
People who are really concerned,, they
said, will come forth and participate on
their own. This assumes, however, that
people on their own will know that
environmental decisions are about to be
made, that these decisions affeot them,
and that they will have enough
background information to be able to
contribute to what is usually a technical
and complex discussion.
The Agency agrees that public
participation must nol be a contrived
exercise, nor should it be undertaken
with the purpose of manipulating the
public into agreement with a
governmental position. EPA recognized
its responsibility to give affected sectors,
of the public a fair opportunity to know
of forthcoming governmental decisions
and to be heard when those decisions
are made. Clear requirements will make
public involvement more cost-effective,
both for EPA management and for the
various sectors of the public.
It is clear from widespread support for
an effective Policy that EPA's emphasis
on public participation struck a
responsive chord in all sectors of the
public. The public's thoughtfully
reasoned statements for amplifying or -
strengthening aspects of the proposed
Policy have convinced us of the merit of
a number of changes. EPA recognizes
the commitment it is now making to
more open and effective consultation
with the public. This Policy will provide
a strong and practical framework to
guide our interactions in the months and
years ahead.
Summary of Response to Public
Comment
The following sections respond to
major points raised in comments made
by the public.
1. Objectives of EPA's Policy: There
was support from all sectors for the
objectives stated in the proposed Policy,
but a number of people called for
additions as well. These include the role
of the public in identifying and selecting
among alternatives, the importance of
early and continuing involvement, the
significant opportunity that public
participation affords for anticipating and
reducing conflicts, and the need to
create equal access to the regulatory
process. Commentors also pointed out
that objectives need to be
comprehensive since they provide the
yardstick for evaluation. All of these
suggestions have merit, and EPA has
added them to the final Policy.-
2. Application of the Policy to EPA
Programs Under State Administration:
Most of the laws administered by EPA
designate certain programs which can
be administered by a State, instead of
by EPA, if the State program meets
statutory and regulatory criteria. The
proposed Policy required EPA to provide
for public participation in the process of
deciding to approve such State
programs. It also provided that, after
approval, the State would assume
responsibility for meeting the public
participation requirements.
In the preamble to the proposed
Policy, EPA drew attention to this
matter, and specifically asked for
comment on whether the Agency should
apply the Policy to EPA programs when
conducted by States. A major proportion
of commenters from all categories
preferred the option as proposed, on the
grounds that participation is needed and
beneficial to program decisions
regardless of who administers the
program. A much smaller number of
commenters favored permitting States to
achieve "substantially equivalent
results" to EPA's Policy; however, none
responded to EPA's request for "specific
suggestions for wording and evaluation
criteria" since "substantially equivalent
provisions have a history of being easy
to espouse but difficult to demonstrate."
After reading all the comments, EPA
concludes that the Policy, as proposed,
has sufficient flexibility within a context
of practical requirements that it will be
beneficial to State program
administration.
Two years ago, when EPA proposed
its regulation for public participation in
Clean Water, Drinking Water and Solid
Waste programs (40 CFR Part 25), the
question of applying the requirements to
States was intensely controversial. Now,
with more than a year of experience in
those programs, the worst
apprehensions have not materialized
and public participation has begun to
prove its constructive role. Most State
agencies, therefore, were not troubled
by the proposal. In view of the
comments received and the discussion
above, EPA finds no need to alter this
aspect of the Policy.
3. Consistency with Part 23
Regulations for Public Participation in
Water and Waste Management
Programs: In proposing the Policy, EPA
made a conscious effort to ensure
compatibility between its provisions and
those of the earlier Part 25 regulation for
programs under the Clean Water Act,
Safe Drinking Water Act, and Resource
Conservation and Recovery Act. Two
additions that EPA is now making to the
Policy will further remove the
differences between the two documents
and bring the Policy into closer
alignment with Part 25. One change is
the requirement that EPA review and
require further efforts as needed to
acheive the balanced membership
requirement for advisory groups. The
other change is that EPA may require
corrective action on the part of State
program grantees to ensure compliance
with the Policy. While differences in
wording remain between the two
documents, EPA holds that 40 CFR Part
25 fulfills the intent and requirements of
the Policy in the procedural areas
(Section D. of Policy) of common subject
matter. If differences remain between
Part 25 and the Policy, Part 25 will
control. The sections of the Policy on
work plans, assistance to the public, and
authority and responsibility augment the
requirements contained in 40 CFR Part
25, and apply to all programs of the
Agency.
4. How to Identify the Public Who
Should Participate: Many of those who
commented on the Identification section
of the Policy liked our emphasis on
developing a contact list of interested or
affected members of the public at the
outset of a participation opportunity.
Several pointed out, however, that
contact lists need frequent updating,
especially on lengthy projects. This
change we are incorporating. A number
of those who commented on this section
requested that the Policy indicate the
uses of a contact list, and we have
revised the Policy to do so.
5. Ways to Inform and Reach the
Public: The majority of comments asked
for amplification of the Outreach
-------
5738
Federal Register / Vol. 4B, No. 12 / Monday, January 19, 1981 / Notices
section. Commenters sent many
valuable suggestions, many of which the
final Policy incorporates. Some general
areas of concern with which we agree,
and have responded to in the final
Policy, include the following: (1) public
access to information is critical to
successful public participation
programs', (2) information must be
translated from "technical" language
into language understandable to the lay
public; (3) outreach activities should be
emphasized as ongoing activities so the
public can be kept up to date on matters
of concern; and (4) the uninterested but
impacted publics' views need to be
solicited in some manner.
Specific comments addressed each of
the major sections of Outreach. Under
Methods, commenters suggested further
use of a variety of techniques, many of
which we have added to the final
version. Under Content, it was
suggested that materials be prepared in
clear, concise language to inform the
public of triggering events which initiate
a proposed action, and provide details
on supporting research analysis and
methodology. These suggestions, along
with the availability of Environmental
Impact Statements, were included in the
final Policy. Under Notification, the
major concerns were that notices should
inform the public about the initiation of
a decision-making process and that we
should describe the type of media notice
required. In the Depositories section,
commenters suggested public and
university libraries as appropriate
locations, and that consideration ought
to be given to accessibility, travel time,
parking, and availability during off-work
hours. We agreed with these suggestions
and included them in the final Policy.
6. Public Notification of Financial
Assistance Awards: We received
complaints from the public that often
they never hear about EPA funded
projects that provide participation
opportunities in programs of State,
substate, and local governments. They
suggested that we incorporate some type
of requirement that notice be given
either at the time EPA receives
applications, or after award acceptance.
