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NATIONAL
NCHRP SYNTHESIS 407
COOPERATIVE
HIGHWAY
RESEARCH
PROGRAM
Effective Public Involvement
Using Limited Resources
A Synthesis of Highway Practice
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TRANSPORTATION RESEARCH BOARD 2010 EXECUTIVE COMMITTEE*
OFFICERS
Chair: Michael R. Morris, Director of Transportation, North Central Texas Council of Governments, Arlington
Vice Chair: Neil J. Pedersen, Administrator, Maryland State Highway Administration, Baltimore
Executive Director: Robert E. Skinner, Jr., Transportation Research Board
MEMBERS
J. BARRY BARKER, Executive Director, Transit Authority of River City, Louisville, KY
ALLEN D. BIEHLER, Secretary, Pennsylvania DOT, Harrisburg
LARRY L. BROWN, SR., Executive Director, Mississippi DOT, Jackson
DEBORAH H. BUTLER, Executive Vice President, Planning, and CIO, Norfolk Southern Corporation, Norfolk, VA
WILLIAM A.V. CLARK, Professor, Department of Geography, University of California, Los Angeles
EUGENE A. CONTI, JR., Secretary of Transportation, North Carolina DOT, Raleigh
NICHOLAS J. GARBER, Henry L. Kinnier Professor, Department of Civil Engineering, and Director, Center for Transportation Studies,
University of Virginia, Charlottesville
JEFFREY W. HAMIEL, Executive Director, Metropolitan Airports Commission, Minneapolis, MN
PAULA J. HAMMOND, Secretary, Washington State DOT, Olympia
EDWARD A. (NED) HELME, President, Center for Clean Air Policy, Washington, DC
ADIB K. KANAFANI, Cahill Professor of Civil Engineering, University of California, Berkeley
SUSAN MARTINOVICH, Director, Nevada DOT, Carson City
DEBRA L. MILLER, Secretary, Kansas DOT, Topeka
SANDRA ROSENBLOOM, Professor of Planning, University of Arizona, Tucson
TRACY L. ROSSER, Vice President, Corporate Traffic, Wal-Mart Stores, Inc., Mandeville, LA
STEVEN T. SCALZO, Chief Operating Officer, Marine Resources Group, Seattle, WA
HENRY G. (GERRY) SCHWARTZ, JR., Chairman (retired), Jacobs/Sverdrup Civil, Inc., St. Louis, MO
BEVERLY A. SCOTT, General Manager and Chief Executive Officer, Metropolitan Atlanta Rapid Transit Authority, Atlanta, GA
DAVID SELTZER, Principal, Mercator Advisors LLC, Philadelphia, PA
DANIEL SPERLING, Professor of Civil Engineering and Environmental Science and Policy; Director, Institute of Transportation Studies;
and Interim Director, Energy Efficiency Center, University of California, Davis
KIRK T. STEUDLE, Director, Michigan DOT, Lansing
DOUGLAS W. STOTLAR, President and CEO, Con-Way, Inc., Ann Arbor, MI
C. MICHAEL WALTON, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas, Austin
EX OFFICIO MEMBERS
PETER H. APPEL, Administrator, Research and Innovative Technology Administration, U.S.DOT
J. RANDOLPH BABBITT, Administrator, Federal Aviation Administration, U.S.DOT
REBECCA M. BREWSTER, President and COO, American Transportation Research Institute, Smyrna, GA
GEORGE BUGLIARELLO, President Emeritus and University Professor, Polytechnic Institute of New York University, Brooklyn;
Foreign Secretary, National Academy of Engineering, Washington, DC
ANNE S. FERRO, Administrator, Federal Motor Carrier Safety Administration, U.S.DOT
LEROY GISHI, Chief, Division of Transportation, Bureau of Indian Affairs, U.S. Department of the Interior, Washington, DC
EDWARD R. HAMBERGER, President and CEO, Association of American Railroads, Washington, DC
JOHN C. HORSLEY, Executive Director, American Association of State Highway and Transportation Officials, Washington, DC
DAVID T. MATSUDA, Deputy Administrator, Maritime Administration, U.S.DOT
VICTOR M. MENDEZ, Administrator, Federal Highway Administration, U.S.DOT
WILLIAM W. MILLAR, President, American Public Transportation Association, Washington, DC
ROBERT J. PAPP (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard, U.S. Department of Homeland Security, Washington, DC
CYNTHIA L. QUARTERMAN, Administrator, Pipeline and Hazardous Materials Safety Administration, U.S.DOT
PETER M. ROGOFF, Administrator, Federal Transit Administration, U.S.DOT
DAVID L. STRICKLAND, Administrator, National Highway Traffic Safety Administration, U.S.DOT
JOSEPH C. SZABO, Administrator, Federal Railroad Administration, U.S.DOT
POLLY TROTTENBERG, Assistant Secretary for Transportation Policy, U.S.DOT
ROBERT L. VAN ANTWERP (Lt. Gen., U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps of Engineers,
Washington, DC
*Membership as of July 2010.
