U.S ENVIRONMENTAL PROTECTION AGENCY

PUBLIC PARTICIPATION VIDEO
TRAINING PROGRAM

PARTICIPANT WORKBOOK

MODULE 3.

SETTING GOALS FOR
PUBLIC PARTICIPATION

PUBLIC

PARTICIPATION
GUIDE

Engage the public- Preserve the planet.


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Introduction

Begin with the end in mind.

— Stephen Covey

The most important step in any public participation project is establishing clear and achievable
goals regarding the public's role in the project and their potential for influence on the decision.

Sections in Module 3:

3.1: Not all Public Participation is the Same
3.2: Be Clear About Your Intent
3.3: The IAP2 Public Participation Spectrum
3.4: The Five Levels of Public Participation
3.5: Selecting a Level of Public Participation

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SECTION 3.1:

Not all Public Participation is the Same

There are numerous levels at which you might wish to invite public participation. We decide
how much public participation may be appropriate based on the details of the project, the
stakeholders who may be affected, and the types of the decisions to be made.

To identify the appropriate level of public participation for your project, you must first answer
the following question:

How much potential influence on the decision
are you willing to provide to the public?

In other words, you need to know ahead of time whether decision-makers will even consider
public input in making their decisions, and if so, to what degree and on what issues.

The answerto this question will determine the purpose and goals of the public participation
program you will design and is very important to the ability to have a successful participation
project.

In this module we present the IAP2 Public Participation Spectrum which helps to identify and
make sense of the different levels of public participation.

In Module 5, we present a flowchart that will be useful in understanding your intent and
matching that to an appropriate level of public participation.

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GROUP DISCUSSION

Clarifying the Level of Potential Public Influence

How much influence is your agency generally willing to provide to the public in decisions that
are important to them?

How much influence does public input generally have on your projects?

Is the potential for public influence on a decision something you discuss before the project
begins?

Why is it important to have this discussion?

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SECTION 3.2:

Be Clear About Your Intent

Before you begin any public participation program, you need to be clear about what you are
hoping to gain from public participation and what the public can expect from you as they
participate. Most important, of course, is their potential influence on the decision itself.

When we communicate with the public about our projects and their role, they will be looking
for clues about whether and to what degree their participation will matter. We often refer to
these messages as our "Promise to the Public."

It is not uncommon for agencies to promise the public far more potential influence than is
likely or even possible. In general, this is not done on purpose, but rather due to a lack of
understanding or careful consideration of the role of the public at the conception of the
project.

The risks of not clarifying the public's role are significant.

If stakeholders perceive they will have significant input to and influence on a decision, but
ultimately they do not, then they will be dissatisfied with the outcome of the process,
regardless of how much public participation activity may have occurred.

The number of activities, the expense, and the time that an agency devotes to public
participation does not automatically translate to the value of that participation to the agency
or to stakeholders.

More important, the level of effort put forth in the public participation program does not
automatically reflect the potential for actual public influence on the decision. We will discuss
this further when we talk about public participation design.

In public participation, a great deal of time, effort, and resources can easily be expended on the
wrong pursuits, in turn leading to negative results. If we ask for input on something where it
turns out that public input can have no impact, then we have essentially wasted their time and
ours, and the public will feel a sense of anger at having been misled.

This is particularly true when you follow a prescribed set of activities in a law or regulation
without first establishing a clear role for the public.

For example, we are often faced with the requirement to obtain public input to a proposed
decision. Furthermore, we can be directed by law or regulation to hold a public meeting or
public hearing, so we do. However, if that meeting does not have a legitimate role in decision
making and public input does not really have the opportunity to help shape the outcome, again

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the public will react negatively. Not only are they frustrated with this process, but the overall
credibility of the agency is harmed.

To help us create clear expectations, the role for the public should be defined in two specific
statements:

1.	The Public Participation Goal.

The goal of the public participation project describes the agency's intent with regard to
engaging the public in the project and is used to make sure that common expectations
across the project team and within the entire sponsor agency are established and
maintained.