After careful consideration, and with a
conscious effort to keep the Policy
consistent with 40 CFR Part 25
regulations, we have added a section
under Timing that the recipient give
public notice within 45 days of award
acceptance.
7. Methods to Improve
Communication Between EPA and the
Public: Many commenters were
dissatisfied with the Dialogue and
Hearing section. They felt we placed too
much emphasis on describing hearing
requirements, and did not give enough
attention to other methods of ensuring
communication between EPA and the
public. We responded to these concerns
by amplifying the Dialogue section to
include these suggestions and listing
other methods of soliciting and using
public input. These methods include
review groups, workshops, conferences,
personal correspondence and
conversations, meetings, and citizen
panels.
8. Suggestions for Improvement of
Hearing Format: All sectors of the
public responding felt that hearing
procedures needed to move away from
rigid rituals and be more attuned to
listening and responding to the public's
views. We agree that public hearings
can be more successful if they are
conducted in a non-intimidating manner,
and if the public has been informed of
the issues and has access to pertinent
information prior to the hearing. Those
who commented on the Content of
Notice section stressed the importance
of early and clear discussion of the
issues and alternatives the public is
asked to comment upon. Under Conduct
of Hearing, many commenters asked for
more informality and opportunity for
question*land answers in the hearing.
People also commented that hearings
are often located too far from the
affected area. We have revised the
Policy to incorporate these ideas.
9.45-Day Notice Prior to Hearings:
Although some commenters felt that a
45-day notice prior to the date of a
hearing was a needless delay of time
and would slow down the process,
others felt that 45 days was much too
Bhort a time to expect individuals or
groups to prepare adequately for
hearings, and some said that a 60 or 90-
day notice would be more appropriate
for proper preparation. Approximately
30% of the respondents favored a 30-day
or less notice period, with the remaining
70% favoring a 45-day or longer period.
However, the bulk of the comments
favored keeping the hearing notice
requirement at 45 days. The major
reasons for the 45-day notice period
include: (1) there is little control over
mail deliveries, and often the interested
public receives information too late to
prepare effectively for hearings; (2)
many groups meet once a month and
need time to meet and discuss the notice
to decide on a course of action: (3) travel
time over long distances is often
involved to acquire and review material;
and (4) the review material is often
complex and requires time for research.
Additionally, we received comments
concerning the discretion given to
Assistant Administrators and Regional
Administrators to waive the 45-day
requirement to 30 days or less in
emergency situations, or if the issues are
not complex or controversial. Some
commenters objected to the waiver
saying it gives the Assistant
Administrators and Regional
Administrators too much discretionary
power, and feared they may use the
waiver more often than necessary. We
feel some flexibility must be maintained
here, and that the Assistant
Administrators and Regional
Administrators would be able to make
exceptions they feel are warranted.
However, we have stated that those
objecting to a waiver may appeal to the
Administrator of EPA.
10. Composition of Advisory Groups:
One of the subjects most, widely
discussed in the proposed Policy has
been the composition of advisory
groups. Almost all who commented on
this subject believed EPA was fair and
used good judgment to prescribe a
balance of backgrounds among advisory
group members; however, a great many
commenters believed certain categories
sympathetic to their own viewpoints
should be given added weight, or others
of contrasting views should be
prohibited.
Overall, commenters favored EPA's
proposed balance of categories two-to-
one, and we intend to retain this
provision, with two important additions:
tribal officials have been added as
another category of public officials, and
we have made clear that elected public
officials should not be from the decision-
making body the group is advising.
Several people wanted "citizens with
economic interests" and "organizations
with economic interests" as two
separate categories, but we do not agree
with this proposal. We prefer to leave
the citizen-at-large category
unencumbered so appointing officials
can have room to select a variety of
individuals with potentially worthwhile
contributions.
11. Proof of Effort to Achieve
Advisory Group Composition: A number
of those who commented were
concerned that the balanced
membership of advisory groups could be
manipulated if there is not some degree
of oversight by EPA. They also pointed
out that the 40 CFR Part 25 regulation
has a section calling for demonstration
of "proof of effort," and this section has
given valuable oversight to agencies
with advisory groups. We agree that
federal guidance may be valuable in this
area and consequently have added a
section that requires advioe, assistance,
review, and approval by EPA.
12. Use of Advisory Group
Recommendations: A number of people
-------
Federal Register / Vol. 46, No. 12 / Monday, January 19,1981 / Notices
5739
experienced with advisory groups
reported their frustration with instances
when the group felt their
recommendations were being
suppressed by the agencies they
advised. Since a major purpose of this
Policy is to improve openness on the
part of governmental entities, we have
added a short section to the Policy
which makes it clear that advisory group
recommendations should be publicly
available.
13. The Frequency and Use of
Responsiveness Summaries: The great
majority of those who commented on
the subject of Responsiveness
Summaries supported EPA's
requirement, and thought these
summaries would provide an important
addition to decision-making. A few
people pointed out, however, that our
emphasis should not be on documenting
public views as much as it should be on
using them. We agree with these
comments and have added some
language to reflect this emphasis.
Additionally, there was a certain
amount of misunderstanding that
Responsiveness Summaries would be
required after every hearing or meeting.
This is not our intent, but rather it is that
Responsiveness Summaries be prepared
at "key decision points." These will be
identified in public participation work
plans, as well as in program regulations
where they are being revised to
incorporate provisions of this Policy.
14. How Much Feedback Should Be
Provided to the Public on the Results of
its Participation?: EPA's proposal that
feedback be provided received strong
support from all sectors of the public. A
number of commenters wanted to see
feedback provided within a time limit,
such as 60 days, though others
recognized the burden that such
acknowledgements would place on the
Agency's staff. Throughout the
comments on this section was the desire
on the part of participants to know
substantively why their suggestions
were or were not accepted. EPA does
not have the staff resources to be able to
commit itself to interim replies of a
substantive nature, especially when the
number of comments on many issues
run into the thousands. We do, however,
recognize a serious commitment to
providing feedback and thus are revising
the policy to state that all "participants
in a particular activity (must) receive
feedback," not just "have access" to it
as stated in our earlier proposal.
15. The Use of Work Plans: In EPA's
W proposal, public participation
work plans were contemplated for two
reasons: first, good public participation
needs to be Gare&diy planned, and
second, the resource outlays needed for
public participation should be built into
program operating budgets. Many
members of the public, as well as State
and substate officials who commented
on the Policy, supported EPA's emphasis
upon work plans. In fact, several said
work plans should be discussed earlier
in the Policy, a suggestion we have
taken. Additionally, we have added
some clarifying and strengthening
language on the content of work plans
and the timing of their preparation.