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NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM
NCHRP SYNTHESIS 407
Effective Public Involvement
Using Limited Resources
A Synthesis of Highway Practice
CONSULTANTS
ANNE MORRIS
Columbia, South Carolina
and
LOUISE FRAGALA
Lakeland, Florida
S UBSCRIBER C ATEGORIES
Highways · Planning and Forecasting · Public Transportation · Society
Research Sponsored by the American Association of State Highway and Transportation Officials
in Cooperation with the Federal Highway Administration
TRANSPORTATION RESEARCH BOARD
WASHINGTON, D.C.
2010
www.TRB.org
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NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM NCHRP SYNTHESIS 407
Systematic, well-designed research provides the most effective Project 20-05, Topic 40-05
approach to the solution of many problems facing highway ISSN 0547-5570
administrators and engineers. Often, highway problems are of local ISBN 978-0-309-14313-4
interest and can best be studied by highway departments Library of Congress Control No. 2010925481
individually or in cooperation with their state universities and © 2010 National Academy of Sciences. All rights reserved.
others. However, the accelerating growth of highway transportation
develops increasingly complex problems of wide interest to
highway authorities. These problems are best studied through a COPYRIGHT INFORMATION
coordinated program of cooperative research. Authors herein are responsible for the authenticity of their materials and for
In recognition of these needs, the highway administrators of the obtaining written permissions from publishers or persons who own the
American Association of State Highway and Transportation copyright to any previously published or copyrighted material used herein.
Officials initiated in 1962 an objective national highway research Cooperative Research Programs (CRP) grants permission to reproduce
program employing modern scientific techniques. This program is material in this publication for classroom and not-for-profit purposes.
supported on a continuing basis by funds from participating Permission is given with the understanding that none of the material will be
member states of the Association and it receives the full cooperation used to imply TRB, AASHTO, FAA, FHWA, FMCSA, FTA, or Transit
and support of the Federal Highway Administration, United States Development Corporation endorsement of a particular product, method, or
Department of Transportation. practice. It is expected that those reproducing the material in this document
for educational and not-for-profit uses will give appropriate acknowledgment
The Transportation Research Board of the National Academies
of the source of any reprinted or reproduced material. For other uses of the
was requested by the Association to administer the research material, request permission from CRP.
program because of the Board's recognized objectivity and
understanding of modern research practices. The Board is uniquely
suited for this purpose as it maintains an extensive committee
structure from which authorities on any highway transportation NOTICE
subject may be drawn; it possesses avenues of communications and The project that is the subject of this report was a part of the National
cooperation with federal, state, and local governmental agencies, Cooperative Highway Research Program, conducted by the Transportation
universities, and industry; its relationship to the National Research Research Board with the approval of the Governing Board of the National
Council is an insurance of objectivity; it maintains a full-time Research Council.
research correlation staff of specialists in highway transportation The members of the technical panel selected to monitor this project and
matters to bring the findings of research directly to those who are in to review this report were chosen for their special competencies and with
a position to use them. regard for appropriate balance. The report was reviewed by the technical
panel and accepted for publication according to procedures established and
The program is developed on the basis of research needs
overseen by the Transportation Research Board and approved by the
identified by chief administrators of the highway and transportation Governing Board of the National Research Council.
departments and by committees of AASHTO. Each year, specific The opinions and conclusions expressed or implied in this report are those
areas of research needs to be included in the program are proposed of the researchers who performed the research and are not necessarily those
to the National Research Council and the Board by the American of the Transportation Research Board, the National Research Council, or the
Association of State Highway and Transportation Officials. program sponsors.
Research projects to fulfill these needs are defined by the Board, and
qualified research agencies are selected from those that have
submitted proposals. Administration and surveillance of research The Transportation Research Board of the National Academies, the National
contracts are the responsibilities of the National Research Council Research Council, and the sponsors of the National Cooperative Highway
and the Transportation Research Board. Research Program do not endorse products or manufacturers. Trade or
The needs for highway research are many, and the National manufacturers' names appear herein solely because they are considered
Cooperative Highway Research Program can make significant essential to the object of the report.
contributions to the solution of highway transportation problems of
mutual concern to many responsible groups. The program,
however, is intended to complement rather than to substitute for or
duplicate other highway research programs.