2.	The Promise to the Public.

Every public participation program results in a promise to the public regarding the level
of their potential influence on the outcome of the project and what they can expect
from the sponsor agency. Promises should be clear, explicit, written public statements
in orderto create common expectations among all stakeholders.

In both cases, we articulate these statements to establish clear and realistic expectations to
those stakeholders who are potentially involved in the project.

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GROUP DISCUSSION

The Importance of a Goal Statement and
The Promise to The Public

Why is it important to articulate these two statements separately?

How are we doing in setting clear goals for our organizations, and clear expectations to our
stakeholders?

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SECTION 3.3:

The IAP2 Public Participation Spectrum

Agencies around the world have designed and used a wide variety of tools to assist in the
selection of the appropriate level of public participation and determine the goals and promise
to the public. One of the most popular and easy-to-use tool designed by The International
Association for Public Participation (IAP2).

IAP2'S PUBLIC PARTICIPATION SPECTRUM

temational standard.

INCREASING IMPACT ON THE DECISION

INFORM

To provide the public
with balanced and
objective information
to assist them in
understanding the
problem, alternatives,
opportunities and/or
solutions.

We will keep you
informed.



CONSULT

INVOLVE

COLLABORATE

EMPOWER

To obtain public
feedback on analysis,
alternatives and/or
decisions.

To work directly with
the public throughout
the process to ensure
that public concerns
and aspirations
are consistently
understood and
considered.

To partner with
the public in each
aspect of the
decision including
the development of
alternatives and the
identification of the
preferred solution.

To place final decision
making in the hands of
the public,

We will keep you
informed, listen to
and acknowledge
concerns and
aspirations, and
provide feedback
on how public
input influenced the
decision, We will seek
your feedback on
drafts and proposals,

We will work with
you to ensure that
your concerns and
aspirations are directly
reflected in the
alternatives developed
and provide feedback
on how public
input influenced the
decision.

We will work
together with you to
formulate solutions
and incorporate
your advice and
recommendations
into the decisions to
the maximum extent
possible.

We will implement
what you decide.

In fact, the US EPA used the IAP2 Spectrum as the model for its own tool.

The IAP2 Spectrum is organized around the principle that public participation is
directly tied to the level of potential public influence on the decision or action
being considered. This potential influence can vary anywhere from none at all to total. The
spectrum is designed to understand the key levels that should be considered within these
extremes for designing a public participation program.

The IAP2 Spectrum is organized around

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the concept of the public's potential influence

It is important to recognize that we are only talking about potential influence and we are not
making explicit promises about how public input will actually be able to shape the decision. In
few cases can you promise the exact nature of the public's ultimate influence. How public input
is used is generally not apparent until the end of a well-implemented program, when full
consideration is given to the input received.

You can, however, conduct thoughtful planning to fully understand the dynamics of the
project, the desired and likely nature of public input, and the opportunities to address public
concerns, values, and interests. The agency then must take this input seriously in making its
decision.

Five levels of public participation are described on the Spectrum ranging from no influence
(Inform) to total influence (Empower). In between are three levels of participation with
increasing levels of potential public influence on the decision. Under each level, the spectrum
provides an example goal statement and example promise to the public.

The IAP2 Spectrum is a guide to help you articulate
your specific goals and promises for public participation

The goal statements on the spectrum are intended to provide generic guidance and are not
expected to be used exactly as written. As you approach each new project, you should give
careful thought to identifying the specific goals that apply to your conditions, opportunities,
constraints, and stakeholders.

As with the goal statements, the example promise statements on the spectrum are intended to
provide generic guidance and are not expected to be used exactly as written. You should
always give careful thought to creating promise statements that fit the conditions,
circumstances, and stakeholders for that project.

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SECTION 3.4:

The Five Levels of Public Participation

The two ends of the spectrum define the extreme levels of potential public influence, from no
opportunity to influence (the inform level) to total influence over the outcome (the empower
level). These two levels of public participation work to frame the spectrum, but are not actually
where most agencies conduct public participation.