Work plans will be developed at both
the program and project levels, and EPA
will provide guidance on the content of
these documents.
16. The Use of Public Funds to Assist
the Participating Public: To a large
extent the debate over financial
-assistance to members of the public or
public organizations focussed on the use
of such funds in regulatory or
adjudicatory proceedings. The debate
was rendered moot by Congress in its
action on EPA's 1981 appropriation
which prohibited use of EPA funds for
that purpose. The final Policy reflects
the removal of this controversial aspect.
Other types of public participation
funding (e.g. travel expenses for .
witnesses at public hearings on
hazardous waste disposal siting) proved
uncontroversial and occasioned little
comment. It is the Agency's intention to
continue to fund such non-regulatory,
non-adjudicatory participation.
17. The Responsibility of EPA
Officials for Implementing the Policy:
Many people who commented on the
Policy liked the Agency's proposal
which outlined the authority and
responsibility of various Agency
officials for ensuring the Policy's
implementation. Several pointed out,
however, that the language was
confusing and duplicative. Therefore, we
have rewritten that section with
separate duties identified for Regional
Administrators, Assistant
Administrators, the Director of the
Office of Public Awareness, and the
Administrator. These sections should
clarify the previous ambiguities.
18. Ensuring Compliance with the
Policy: A large proportion of
commenters wanted reassurance that
this Policy is more than a collection of
good intentions, and that EPA will stand
behind its provisions and enforce them.
They were particularly concerned with
State and substate assistance recipients,
and urged EPA to develop enforcement
Sanctions. While we hope that sanctions
will not be necessary, we have amended
the Policy with a section on sanctions
that gives greater emphasis to Policy
enforcement
19. Relationship Between Public
Participation Policy and Environmental
Impact Statement (EIS) Process: Several
people noted that the proposed Policy
was silent on how the Policy fits with
the Agency's EIS procedures. EIS's are
undertaken primarily for grants for
wastewater treatment plans, new source
National Pollutant Discharge
Elimination System (NPDES) permits,
and certain major regulations. Many of
the goals of this public participation
Policy and EPA's EIS programs are
similar. The requirements of the new
Policy will serve to reinforce, and in
some cases, supplement existing EIS
procedures. In revising the Policy, we
have added a number of references to
EIS's to emphasize this relationship.
20. Overall Evaluation of
Effectiveness: Several commenters from
Federal or State government agencies,
as well as several citizens with years of
experience as active participants, drew
attention to the importance of evaluating
the Policy. They said this should be
done both to oversee how well its
provisions are being followed and to
identify, where possible, the results of
improved public involvement on Agency
decisions and program implementation.
EPA is committed to evaluating this
Policy within three years from the date
of publication. This will be done under
the direction of the Administrator's
Special Assistant for Public
Participation. This evaluation will
include such matters as effectiveness of
requirements, enforceability, resource
expenditures, alternative public /
participation methods, public reaction,
and reporting requirements.
Conclusion
EPA has made a number of additions
and improvements to the proposed
Policy on the basis of what it learned
from the public during the comment
period. Indeed, the revised Policy itself
is a good example of how public
involvement augments the Agency's
work. The overwhelming proportion of
statements came from people with loi g
experience in public policy. All reflected
a similar outlook: they, like EPA, want
to make the system work better. Among
many interesting statements, a few
examples indicate the challenge of the
public's expectations:
A planning board chairman from a
small New England town spoke of the
resentment that the public has come to
feel toward the work of bureaucrats.
From his experience in marshalling
talent to address local problems, he
suggested that EPA consider recruiting
broad based citizen task forces or
advisory groups to develop all the
Agency's regulations and other major
-------
5740
Federal Register / Vol. 46, No. 12 / Monday, January 19, 1981 / Notices
policy items. They should be given a
deadline, and only if they failed to
produce, should EPA step in and do the
work. "That would be real
participation," he said.
A major national chemical
manufacturer opened its statement by
saying the Policy is not needed, since
the company believes it duplicates
existing procedures. The company
continued, however, to urge substantial
reform of EPA practices in order to give
the public a much earlier opportunity for
participation before the bureaucratic
momentum becomes too great to accept
any changes. They also advocated
genuine responsiveness to the public,
not just a "superficial consideration of
comments."
A citizen group that has been working
for years to reduce adverse
environmental consequences from two
oil refineries cited a series of
disappointing interactions with EPA:
delays in obtaining requested materials
for review prior to hearings; difficulties
in seeing pertinent materials even when
they visited State offices; the high costs
of reproducing documents; and a feeling
that government agencies were giving
substantial amounts of time and
assistance to industrial applicants, but
were not even willing to answer the
questions of opponents, let alone assist
them more substantially. The group also
had the impression that EPA had its
mind made up at the time of a public
hearing, and the citizens felt their own
efforts were wasted.
Statements such as these reveal the
frustration that many members of the
public have experienced when trying to
work with the Agency, and they also
point to the motivation and high hopes
that the public continues to hold about
participating in environmental
protection issues. Public participation
lies at the heart of the Agency's
credibility with the public. It affords the
best tested recipe for citizens to
influence the governmental decisions
that affect their lives and pocketbooks.
This Policy takes* an important step in
defining when EPA will undertake
publifc participation, and in saying that
when we do it, we intend to do it right.
Members of the public who wish to
obtain the background Compilation of
Issues with their disposition and List of
Commenters on this Policy may do so by
contacting: Sharon F. Francis, Special
Assistant for Public Participation, Office
of the Administrator (A-100),
Environmental Protection Agency, 401M
Street, S.W., Washington, D.G. 20460,
telephone 202/245-3066.
Dated: January 13,1981.
Douglas M. Costle,
Administrator.
Final E.P.A. Policy on Public
Participation
This Policy addresses participation by
the public in decision-making,
rulemaking, and program
implementation by the Environmental
Protection Agency (EPA), and other
governmental entities carrying out EPA
programs. The term, "the public" as it is
used here, means the people as a whole,
the general population. There are a
number of identifiable "segments of the
public" who may have a particular
interest or who may be affected one
way or another by a given program or
decision. In addition to private citizens,
"the public" includes, among others,
representatives of consumer,
environmental, and minority groups; the
business and industrial communities;
trade, industrial, agricultural, and labor
organizations; public health, scientific,
and professional societies; civic
associations; universities, educational,
and governmental associations; and
public officials, both elected and
appointed.
