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19 ANNOTATED REFERENCES TRIS PUBLICATIONS Aparicio, A., Assessing Public Involvement Effectiveness in Long-Term Planning, Paper #07-0728, presented at the 86th AASHTO Task Force on Environmental Design, Visualiza- Annual Meeting of the Transportation Research Board, Jan. tion in Transportation: A Guide for Transportation Agen- 2125, 2007, Washington, D.C. cies, July 2003 The recent experience of the Spanish Ministry of Trans- Visualization is a simulated representation of proposed portation in developing a new Transportation Plan intended transportation improvements and their associated impacts to use public involvement as a key element to recover legit- on the surroundings in a manner sufficient to convey imacy for long-term planning and to gain support to sus- to the layperson the full extent of the improvement. tainable transportation objectives. The public involve- http://www.trbvis.org/MAIN/RESOURCES_files/AASH ment procedure reinforced the role of planning; however, TOVisGuideJuly2003_1.pdf. ironically, also resulted in a more conservative document in terms of the relevance of environmental goals and the Alter, R., M. Lewiecki, M. Renz-Whitmore, and D.W. emphasis on management versus infrastructure develop- Albright, "Accountable Public Involvement: Partnership App- ment policies. Conservationist groups were particularly roach to Proposed Transportation Project," Transportation disappointed about the outcome of the process. Although Research Record: Journal of the Transportation Research there was a strong emphasis in creating multiple, well- Board No. 2077, Transportation Research Board of the balanced panels for discussion, consensus building lacked National Academies, Washington, D.C., 2008, pp. 4653. the time to reinforce the position of more progressive Bernalillo County, New Mexico, undertook an initia- approaches compared with "business as usual" positions. tive to improve public involvement in guiding trans- Furthermore, it proved to be impossible for key environ- portation and recreation decision making through quan- mental questions to be carefully examined at this stage, and titative tracking of participation among stakeholder they were postponed to modal plans. Overall, the process groups. A methodology was developed and a demon- served to legitimate and reinforce long-term planning as a stration project selected to implement the methodology. useful tool for transportation policy development. How- The proposed methodology was to identify the demo- ever, there is a significant way ahead for making public graphic characteristics of the community affected by involvement more influential. Linking goals to clearly the proposed project. Outreach program performance specified and regularly monitored objectives would keep would be measured by ascertaining whether persons public involvement alive along the planning cycle. A who commented on the proposed project were repre- more clear link between general transportation policy sentative of the population served. For the purpose of goals and stakeholders' daily interests, such as quality the demonstration, three demographic characteristics of service, environmental quality, or access to develop- were identified as represented in the community affected ment opportunities should keep alive and improve the dia- by the demonstration project but historically underrep- log among technicians, decision makers, and the public, resented in Bernalillo County public meetings. Public and put additional pressure in the transportation sector to involvement of persons whose primary language was gather further evidence and develop a better understanding Spanish, persons with disabilities, and youths were about these complex links. tracked. Successfully engaging persons with these char- acteristics required partner organizations that could engage Barnes, G. and S. Erickson, Developing a Simple System them. A partnership approach was adopted to reach out to for Public Involvement Conflict Management, University of the community served. The public involvement partner- Minnesota, Minneapolis, Minnesota Department of Trans- ship was formed with a variety of governmental, pri- portation, 2006 vate, and nongovernmental organizations. There was This report describes a project to develop a simple system an increase in the diversity of the public involved in dis- for managing conflict in transportation project public cussing the demonstration project. A benchmark was involvement. This work was focused on finding simple established for public involvement in future phases methods for managing less challenging projects and was of the demonstration project. Building accountability aimed toward those who may do public involvement only into public outreach can improve the level of commu- occasionally. The conflict management framework is nity participation in proposed transportation projects. derived from a distillation of expert opinion, based on dis- An effective means of delivering an accountable out- cussions of specific projects by Minnesota transportation reach program is through partnerships. In the Bernalillo public involvement experts. The framework is comprised County experience, partner organizations should be as of two components. The first is a simple organizational diverse as the public to be served. http://dx.doi.org/ scheme for categorizing conflict to assist in determining 10.3141/2077-07. the appropriate management strategy. The second part is