IAP2'S PUBLIC PARTICIPATION SPECTRUM

The IAP2 Federation has developed the Spectrum to help groups define the public's role in any public participation process
The IAP2 Spectrum is quickly becoming an international standard.

INCREASING IMPACT ON THE DECISION



INFORM

EMPOWER

PUBLIC PARTICIPATION GOAL

To provide the public
with balanced and
objective information
to assist them in
understanding the
problem, alternatives,
opportunities and/or
solutions.

No Influence
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The first column in the Spectrum is the inform level. At this level, there is no real opportunity
for public influence, so we do not actually even obtain public input. However, it is there to
remind us that sometimes we don't have the opportunity or it is not appropriate to get public
input. In such cases, we still have an obligation to provide good information to the public. It
also reminds us that regardless of the level of public participation, good information forms the
foundation of all interaction with stakeholders.

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The Inform level of public participation does not actually provide
the opportunity for public participation at all, but rather provides the
public with the information they need to understand the agency
decision-making process. This level is on the spectrum to remind
agencies that sometimes there is no opportunity for the public to
influence decision-making and simply informing them is the
appropriate activity. When you conduct the "inform" level of public
participation, it is important to recognize that you are not trying to
persuade or manipulate the public in any way. The inform level is not
the same as a public relations campaign. Rather, the inform level of
public participation requires the agency to serve as an honest broker
of information, giving the public with the information that they need
to fully understand the project and decision and to reach their own
conclusions as to the appropriateness and adequacy of the decision.

The fifth column on the far right-hand side of the spectrum is the empower level. At empower,
public input is used directly to make the decision, such as in a ballot process. This represents a
level of influence that government agencies rarely provide to the public. In fact, most agencies
are not legally permitted to hand over their decision authority.



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At the Empower level of public participation, agencies provide the
public with the opportunity to make decisions for themselves. The
most common activities at this level are public voting or ballots, but
there are other techniques available as well. Government agencies
rarely conduct public participation at the empower level. In general,
agencies are not permitted to delegate their decision authority to
the public, and creating a fair, legitimate, and inclusive process for
empowerment beyond basic voting is complex and challenging.

Basic voting by itself often fails to create the level of public
knowledge and broad range of public input that is needed for
meaningful public participation because the parties involved
generally use persuasion to get voters to agree to one position or
another and the issue is simplified into very narrow range of
solutions.

Thus, it is in the middle three levels where most public participation occurs:
consult, involve, and collaborate.

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The Consult level of public participation is the basic minimum
opportunity for public input to a decision. Consult simply means
to ask. There is no invitation to sit down together and work on
things in any cooperative way. The agency merely asks the public for
their ideas, opinions or reactions, and considers the input it receives
as it makes the decision. At consult, agencies generally ask for input
at a limited number set points (often only once) in the process and
do not provide an ongoing opportunity for input.

•	The public participation goal at the consult level is to
obtain and consider public input.

•	The promise to the public at the consult level is to
consider the public input received and to provide feedback as
to how that input influenced the decision.

INVOLVE

To work directly with
the public throughout
the process to ensure
that public concerns
and aspirations
are consistently
understood and
considered,

We will work with
you to ensure that
your concerns and
aspirations are directly
reflected in the
alternatives developed
and provide feedback
on how public
input influenced the
decision.

The Involve level of public participation is more than a
consultation. To involve means to include. At the involve level,
the public is invited into the process, usually from the beginning, and
is provided multiple, sometimes ongoing opportunities for input as
decision-making progresses. However, the agency is still the
decision-maker and there is no expectation of building consensus or
providing the public with any sort of high-level influence over the
decision.

•	The public participation goal at the involve level is to

work directly with the public and considertheir input
throughout the decision-making process.

•	The promise to the public at the involve level is that
the public will have access to the decision process and
decision makers, and they will be provided the opportunity to
give input throughout the process and receive direct
feedback on how their input helped to influence the decision.