"Public participation" is that part of
the agency's decision-making process
that provides opportunity and
encouragement for the public to express
their views to the agency, and assures
/that the agency will give due
consideration to public concerns, values,
'and preferences when decisions are
made. •
A. Scope
The requirements and procedures
contained in this Policy apply to the
Environmental Protection Agency and
other governmental entities carrying out
EPA programs (referred to herein as
"agency"). The activities covered by this
Policy are:
EPA rulemaking, when regulations are
classified as significant, (under terms of
Executive Order 12044);
The administration of permit
programs as delineated in applicable
permit program regulations;
Program activites supported by EPA
financial assistance (grants and
cooperative agreements) to State and
substate governments;
—The process leading to a
determination of approval of State
administration of a program in lieu of
Federal administration;
—Major policy decisions, as
determined by the Administrator,
appropriate Assistant Administrator,
Regional Administrator, or Deputy
Assistant Administrator, in view of
EPA's responsibility to involve the
public in important decisions.
When covered activities are governed
by EPA regulations or program
guidance, the provisions of the Policy
shall be included at appropriate points
in these documents. Before those
changes are made, the provisions of the
existing regulations or program guidance
shall govern.
B. Purpose
The purpose of this Policy is to
strengthen EPA's commitment to public
participation and establish uniform
procedures for participation by the
public in EPA's decision-making
process. A strong policy and consistent
procedures will make it easier for the
public to become involved and affect the
outcome of the agency's decisions.
This in turn will assist EPA in
carrying out its mission, by giving a
better understanding of the public's
viewpoints, concerns, and preferences.
It should also make the agency's
decisions more acceptable to those who
are most concerned and affected by
them.
Agency officials will provide for,
encourage, and assist participation by
the public. Officials should strive to
communicate with and listen to all
sectors of the public. Where
appropriate, this will require them to
give extra encouragement and
assistance to some sectors, such as
minorities, that may have fewer
opportunities or resources.
The Policy identifies those actions
which are required and others that are
discretionary, on the part of agency
managers. Tlie Policy assumes, however,
that agency employees will strive to do
more than the minimum required, and is
not intended to create barriers to more
substantial or more significant
participation. The Policy recognizes the
agency's need to set priorities for its use
of resources, and emphasizes
participation by the public in decisions
where options are available and
alternatives must be weighed, or where
substantial agreement is needed from
the public if a program is to be carried
out.
Public participation must begin early
in the decision-making process and
continue throughout the process as
necessary. The agency must set forth
options and alternatives beforehand,
and seek the public's opinion on them.
Merely conferring with the public after a
decision is made does not achieve this
purpose.
Agency officials must avoid advocacy
and precommitment to any particular
alternative prior to decision-making. The
role of agency officials is to plan and
-------
Federal Register / Vol. 46, No. 12 / Monday, January 19, 1981 / Notices
5741
conduct public participation activities
that provide equal opportunity for all
individuals and groups to be heard.
Officials should actively seek to
facilitate resolution of issues among
disagreeing interests whenever possible.
Decision-makers are aware that
issues which are not resolved to the
satisfaction of the concerned public may
ultimately face time-consuming review.
If the objectives of EPA's public
participation program are achieved,
delays to accommodate litigation should
be reduced.
C. Objectives
In establishing a policy on public
participation, EPA has the following
objectives:
—To use all feasible means to create
early and continuing opportunity for
public participation in agency decisions;
—To promote the public's
involvement in implementing
environmental protection laws;
—To make sure that the public
understands official programs and the
implications of potential alternative
courses of action;
—To solicit assistance from the public
in identifying alternatives to be studied,
and in selecting among alternatives
considered;
—To keep the public informed about
significant issues and changes in
proposed programs or projects, as they
arise;
—To create an equal and open access
for the interested and affected parties to
the regulatory process;
—To make sure that the government
understands public goals and concerns,
and is responsive to them;
—To demonstrate that the agency
consults with interested or affected
segments of the public and takes public
viewpoints into consideration when
decisions are made;
—To anticipate conflicts and
encourage early discussions of
differences among affected parties;
—To foster a spirit of mutual trust,
confidence, and openness between
public agencies and the public.
D. General Procedures for All Programs
Each Assistant Administrator, Office
Director, or Regional Administrator
shall determine forthcoming decisions or
activities to which this Policy should be
applied, and take the steps needed to
assure that adequate public
participation measures are developed
and implemented.
To ensure effective public
participation in any decision or activity,
the agency must carry out five basic
functions; Identification, Outreach,
Dialcgue. Aggiiailation, and Feedback.
1. Identification. It is necessary to
identify groups or members of the public
who may be interested in, or affected
by, a forthcoming action. This may be
done by a variety of means: developing
a contact list of persons and
organizations who may have expressed
an interest in, or may by the nature of
their purposes or activities be affected
by or have an interest in a forthcoming
activity; requesting from others in the
agency or from key public groups, the
names of interested and affected
inidividuals to include; using
questionnaires or surveys to find out
levels of awareness; or by other means.
If EPA is required to file an
Environmental Impact Statement (EIS),
the scoping process can be used to
identify interested parties.
The responsible official(s) shall
develop a contact list for each program
or project, and add to the list whenever
members of the public request it. The list
should be up-dated frequently, and it
will be most useful if subdivided by
category of interest or geographic area.
The contact list shall be used to send
announcements of participation
opportunities, notices of meetings,
hearings, field trips and other events,
notices of available reports and
documents, and for identifying members
of the public who may be considered for
advisory group membership and other
activities.
2. Outreach. The public can contribute
effectively to agency programs only if it
is provided with accurate,
understandable, pertinent and timely
information on issues and decisions. The
agency shall make sure that adequate,
timely information concerning a
forthcoming action or decision reaches
the public. The agency shall provide
policy, program, and technical
information at the earliest practical
times, and at places easily accessible to
interested and affected persons and
organizations, so they can make
informed and constructive contributions
to decision-making. Information and
educational programs shall be
developed so that all levels of
government and the public have an
opportunity to become familiar with the
issues and the technical data from
which they emerge. Informational
materials shall highlight significant
issues that will be the subject of
decision-making. Special efforts shall be
made to summarize complex technical
materials for the public.
a. Methods. The objective of the
agency's public outreach program is to
insure that the public understands the
significance of the technical data so that
rational public choices can be made.
Outreach programs require the use of
appropriate communication tools, and
should be tailored to start at the public's
level of familiarity with the subject.