Published reports of the
NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM
are available from:
Transportation Research Board
Business Office
500 Fifth Street, NW
NOTE: The Transportation Research Board of the National Academies, the
Washington, DC 20001
National Research Council, the Federal Highway Administration, the American
Association of State Highway and Transportation Officials, and the individual and can be ordered through the Internet at:
states participating in the National Cooperative Highway Research Program do http://www.national-academies.org/trb/bookstore
not endorse products or manufacturers. Trade or manufacturers' names appear
herein solely because they are considered essential to the object of this report. Printed in the United States of America
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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished schol-
ars engaged in scientific and engineering research, dedicated to the furtherance of science and technology
and to their use for the general welfare. On the authority of the charter granted to it by the Congress in
1863, the Academy has a mandate that requires it to advise the federal government on scientific and techni-
cal matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences.
The National Academy of Engineering was established in 1964, under the charter of the National Acad-
emy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration
and in the selection of its members, sharing with the National Academy of Sciences the responsibility for
advising the federal government. The National Academy of Engineering also sponsors engineering programs
aimed at meeting national needs, encourages education and research, and recognizes the superior achieve-
ments of engineers. Dr. Charles M. Vest is president of the National Academy of Engineering.
The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the
services of eminent members of appropriate professions in the examination of policy matters pertaining
to the health of the public. The Institute acts under the responsibility given to the National Academy of
Sciences by its congressional charter to be an adviser to the federal government and, on its own initiative,
to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the
Institute of Medicine.
The National Research Council was organized by the National Academy of Sciences in 1916 to associate
the broad community of science and technology with the Academys í p urposes of furthering knowledge and
advising the federal government. Functioning in accordance with general policies determined by the Acad-
emy, the Council has become the principal operating agency of both the National Academy of Sciences
and the National Academy of Engineering in providing services to the government, the public, and the scien-
tific and engineering communities. The Council is administered jointly by both the Academies and the Insti-
tute of Medicine. Dr. Ralph J. Cicerone and Dr. Charles M. Vest are chair and vice chair, respectively,
of the National Research Council.
The Transportation Research Board is one of six major divisions of the National Research Council. The
mission of the Transportation Research Board is to provide leadership in transportation innovation and
progress through research and information exchange, conducted within a setting that is objective, interdisci-
plinary, and multimodal. The Board's varied activities annually engage about 7,000 engineers, scientists, and
other transportation researchers and practitioners from the public and private sectors and academia, all of
whom contribute their expertise in the public interest. The program is supported by state transportation depart-
ments, federal agencies including the component administrations of the U.S. Department of Transportation,
and other organizations and individuals interested in the development of transportation. www.TRB.org
www.national-academies.org
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NCHRP COMMITTEE FOR PROJECT 20-05 COOPERATIVE RESEARCH PROGRAMS STAFF
CHRISTOPHER W. JENKS, Director, Cooperative Research
CHAIR Programs
CATHERINE NELSON, Oregon DOT CRAWFORD F. JENCKS, Deputy Director, Cooperative Research
Programs
MEMBERS NANDA SRINIVASAN, Senior Program Officer
KATHLEEN S. AMES, Springfield, Illinois EILEEN P. DELANEY, Director of Publications
STUART D. ANDERSON, Texas A&M University
CYNTHIA J. BURBANK, PB Americas, Inc. NCHRP SYNTHESIS STAFF
LISA FREESE, Scott County (MN) Public Works Division STEPHEN R. GODWIN, Director for Studies and Special Programs
MALCOLM T. KERLEY, Virginia DOT JON M. WILLIAMS, Program Director, IDEA and Synthesis Studies
RICHARD D. LAND, California DOT JO ALLEN GAUSE, Senior Program Officer
JAMES W. MARCH, Federal Highway Administration GAIL R. STABA, Senior Program Officer
JOHN M. MASON, JR., Auburn University DONNA L. VLASAK, Senior Program Officer
ANANTH PRASAD, HNTB Corporation DON TIPPMAN, Editor
ROBERT L. SACK, New York State DOT CHERYL KEITH, Senior Program Assistant
FRANCINE SHAW-WHITSON, Federal Highway Administration DEBBIE IRVIN, Program Associate
LARRY VELASQUEZ, New Mexico DOT
TOPIC PANEL
FHWA LIAISON KATHLEEN S. AMES, Springfield, Illinois
JACK JERNIGAN KIMBERLY FISHER, Transportation Research Board
DIANNE KRESICH, Arizona Department of Transportation
TRB LIAISON KATHLEEN G. MCKINNEY, PRR, Olympia, WA
STEPHEN F. MAHER WALTER JEFFREY MOORE, Kentucky Transportation Cabinet
AMY A. O'LEARY, Virginia Department of Transportation
JENNIFER L. WEEKS, Parsons Brinckerhoff, Baltimore, MD
KATHLEEN A. BERGERON, Federal Highway Administration
(Liaison)
BRENDA C. KRAGH, Federal Highway Administration (Liaison)
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FOREWORD Highway administrators, engineers, and researchers often face problems for which infor-
mation already exists, either in documented form or as undocumented experience and prac-
tice. This information may be fragmented, scattered, and unevaluated. As a consequence,
full knowledge of what has been learned about a problem may not be brought to bear on its
solution. Costly research findings may go unused, valuable experience may be overlooked,
and due consideration may not be given to recommended practices for solving or alleviat-
ing the problem.