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The Collaborate level of public participation includes all the
elements of involve and usually adds some level of seeking common
ground. To collaborate means to work together. At the
collaborate level, the public is directly engaged in decision-making.
Collaborate often includes the explicit attempt to find consensus
solutions. However, as at involve, the agency is still the ultimate
decision-maker. The degree to which consensus will be sought and
how much decision authority the agency is willing to share must be
made explicit. In the end, the agency will either use any consensus
that was achieved or consider all input received in making its
decision. Collaboration level programs are time-consuming and
resource intensive and should not be entered into lightly. If
stakeholders do reach consensus and this is not given serious
consideration by the sponsoring agency, it can have serious negative
consequences on the project and on future relationships with
stakeholders.

•	The public participation goal at the collaborate level must consider a process
that seeks effective partnering with the public on some or all aspects of the decision.

•	The promise to the public at the collaborate level is that the public will be fully
engaged in all key activities and decisions, and their input will be incorporated to the
maximum extent possible. Consensus is often pursued but not automatically included
at the collaborate level; the degree to which consensus will be sought should be an
explicit part of the promise.

MODULE 3. Setting Goals for Public Participation



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SECTION 3.5:

Selecting a Level of Public Participation

The level of public participation that you select for your project or decision is
generally defined by the most intensive, or highest, level of public participation
that you will perform on the project. However, you will also be conducting public
participation at all of the levels of the spectrum beneath that highest level. This is because
stakeholders will choose the level of public participation at which they want to participate and
not all stakeholders will want to engage at the highest level of public participation that is
available.

The higher the level of participation,
the more effort required by both the agency
and its stakeholders

Lower levels, particularly inform and consult, can accommodate many stakeholders as we use
tools such as mass media and on-line engagement that allow stakeholders to participate
without attending meetings or workshops. Higher levels of participation require more effort on
the part of both agencies and stakeholders to design more in-depth learning programs and
efforts to engage stakeholders in dialogue. These higher levels of participation generally
attract fewer stakeholders who are able to provide that level of effort.

A robust collaboration project, for example, involves consensus-seeking and is often limited to
a representative group of stakeholders involved in long-term processes, such as long-term
advisory boards where participants meet regularly and spend a great deal of time and effort to
learn about the project and discuss choices and their ramifications. Watch the video on The
Passaic River Community Advisory Board in the EPA Guide to understand how powerful such
programs can be.

Regardless of the level of participation you choose,
it is important to think about how all stakeholders
may choose to participate

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Though you may be at the collaboration level, the members of the advisory group should never
be the only stakeholders that are engaged in the project. At the same time, many additional
stakeholders may be engaged in the project at the involve level, attending public workshops
and events, and even more stakeholders at the consult level providing input through letters or
the internet. Still, more stakeholders may choose to engage at the inform level, keeping track
of the project through media or neighbors, but offering no direct input.

Thus, a single project can actually be operating at many different levels of
public participation. Don't worry though, this does not mean that you have to design four
different projects, just make sure that you work to make the information available and create
opportunities for all interested stakeholders. Stakeholders will choose to access and get
involved in different ways and at different levels that suit their levels of interest and time. This
broader input is essential to understanding your full community and serve as further input to
the advisory board or other collaborative activities.

The level of public participation you choose is essential to establishing clear
expectations for your stakeholders. It also defines all of the information you will produce
and all of the activities you will plan for in engaging your community.

We will talk more about this and how it is incorporated into our design for public participation
in Module 5.

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GROUP EXERCISE

Using the IAP2 Spectrum

Think about a project you are currently conducting or have recently completed where you
considered obtaining public input. Talk about the following:

•	What is the purpose of the project?

•	What are the potential impacts on the public?

•	What are the likely concerns of the public?

•	What are the key stakeholders who will be interested?

•	Have we considered and paid attention to vulnerable populations and marginalized
communities?

•	How could public input help us to make a better decision?

•	In what ways would public input actually be considered in decision-making?

Reflecting on your answers to these questions, look at the IAP2 spectrum and determine the
following:

•	Which level of public participation would likely make the most sense for this project?

•	How would you describe the public participation goals for this project?

•	What would be included in our promise to the public to help create realistic
expectations for public participation?

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