The following, among other
approaches, may be used for this
purpose:
(1) publications, fact sheets, technical
summaries, bibliographies;
(2) questionnaires, surveys,
interviews;
(3) public service announcements, and
news releases;
(4) educational activities carried out
by public organizations.
b. Content. Outreach materials must
include background information [e.g.
statutory basis, rationale, or the
triggering event of the action); a
timetable of proposed actions;
summaries of lengthy documents or
technical material where relevant; a
delineation of issues; alternative courses
of action or tentative determinations
which the agency may have made;
whether an EIS is, or will be, available;
specific encouragement to stimulate
active participation by the public; and
the name of an individual to contact for
further information,
Whenever possible, the social,
economic, and environmental
consequences of proposed decisions and
alternatives should be clearly stated in
outreach material. Technical evidence
and research methodoogy should be
explained. Summaries of technical
documents should be footnoted to refer
to the original data. Fact sheets, news
releases, summaries, and similar
publications may be used to provide
notice of availability of materials and to
facilitate public understanding of more
complex documents, but should not be a
substitute for public access to the
complete documents.
c. Notification. The agency must
notify all parties on the contact list and
the media of opportunities to participate
and provide appropriate information, as
described in the first paragraph of
Section 2.b. above. Printed legal notices
are often required by program
regulations, but do not substitute for the
broader notice of the media and contact
list required by this section.
d. Timing. Notification (above) must
take place well enough in advance of
the agency's action to permit the public
to respond. Generally, it should take
place not less than 30 days before the
proposed action, or 45 days in the case
of public hearings (exceptions in the
case of public hearings are discussed
under Dialogue, below).
Where complex issues or lengthy
documents are presented for public
comment, the comment period should
allow enough time for interested parties
to conduct their review. This period
-------
5742
Federal Register / Vol. 46, No. 12 / Monday, January 19, 1981 / Notices
generally should be no less than 60
days. Where participation opportunities
are to be provided in programs of State,
substate, and local governments
supported by EPA financial assistance,
notice shall be given by the recipient to
the public within 45 days after award
acceptance.
e. Fees for Copying. Whenever
possible, the agency should provide
copies of relevant documents, free of
charge. Free copies may be reserved for
private citizens and public interest
organizations with limited funds. Any
charges must be consistent with
requirements under the Freedom of
Information Act as set forth in 40 CFR
Part 2.
f. Depositories. The agency shall
provide one or more central collections
of documents, reports, studies, plans,
etc. relating to controversial issues or
significant decisions in a location or
locations convenient to the public.
Depository arrangements should be
made when possible with public
libraries and university libraries.
Consideration must be given to
accessibility, travel time, parking,
transit, and to availability during off-
work hours. Copying facilities, at
reasonable charges, should be available
at depositories.
3. Dialogue. There must be dialogue
between officials responsible for the
forthcoming action or decision and the
interested and affected members of the
public. This involves exchange of views
and open exploration of issues,
alternatives, and consequences.
Public consultation must be preceded
by timely distribution of information
and must occur sufficiently in advance
of decision-making to make sure that the
public's options are not foreclosed, and
to permit response to public views prior
to agency action. Opportunities for
dialogue shall be provided at times and
places which, to the maximum extent
feasible, facilitate attendance or
participation by the public. Whenever
possible, public meetings should be held
during non-work hours, such as evenings
or weekendis, and at locations
accessible to public transportation.
Dialogue may take a variety of forms,
depending upon the issues to be
addressed and the public whose
involvement is sought. Public hearings
are the most familiar forum for dialogue
and often are legally required, but their
use should not serve as the only forum
for citizen input. When used, hearings
should be at the end of a process that
has given the public earlier opportunity
for becoming informed and involved.
Often other techniques may serve a
broader purpose:
• Review groups or ad hoc
committees may confer on the
development of a policy or written
materials;
• Workshops may be used to discuss
the consequences of various
alternatives, or to negotiate differences
among diverse parties;
• Conferences provide an important
way to develop concensus for changing
a program or the momentum to
undertake new directions;
• Task forces can give concentrated
and experienced attention to an issue;
• Personal conversations and
personal correspondence give the
individualized attention that some
issues require;
• Meetings offer a good opportunity
for diverse individuals and groups to
express their questions or preferences;
• A series of meetings may be the
best way to address a long and complex
agenda of topics;
• Toll-free lines can aid dialogue,
especially when many questions can be
anticipated or time is short;
• A hearing panel composed of
persons from representative public
groups may be used in non-adjudicatory
hearings {0 listen to presentations and
review the hearing summary.
This list is not exhaustive, but it
indicates the importance for program
managers in being flexible and choosing
the right techniques for the right
occasions.
a. Requirements for public hearings.
(1) Timing of Notice. Notices must be
well publicized and mailed to all
interested and affected parties on the
contact list (see 1. above) and to the
media at least 45 days prior to the date
of the hearing- However,, when the
Assistant Administrator or Regional
Administrator find that no review of
substantial documents is necessary for
effective participation and there are no
complex or controversial matters to be
addressed, the notice requirement may
be reduced to no less than 30 days in
advance of the hearing. Additionally, in
permit programs, notice requirements
will be governed by permit regulations
and will be no less than 30 days. Notice
for EIS's are covered by EIS regulation
which calls for a 45-day review period,
with an optional 15-day extension.
Notice of the EIS hearing is generally
contained in the Draft EIS. Hearings on
EIS's are usually held before the end of
the EIS review period, but no earlier
than 30 days after the EIS notice.
Assistant Administrators or Regional
Administrators may further reduce or
waive the requirement for advance
notice of a hearing in emergency
situations where there is imminent
danger to public health and safety, or in
situations where there is a legally
mandated timetable. Assistant
Administrators may also reduce this
requirement if they determine that all
affected parties would benefit from a
shorter time period.
Members of the public who object to a
waiver may appeal to the Administrator,
stating their reasons in detail.
(2) Content of Notice. The notice must
identify the matters to be discussed at
the hearing and must include or be
accompanied by: (a) a discussion of
alternatives the public is being asked to
comment upon and the agency's
tentative conclusions on major issues (if
any); (b) information on the availability
of an EIS and bibliography of other
relevant materials (if appropriate); (c)
procedures and contacts for obtaining
further information; and (d) information
which the agency particularly solicits
from the public.
(3) Provision of Information. All
reports, EIS's, and other documents and
data relevant to the discussions at
public hearings must be available to the
public on request after the notice, as
soon as they become available to
agency staff. Background information
should be provided no later than 30 days
prior to the hearing.
(4) Conduct of Hearing. The agency
conducting the hearing must inform the
audience of the issues involved in the
decision to be made, the consideration
the agency will take into account under
law and regulations, the agency's
tentative conclusions (if any), and the
information which the agency
particularly solicits from the public.