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20 the management strategies themselves. Key among these hundreds of homes and churches were demolished to make are principles for managing stakeholder relations so as to way for the new interstate. The surrounding communities preclude the occurrence of conflict to the extent possible. were not involved in the planning of the design and viewed http://www.lrrb.org/PDF/200624.pdf. the new highway as a segregation tool. Although trans- portation planning efforts have come a long way since the Barnes, G. and P. Langworthy, Increasing the Value of 1960s, many culturally diverse communities remember the Public Involvement in Transportation Project Planning, Uni- impact of highway construction on their neighborhoods, versity of Minnesota, Minneapolis, Minnesota Department of and have developed resentment and distrust toward trans- Transportation, 2004 portation officials. Therefore, transportation departments The purpose of this project was to understand why public with projects affecting culturally diverse communities involvement in transportation project planning goes badly, need to develop different, more proactive approaches and to determine how the process could be modified to to public participation. This paper discusses innovative reduce negative outcomes. The project examines these approaches to public participation in culturally diverse com- issues by studying public involvement efforts. It exam- munities that have proven effective. It provides a roadmap ines how the potential for conflict can be anticipated. A for project success by exploring a major highway construc- local project had characteristics of having been well run tion project in Illinois that was initially opposed by the with good intentions, of having been plagued by conflict, community and then, after significant retooling, gained and of being documented in a neighborhood newspaper. support from the community. The tools for successful It was the primary source of reasons why public involve- public involvement in culturally diverse communities ment can turn out badly and was contrasted with three include forming a project team that is diverse in ideas and other projects that were more successful with their public culture, involving an expert in public and community rela- involvement. A new model is proposed in this report. It tions, creating user-friendly project information materials, proposes that conflict can derive from any or all of five forming a community taskforce to provide feedback on independent dimensions, each with its own level of inten- your ideas and demonstrate your commitment to involve- sity or intractability: size and distribution of local benefits ment, engaging local community papers as a valuable or costs; disagreement about the nature and importance of resource to reach diverse communities, and addressing local impacts; ability to accurately define and engage rel- the need for jobs and contracts early in the planning stages evant stakeholders; perceived legitimacy of the project; to establish realistic expectations. and degree of ideological issues. There are two key con- clusions. First, situations with serious conflict are different Bryson, J.M. and A.R. Carroll, Public Participation Field- from the typical public involvement effort; they require dif- book, Regents of the University of Minnesota, 2007 ferent tools and tactics built around the specific nature of This Fieldbook introduces the theory and practice the conflict. The second major finding is that "conflict" is of working with others in intra-organizational, inter- not a standard problem to answer with a single solution, but organizational, and community settings. The general each conflict does not have to be approached individually. focus is on how an organization or community can use http://www.lrrb.gen.mn.us/PDF/200420.pdf. participation to achieve the common good or create pub- lic value as a result of a change effort. Examples include Black, R.N., Public Participation in Diverse Communities: a policy change or a new or modified program, project, Tools for Consensus Building, Paper #06-2580, presented at service, or other initiative. The idea for the Fieldbook the 85th Annual Meeting of the Transportation Research emerged from the desires of communities and students to Board, Jan. 2226, 2006, Washington, D.C. learn how to engage people in decision making. The liter- Transportation departments typically follow a traditional ature on participation tends to be either theoretical or model for public participation that includes public notices; nuts-and-bolts, but not both, and is often inadequate for open house meetings to present the project, design, and our purposes. The authors are great fans of both the power timeline; and a complement of fact sheets and color-coded and practicality of good theory. The great philosopher maps to inform the message. This one-size-fits-all approach Bertrand Russell said, "Abstraction is the source of all to public participation is ineffective in culturally diverse power." Also, psychologist Kurt Lewin said, "There is communities. What makes diverse communities unique to nothing quite so practical as a good theory." (Many regard transportation departments' public participation efforts? Lewin as the founder of small-group research and inventor Culturally diverse communities have a different history of action research.) But theory without guidance on how with transportation policies. In the 1960s, before trans- to apply it to specific situations can be impotent. In other portation policies emphasized public participation and words, if one cannot figure out how to apply the theory, it context-sensitive solutions, many culturally diverse com- cannot be very powerful or practical. The question that kept munities experienced public works projects such as high- being asked was, "What should a practitioner do--and way construction that physically divided low-income why, with whom, how, when, and where?" Little in the communities and displaced homes. For instance, when literature provides satisfactory answers to all of the ques- the Dan Ryan Expressway was built in Chicago in 1968, tions. Although individual practitioners bring slices of