There is information on nearly every subject of concern to highway administrators and
engineers. Much of it derives from research or from the work of practitioners faced with
problems in their day-to-day work. To provide a systematic means for assembling and eval-
uating such useful information and to make it available to the entire highway community,
the American Association of State Highway and Transportation Officials--through the
mechanism of the National Cooperative Highway Research Program--authorized the
Transportation Research Board to undertake a continuing study. This study, NCHRP Proj-
ect 20-5, "Synthesis of Information Related to Highway Problems," searches out and syn-
thesizes useful knowledge from all available sources and prepares concise, documented
reports on specific topics. Reports from this endeavor constitute an NCHRP report series,
Synthesis of Highway Practice.
This synthesis series reports on current knowledge and practice, in a compact format,
without the detailed directions usually found in handbooks or design manuals. Each report
in the series provides a compendium of the best knowledge available on those measures
found to be the most successful in resolving specific problems.
PREFACE This synthesis was prepared to report on the state of the practice and to identify effective
By Donna L. Vlasak public involvement using limited resources. Basic information is offered here for trans-
Senior Program Officer portation agencies to further their efforts in this area. This synthesis provides information
Transportation about staff and agency experiences in the application of effective and cost-effective strate-
Research Board gies and implementation techniques used to engage the public in the development of trans-
portation plans and projects, as well as strategies found to be ineffective. It captures respon-
dents' definitions of successful, effective, and cost-effective public involvement and reveals
a rudimentary state of the practice in the areas of costs and measures of effectiveness. Al-
though there appeared to be no clear cut definitions of responsibilities or implementation
strategies, similarities and differences were identified in four areas--organizational struc-
ture, staffing, cost quantification, and process. Detailed appendices provide abstracts of the
literature reviewed and document survey questionnaire interview responses
The report, accomplished by means of detailed telephone interviews, documents the ex-
periences of staff at 26 agencies (100% response rate) that included departments of trans-
portation, metropolitan planning organizations/area development districts, a council of gov-
ernments, a regional planning commission, a metropolitan council, transit agencies, and
local governments, among others.
Anne C. Morris, PBS&J, South Carolina, and Louise Fragala, Lakeland, Florida, collected
and synthesized the information and wrote the report. The members of the topic panel are
acknowledged on the preceding page. This synthesis is an immediately useful document
that records the practices that were acceptable within the limitations of the knowledge avail-
able at the time of its preparation. As progress in research and practice continues, new
knowledge will be added to that now at hand.
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CONTENTS
1 SUMMARY
3 CHAPTER ONE INTRODUCTION
Introduction, 3
Project Background, 3
Technical Approach, 4
Organization of the Report, 4
6 CHAPTER TWO LITERATURE REVIEW
Introduction, 6
Findings, 6
Summary, 8
9 CHAPTER THREE SURVEY RESULTS
Introduction, 9
Organizational Structure, 9
Staffing, 9
Cost Quantification, 10
Public Involvement Process (Social/Community Issues, Studies, and Reports), 10
Public Involvement Process (Level of Effort, Education, and Documentation), 10
Public Involvement Process (Goals), 10
Public Involvement Process (Communicating Public Input and Commitments), 11
Definitions of Successful, Effective, and Cost-Effective Public Involvement, 11
Measures of Effectiveness, 11
Effective, Cost-Effective, and Ineffective Techniques, 11
Leveraging Relationships, 12
Summary, 12
13 CHAPTER FOUR TOOLS, TECHNIQUES, AND EXAMPLES OF THEIR USE
Introduction, 13
Utilizing the Internet and Intranet, 13
Using Visualizations, 13
Holding Meetings in the Right Place, on the Right Day, at the Right Time, 13
Leveraging Relationships, 14
Playing Interactive Games, 14
Taking the Time to Sit and Listen, 14
Using Public Involvement Programs, 14
Summary, 15
16 CHAPTER FIVE CONCLUSIONS
Introduction, 16
Context, 16
Findings, 16
Conclusions, 16
Suggestions for Research, 17
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18 ACRONYMS
19 ANNOTATED REFERENCES
35 APPENDIX A INTERVIEW GUIDE
38 APPENDIX B LIST OF PARTICIPATING TRANSPORTATION AGENCIES
39 APPENDIX C SUMMARIZED SURVEY RESULTS
91 APPENDIX D TOOLS, TECHNIQUES, AND EXAMPLES OF THEIR USE