Whenever possible, the hearing room
should be set up informally. The agenda
should allocate time for presentations,
questions and answers, as well as
formal commentary on the record. When
needed, a pre-hearing meeting to discuss
the issues should be held. Procedures
must not inhibit free expression of
views. When the subject of a hearing
addresses conditions in a specific
geographic area, the hearing itself
should be held in that general area.
(5) Record of Hearing. The hearing
record must be left open for at least ten
days to receive additional comment,
including any from those unable to
attend in person, and may be kept open
longer, at the discretion of the hearing
officer. The agency must prepare a
transcript or record of the hearing itself
and add additional comments to the
complete record of the proceeding. This
must be available for public inspection
and copying at cost at convenient
locations. Alternatively, copies shall be
provided free. If tapes are used, they
should be available for use and copying
on conventional equipment. When a
-------
Federal Register / Vol. 46, No. 12 / Monday, January 19,1981 / Notices
5743
Responsiveness Summary (see
Assimilation below) is prepared after a
hearing, it must be provided to those
who testified at or attended the hearing,
as well as anyone who requests it.
b. Requirements for advisory groups.
Formation of an advisory group is one of
the methods that can be chosen to gain
sustained advice from a representative
group of citizens.
The primary function of an advisory
group is to assist elected or appointed
officials by making recommendations to
them on issues which the
decisionmaking body and the advisory
group consider relevant. These issues
may include policy development, project
alternatives, financial assistance
applications, work plans, major
contracts, interagency agreements,
budget submissions, among others.
Advisory groups can provide a forum for
addressing issues, promote constructive
dialogue among the various interests
represented on the group, and enhance
community understanding of the
agency's action.
[1) Requirements for Federal EPA
Advisory Committees: When EPA
establishes an advisory group,
provisions of the Federal Advisory
Committee Act (Pub. L. 92—403) and
General Service Administration (GSA)
Regulations on Federal Advisory
Committee Management must be
followed.
(2) Requirements for State and
Substate and Local Advisory
Committees: (Explanatory Note: The
following guidelines do not apply to
advisory committees, as defined by the
Federal Advisory Committee Act, which
are established or utilized by EPA.) In
instances where regulations, program
guidance, or the public participation
work plans of State, substate, or local
agencies, call for advisory groups, the
following special requirements will
apply:,
(a) Composition of Advisory Groups.
Agencies must try to constitute advisory
groups so that the membership includes
the, major affected parties, reflects a
balance of interests, and consists of
substantially equivalent proportions of
the following groups:
• Private citizens. This portion of the
advisory group should not include
anyone who is likely to incur a financial
gain or loss greater than that of an
average homeowner, taxpayer, or
consumer as a result of any action that
is likely to be taken by the managing
agency;
• Individual citizens or
representatives of organizations that
have substantial economic interests in
the plan or project;
• Federal, State, local, and tribal
officials. These may be both elected and
policy-level appointed officials, so long
as the elected officials do not come from
the decision-making body the group is
advising;
• Representatives of public interest
groups. A "public interest group" is an
organization which has a general civic,
social, recreational, environmental, or
public health perspective in the area,
and which does not directly reflect the
economic interests of its membership.
Generally, where an activity has a
particular geographic focus, the advisory
group should be composed of persons
from that geographic area, unless issues
involved are of wider application.
Where problems in meeting the
membership compostion arise, the
agency should request advice and
assistance from EPA or the State in the
case of a delegated program. EPA shall
review the agency's efforts to comply,
and approve the advisory group
composition, or, if the agency's efforts
were inadequate, require additional
actions.
(b) Resources for Advisory Groups. To
the extent possible, agencies shall
identify professional and clerical staff
time which the advisory group may
depend upon for assistance, and provide
the advisory group with an operating
budget which may be used for mailing,
duplicating, technical assistance, and
other purposes the advisory group and
the agency have agreed upon. The
agency should establish a system for
reimbursing advisory group members for
reasonable out-of-pocket expenses that
relate to their participation on the
advisory group.
(3) Advisory Group
Recommendations: Recommendations,
including minority reports and the
minutes of all meetings of an advisory
group, are matters of public information.
As soon as these become available to
agency staff, the agency must provide
them to the public on request and
distribute them to relevant public
agencies. Advisory groups may
communicate with EPA or the public as
needed, or request EPA to perform an
evaluation of the assisted agency's
compliance with the requirements of this
part.
4. Assimilation. The heart of public
participation lies in the degree to which
it informs and influences final agency
decisions
Assimilating public viewpoints and
preferences into final conclusions
involves examining and analyzing
public comments, considering how to
incorporate them into final program
decisions, and making or modifying
decisions according to carefully
considered public views. The agency
must then demonstrate, in its decisions
and actions, that it has understood and
fully considered public concerns.
Assimilation of public views must
include the following three elements:
a. Documentation. The agency must
briefly and clearly document
consideration of the public's views in
Responsiveness Summaries, regulatory
preambles, EIS's or other appropriate
forms. This should be done at key
decision points specified in program
guidance or in work for public
participation.
b. Content. Each Responsiveness
Summary (or similar document) must:
—explain briefly the type of public
participation activity that was
conducted;
—identify or summarize those who
participated and their affiliation;
—describe the matters on which the
public was consulted;
—summarize the public's views,
important comments, criticisms and
suggestions;
—disclose the agency's logic in
developing decisions; and
—set forth the agency's specific
responses, in terms of modifying the
proposed action, or explaining why the
agency rejected proposals made by the
public.
c. Use. The agency must use
Responsiveness Summaries in its
decision-making. ,
In addition, final Responsiveness
Summaries that are prepared by an
agency receiving financial assistance
from EPA must tflso include that
agency's (and where applicable, its
advisory group's) evaluation of its public
participation program.
5. Feedback. The agency must provide
feedback to participants and interested
parties concerning the outcome'of the
public's involvement. Feedback may be
in the form of personal letters or phone
calls, if the number of participants is
small. Alternatively, the agency may
mail a Responsiveness Summary to
those on the contact list, or may publish
it.
a. Content. The feedback that the
agency gives must include a statement
of the action that was taken, and must
indicate the effect the public's comments
had on that action.
b. Availability. Agency officials must
take the initiative in giving appropriate
feedback, and must assure that all
public participants in a particular
activity are provided that feedback. As
Responsiveness Summaries are
prepared, their availability should be
announced to the public. When
regulations are developed, reprints of
-------
5744
Federal Register / Vol. 48, No. 12 / Monday, January 19,1981 / Notices
preambles and final regulations must be
provided to all who commented.