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21 personal experience and preferences that provide anec- transportation. Brief news items of interest to the trans- dotal guidance, it is not clear how and why to apply the portation community are also included, along with profiles advice to other situations. These valuable bits and pieces of transportation professionals, meeting announcements, of theory and practical advice need a useful synthesis or summaries of new publications, and news of TRB activities. integration. This Fieldbook provides a synthesis of much http://gulliver.trb.org/publications/trnews/trnews220.pdf. of the theory, concepts, design guidance, tools, and other resources it is believed that participation process designers Casper, C.T. and F. Orr, Metropolitan Planning Organization and implementers need to succeed. Practitioners will not Use of Google Earth as a Visualization Tool to Aid Public need everything in the Fieldbook all the time, but they will Involvement and Integration of NEPA with Transportation have a resource that covers the bases and will help them Planning, Paper #07-0678, presented at the 86th Annual Meet- think through what they need in specific circumstances. ing of the Transportation Research Board, Jan. 2125, 2007, The Fieldbook is not meant to be a substitute for important Washington, D.C. works from the scholarly literature or for years of experi- The Pikes Peak Area Council of Governments (PPACG) is ence; it is meant to be a bridge between theory and practice. responsible for preparing a long-range regional transporta- http://www.extension.umn.edu/distribution/resourcesand tion plan, carrying out short-range transportation planning tourism/DB8422.html. activities, and prioritizing and approving, through the trans- portation improvement program, expenditure of federal Burbidge, S.K., T. Knowlton, and A. Matheson, Jr., Wasatch funds for transportation-related projects in the region. The Choices 2040: A New Paradigm for Public Involvement and 2005 Safe, Accountable, Flexible, Efficient Transportation Scenario Development in Transportation Planning, 2007 Equity Act: A Legacy for Users (SAFETEA-LU) man- Wasatch Choices 2040 was a partnership between Envi- dates that MPOs both utilize the Internet to publish their sion Utah and the two major metropolitan planning orga- plans along with using visualization techniques to distrib- nizations (MPOs) along Utah's Wasatch Front. The pur- ute data and information more effectively. Public involve- pose of the partnership was to involve the public through ment is a vital component of the transportation planning a scenario planning process and to consider the role of process. To make information more easily available to the land use in developing the region's long-range trans- general public, PPACG, with CH2M HILL, is planning on portation plan. Through 13 public workshops and 5 open providing long-range regional transportation plan and trans- houses held in 2005, members of the public expressed portation improvement program data in Google Earth for- their preferences for transportation and land use in their mat on the PPACG website. A free, easy-to-use interface communities. The input from the public informed the and access to high-resolution aerial imagery have made development of regional growth principles that have since Google Earth the most successful of the "virtual globe" been adopted by elected officials and will guide trans- viewing applications. Its popularity and ease of use make portation and land use decisions in Wasatch Front com- Google Earth a natural medium for communicating munities. In addition, results from the public process were transportation information to the public. The data and infor- used to create four regional transportation and land use mation are divided into four general categories: projects, scenarios that ultimately led to the creation of a regional roadway and traffic information, environmental constraints, vision. Each scenario was tested by using the CentreSim and demographics. Topics discussed include the method- forecasting model, and a vision scenario was created to ologies employed, technical obstacles and how they were depict one version of how the Wasatch Front could develop overcome, the final delivery model, agency and public if guided by regional growth principles. Modeling of the receptivity, and lessons learned. The overall conclusion is regional vision demonstrates that it performs significantly that Google Earth is a powerful data visualization and better than the existing long-range plan for several quality- data access application and can serve as an unparalleled of-life measures, including traffic congestion. This process information dissemination tool. proved groundbreaking by reminding both land use and transportation professionals that futures cannot be planned Creighton, J.L., The Public Participation Handbook: Making in isolation. Transportation affects land use just as much as Better Decisions Through Citizen Involvement, March 2005 land use affects transportation. It is a circular relationship Internationally renowned facilitator and public participation that must be accounted for. This process focuses on bring- consultant Creighton offers a practical guide to designing ing all interests to the table concurrently to plan for a better and facilitating public participation in environmental and future. http://dx.doi.org/10.3141/1994-19. public policy decision making. Written for government offi- cials, public and community leaders, and professional Byrd, L. and S. David, Public Involvement in Long-Range facilitators, The Public Participation Handbook is a toolkit Transportation Planning: Benchmarking Study Identifies Best for designing a participation process, selecting tech- Practices, TR News, No. 220, Transportation Research Board, niques to encourage participation, facilitating successful Washington, D.C., 2002 public meetings, working with the media, and evaluating This publication features articles on innovative and the program. The book is also filled with practical timely research and development activities in all modes of advice, checklists, worksheets, and illustrative examples.