E. Work Plans
A work plan is a written document
used for planning a public participation
program. It may be an element of
regulatory development plans or
program plans. Each work plan should
include the following elements:
objectives, schedules, techniques,
audiences and resources requirements.
Work plans should be completed on
both a program and project level or for
each activity identified under Scope of
the Policy.
Public participation work plans,
undertaken by EPA or by applicants for
EPA financial assistance, shall set forth,
at a minimum:
1. Key decisions subject to public
participation;
2. Staff contacts and budget resources
to be allocated to public participation;
3. Segments of the public targeted for
involvement;
4. Proposed schedule for public
participation activities to impact
program decisions;
5. Mechanism to apply the five basic
functions—Identification, Outreach,
Dialogue, Assimilation, and Feedback—
outlined in Section D of this Policy.
Reasonable costs of public
participation incurred by assisted
agencies, including advisory group
expenses, and identified in an approved
public participation work plan, will be
eligible for financial assistance, subject
to statutory or regulatory limitations.
Assistant Administrators and
Regional Administrators will ensure that
program work plans are developed in a
timely manner for use in the annual
budget planning process. Work plans
will be reviewed by the Special
Assistant for Public Participation, who
will work with program and regional
managers to ensure that work plans
adequately carry out this Policy. Work
plans may be used as public information
documents.
F. Assistance to the Public
EPA recognizes that responsible
participation by the various elements of
the public in some of the highly
technical and complex issues addressed
by the agency requires substantial
commitments of time, study, research
analysis, and discussion. While the
Agency needs the perspectives and
ideas that citizens bring, it cannot
always expect the public to contribute
its efforts on a voluntary basis.
Assistant Administrators, Office
Directors, and Regional Administrators
can provide funds to outside
organizations and individuals for public
participation activities which they, as
EPA managers, deem appropriate and
essential for achieving program goals,
and which clearly do not involve
rulemaking or adjudicative activities.
Participation Funding Criteria—Any
financial assistance awarded by the
Agency for non-regulatory or non-
adjudicatory participation should be
based on the following criteria:
(1) whether the activity proposed will
further the objectives of this Policy;
(2) whether the activity proposed will
result in the participation of interests
not adequately represented;
(3) whether the applicant does not
otherwise have adequate resources to
participate; and
(4) whether the applicant is qualified
to accomplish the work.
These are the primary tests for public
participation financial assistance. From
among those who meet these tests, the
Agency will make special efforts to
provide assistance to groups who may
have had fewer opportunities or
insufficient resources to participate.
G. Authority and Responsibility
Public participation has an integral
part in the accomplishment of any
programs It should routinely be included
in decision-making and not be treated as
an independent function. Managers shall
assure that personnel are properly
trained, and that funding needs are
incorporated in their specific budgets.
Responsibility and accountability for
the adequacy of public participation
programs belongs primarily to the
Regional Administrators and the
Assistant Administrators, under the
overall direction of the Administrator.
1. The Administrator maintains
overall direction and responsibility for
the Agency's public participation
activities. Specifically, the
Administrator, aided by the Special
Assistant for Public Participation, will:
(a} establish policy direction and
guidance for all EPA public participation
programs;
(b) review public participation
program work plans, including resource
allocations;
(c) coordinate public participation
funding to outside groups to ensure the
most economical expenditures;
(d) provide technical advice and
assistance as appropriate;
(e) develop guidance and training
needed to ensure that program
personnel are equipped to implement the
Policy;
(f) provide incentives to agency
personnel to ensure commitment and
competence; and
{g} evaluate at least annually the
adequacy of public participation
activities conducted under this Policy,
and the appropriateness and results of
public participation expenditures.
2. Assistant Administrators have the
following responsibilities:
(a) identify and address those
activities where application of this
Policy is required;
(b) identify and address those
forthcoming major policy decisions
where the Policy should be applied;
(c) ensure that program work plans
are developed annually to provide for
adequate public participation in the
above decisions and activities;
(d) implement approved work plans
for public information and public
participation activities;
{e) ensure that, as regulations for the
programs cited in the Appendix of the
Policy are amended, they incorporate
the Policy's provisions;
(f) evaluate the appropriateness of
public participation expenditures and
activities under their jurisdiction,
revising and improving them as
necessary;
(g) encourage coordination of public
participation activities;
(h) provide guidance and assistance to
support regional office activities;
(i) seek public participation in
decisions to modify or develop major
national policies, at their discretion;
(j) consider funding authorized pilot
and/or innovative demonstration
projects;
(k) consider measures to ensure Policy
implementation in appropriate
managers' performance standards;
(1) provide financial assistance, as
appropriate and available, for
authorized public participation activities
at the national level
3. Regional Administrators, have the
following responsibilities:
(a) identify and address those EPA
and EPA-assisted activities where
application of this Policy is required;
(b) identify and address those
forthcoming EPA and EPA-assisted .
major policy decisions where the Policy
should be applied;
(c) ensure that work plans are
developed annually by their programs
and recipients to provide for adequate
public participation in the above
decisions and activities;
(d) implement approved work plans
for public information and public
participation activities;
(e) ensure that public participation is
included by applicants in the
development of program funding
applications to EPA, and in other
decisions as identified by this Policy;
(f) provide guidance aad technical
assistance to recipients on the conduct
of public participation activities;
-------
Federal Register / Vol. 46, No. 12 / Monday, January 19, 1981 / Notices
5745
(g) evaluate annually public
participation activities of State,
substate, or local entities revising and
improving them as necessary;
(h) encourage coordination of public
participation activities;
(i) support and assist the public
participation activities of Headquarters;
(j) ensure that Regional staff are
trained, and resources allocated for
public participation programs;
(k) incorporate measures to ensure
Policy implementation in managers'
performance standards;
¦ (1) provide small grants to
representative public groups for needed
public participation work;
(m) evaluate the appropriateness of
public participation expenditures and
activities, revising and improving them
as necessary.
4. The Director, Office of Public
Awareness has an important role in the
development and support of Agency
public participation activities. The
Director will:
(a) assist Headquarters and regional
programs in identifying interested and
affected members of the public in
compiling project contact lists;
(b) support Headquarters and regional
programs in development and
distribution of outreach materials to
inform and educate the public about
environmental programs and issues, and
participation opportunities;
(c) develop annual public awareness/
participation support plans to
complement public participation work
plans and identify resource
requirements.
H. Compliance
Assistant Administrators, Office
Directors, and Regional Administrators
are responsible for making certain that,
for the activities under their jurisdiction,
all those concerned comply with the
public participation requirements set
forth in this Policy.
Regional Administrators will evaluate
compliance with public participation
requirements in appropriate State and
substate programs supported by EPA
financial assistance. This will be done
during the annual review of the States'
program{8) which is required by grant
provisions, and during any other
prograrr) audit or review.
If the Regional Administrator is not
satisfied that this Policy is being carried
out, he or she should defer grant award
until these conditions can be met where
that course is legally permissable. A
Regional Administrator may grant a
waiver from specific requirements in
this Policy upon a showing by the
agency that proposed actions will result
in substantially greater public
participation than would be provided by
the Policy.
The Administrator of EPA has final
authority and responsibility for ensuring
compliance. Citizens with information
concerning apparent failures to comply
with these public participation
requirements should first notify the
appropriate Regional Administrator or
Assistant Administrator, and then if
necessary, the Administrator. The
Regional Administrator, Assistant
Administrator, or Administrator will
make certain that instances of alleged
noncompliance are promptly
investigated and that corrective action
is taken where necessary.
Appendix—List of Citations Covering
Program Grants, Delegations, or Permits to
State and Substate Governments
The Public Participation Policy will be
incorporated in program regulations that
cover financial assistance or delegations of
authority to State or substate governments or
approval of State programs.. Where
consolidated awards exist under these
provisions, they also will be covered.
Programs under the Clean Water Act, Safe
Drinking Water Act. and the Resource
Conservation Recovery Act are already
covered by this Policy insofar as they have
been amended, or will be amended, to
incorporate 40 CFR, Part, 25. Consolidated
permit programs are covered by 40 CFR, Parts
122,123, and 124. Regulations that refer to
existing programs now covered by the Policy
will have to be amended to incorporate its
provisions. Where program regulations are
not yet written, the Policy shall be
incorporated.
Clean Air Act (Pub. L. 95-95)
Air Pollution Control Program Grants
Sec. 105—Grants to State and local air
pollution control agencies for support of air
pollution planning and control programs.
(Catalogue of Federal Domestic Assistance
No. 66.001.)
Sec. 70S—Grants to interstate air quality
agencies and commissions to develop
implementation plans for interstate air
quality control regions. [When funded].
Urban Mass Transportation Technical
Studies Grants (DOT)
Sec. 175—Grants to organizations of local
elected officials with transportation or air
quality maintenance responsibilities for air
quality maintenance planning. (CFDA No.
20.505.)
Sec. 210—Grants to State agencies for
developing and maintaining effective vehicle
emission devices and systems inspection and
emission testing and control programs.
[When funded].
Quiet Communities Act (Pub. L. 95-609)
Quiet Communities—State and Local
Capacity Building Assistance
Sec, 14(c)—Grants to State and substate
governments and regional planning agencies
for planning, developing, evaluating, and
demonstrating techniques for quiet
communities. (CFDA No. 66.031.)
Toxic Substances Control Act (Pub. L. 94-
469)
State Toxic Substances Control Projects
See. 28—Grants to State for establishing
and operating programs to complete EPA
efforts in preventing or eliminating risks to
health or environment from chemicals.
(CFDA No. 66.800.)
Federal Insecticide, Fungicide and
Rodenticide Act (Pub. L. 95—396)
Pesticides Enforcement Program Grants
Sec. 23(a)—Funding to States/Indian tribes
through cooperative agreements for
enforcement and applicator training and
certification. (CFDA No. 66.700.)
Resource Conservation and Recovery Act
(Pub. L. 94-580)
Sec. 3005(a)—Issuance of permits for
treatment, storage and disposal of hazardous
waste.
Sec. 3006—Delegation of authority to
administer and enforce hazardous waste
program.
Sec. 4002—State Planning Guidelines.
Solid and Hazardous Waste Management
Program Support Grants
Sec. 4007—Approval for State, local, and
regional authorities to implement State or
Regional Solid Waste Plans and be eligible
for Federal assistance. (CFDA No. 66.451.)
Sec. 4008—Grants to State and substate
agencies for solid waste management,
resource recovery and conservation, and
hazardous waste management. (CFDA No.
66.451.)
Sec. 4009—Grants to States for rural areas
solid waste management facilities. [CFDA
No. 66.451.)
Solid Waste Management Demonstration
Grants
Sec. 8006—Grants to State, municipal,
interstate or intermunicipal agency for
resource recovery systems or improved solid
waste disposal facilities. (CFDA No. 66.452.)
Solid Waste Management Training Grants
Sec. 7007—Grants or contracts for States,
interstate agency, municipality and other
organizations for training personnel in
occupations related to solid waste
management and resource recovery. (CFDA
No. 66.453.)
Safe Drinking Water Act (Pub. L. 95-190)
Sec. 1421(b)—Issuance of permits for
underground injection control programs.
State Public Water System Supervision
Program Grants
Sec. 1443(a)—Grants to States for public
water system supervison. (CFDA #66.432.)
State Underground Water Source
Protection—Program Grants
Sec. 1443(b)—Grants to States for
underground water source protection
programs. (CFDA #66.433.)
Clean Water Act (Pub. L. 95-217)
Construction Grants for Wastewater
Treatment Wotks
Sec. 201—Grants to State, municipality, or
intermunicipal agencies for construction of
-------
5746
Federal Register / Vol. 46, No. 12 / Monday. January 19,1981 / Notices
wastewater treatment works. (CFDA
#66,418.)
Water Pollution Control—State and Interstate
Program Grants
Sec. 106—Grants to State and interstate
agencies for water pollution control
administration. (CFTJA #66.419.)
Water Pollution Control—State and
Areawide Water Quality Management
Planning Agency
Sec. 205(g)—Delegation of management of
construction grants programs to State
designated agency(ies). (CFDA #66.438.)
Sec. 208—Grants for State and areawide
waste treatment management planning.
(CFDA# 66.426.)
Water Pollution Control—Lake Restoration
Demonstration Grants
Sec. 314—dean Lakes Program.
Sec. 402(a)—Issuance of permits under
National Pollutant Discharge Elimination
System.
Sec. 404—Issuance of permits for disposal
of dredge and fill materials.
Pub. L. 94-580, Sections 3005 & 3006;
Pub. L. 95-190, Sections 1421-1423;
Pub. L 95-217, Section 402;
Pub. L. 95-217, Section 404;
Pub. L. 95-95, Section 165;
Proposed consolidated permit regulations,
covering: Hazardous Waste Program under
RCRA; UIC Program under SDWA, NPDES
and Section 404 of the Clean Water Act,
and the PSD Program under the Clean Air
Act
[FR Doc. 81-1934 Filed 1-16-81; 8:45 am]
BILLING CODE SSS0-36-M
------- |