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22 http://www.amazon.com/gp/product/product-description/ form of public participation is often required by law, 0787973076/ref=dp_proddesc_0?ie=UTF8&n=283155& agencies usually have broad discretion about the extent of s=books that involvement. Approaches vary widely, from holding public information gathering meetings, to forming advisory Dalton, D. and P.J. Harter, Better Decisions through Consul- groups, to actively including citizens in making and imple- tation and Collaboration menting decisions. Proponents of public participation argue Involving the public in government decision making makes that those who must live with the outcome of an environ- sense for three key reasons: This guide will help you mental decision should have some influence on it. Critics answer these questions. The Conflict Prevention and Reso- maintain that public participation slows decision making lution Center developed this manual to assist EPA man- and can lower its quality by including people unfamiliar agers and staff who are developing or managing policies, with the science involved. This book concludes that, when plans, regulations, or programs at the national, regional, or done correctly, public participation improves the quality of local levels to achieve EPA's Public Involvement Policy federal agencies' decisions about the environment. Well- goals. Although not specifically aimed at facility-level per- managed public involvement also increases the legitimacy mitting, enforcement, or remediation, many lessons are of decisions in the eyes of those affected by them, which transferable to these situations. This document is a resource makes it more likely that the decisions will be imple- guide on public involvement best practices and strategies mented effectively. This book recommends that agencies for EPA staff who are tasked with designing and/or imple- recognize public participation as valuable to their objec- menting public involvement processes for various EPA tives, not just as a formality required by the law. It details activities. The discussions and advice in this document are principles and approaches agencies can use to success- intended solely as guidance. As indicated by the use of non- fully involve the public. http://www.nap.edu/catalog.php? mandatory language such as "may" and "should," it offers record_id=12434. recommendations and suggestions for EPA staff. This doc- ument does not substitute for any statutory authorities or Done, R.S. and J. Semmens, Making a Good First Impression: regulations. This document is not an EPA regulation and Improving Predesign and Environmental Public Information therefore cannot impose legally binding requirements on and Public Involvement, presented at the 87th Annual Meeting EPA, states, or the regulated community. EPA retains the of the Transportation Research Board, Jan. 1317, 2008, discretion to adopt approaches that differ from this guid- Washington, D.C. ance. Interested parties are free to raise questions about this Current federal transportation legislation creates consider- guidance and the appropriateness of applying it in a partic- able responsibility for state departments of transportation ular situation. EPA may change this document in the future, (DOTs) and MPOs to provide public information and pub- as appropriate. This manual focuses on the preparation lic involvement to a diverse community and to obtain feed- for involving stakeholders in decision-making processes back that satisfies legal mandate and results in improved because, in our experience, building a strong foundation planning and project development. The four main domains at the outset ensures a more productive and efficient out- of public participation are informing people, involving peo- come. Indeed, a 2008 National Academy of Sciences study ple, getting feedback, and applying special techniques. The concluded that stakeholder involvement processes can growing population in Arizona requires a constant roadway improve the quality of policies and help them become construction and maintenance effort that naturally includes implemented. "Public participation should be fully incor- public participation during planning and implementation. porated into environmental assessment and decision- Using data collected from internal and external respondents, making processes, and it should be recognized by govern- this study examines the current public information and pub- ment agencies and other organizers of the processes as a lic involvement structures and functions as well as opportu- requisite of effective action, not merely a formal proce- nities for improving these structures and functions. dural requirement." Involving stakeholders takes time and planning to produce meaningful results. Without Eagle, K. and B. Stich, "Planning to Include the Public. Trans- this commitment, you may waste time and money and the portation Policy Implementation with Effective Citizen stakeholders may end up more alienated than if you had not Involvement," Public Works Management & Policy, Vol. 9, consulted them at all. A stakeholder involvement process is No. 4, 2005 not an end in itself: it is a means to a better, more widely The following research is a Virginia case study evaluating accepted decision. http://www.epa.gov/ncei/collaboration/ planning processes as they implement the following legisla- betterdecisions.pdf. tion: NEPA (the National Environmental Policy Act), 1969; ISTEA (Intermodal Surface Transportation Efficiency Act), Dietz, T. and P.C. Stern, Public Participation in Environ- 1991; and TEA-21 (Transportation Equity Act for the 21st mental Assessment and Decision Making, The National Century), 1998. Specifically, the implementation of the Academies Press, Washington, D.C., 2008 legislation requiring citizen participation will be reviewed Federal agencies have taken steps to include the public in in an effort to evaluate how the policy process and citizen a wide range of environmental decisions. Although some participation relate to each other and to the legislation to

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23 determine how the process relates to the desired outcomes This publication provides guidance on what special for involvement. approaches are needed to outreach to low-literacy and limited-English-proficiency populations, and what are the Federal Highway Administration, A Citizen's Guide to Trans- best ways to contact low-literacy and limited-English- portation Decisionmaking, Washington, D.C. proficiency populations. www.fhwa.dot.gov/hep/lowlim/ The FHWA and FTA wrote this guide to provide answers to webbook.pdf. these and other transportation-related questions. This guide will help you understand how transportation decisions are Federal Highway Administration, Federal Transit Adminis- made at the local, state, and national levels, and that the bet- tration, Public Involvement Techniques for Transportation ter citizens understand the transportation decision-making Decision-Making, Washington, D.C., 2002 process, the more certain it is that the transportation system This is a reference that makes a wide variety of public will be safe, efficient, and responsive to public needs and involvement techniques available to transportation agen- concerns about their communities and the natural environ- cies. It includes the 14 techniques originally published in ment. http://www.fhwa.dot.gov/planning/citizen/. Innovations in Public Involvement for Transportation Planning. There are four chapters with subsections that Federal Highway Administration, Community Impact Assess- group techniques thematically by function. Each chapter ment, A Quick Reference for Transportation, Washington, ends with a final subsection called "Taking Initial Steps." D.C., 1996 To assist practitioners in coordinating a full public It was "written as a quick primer for transportation pro- involvement program, each technique is cross-referenced fessionals and analysts who assess the impacts of pro- to other related techniques. The organizing principle for posed transportation actions on communities" by doing each technique is a series of questions, such as "Why is it the following: useful?" or"What are the drawbacks?" For the trans- portation community, involving the public in planning Outlining the community impact assessment process, and project development poses a major challenge. Many Highlighting critical areas that must be examined, people are skeptical about whether they can truly influ- Identifying basic tools and information sources, and ence the outcome of a transportation project, whether Stimulating the thought process related to individuals highway or transit. Others feel that transportation plans, projects. whether at the statewide or metropolitan level, are too abstract and long-term to warrant attention. Often the It was prepared because the consequences of transporta- public finds both metropolitan and statewide transpor- tion investments on communities had often been ignored tation improvement programs incomprehensible. How or introduced near the end of a planning process. At best, then does a transportation agency grab and hold people's this reduced them to reactive consideration. The goals of interest in a project or plan, convince them that active this booklet were to do the following: involvement is worthwhile, and provide the means for Increase awareness of the effects of transportation actions them to have direct and meaningful impact on its deci- on the human environment, sions? This guide gives agencies access to a wide variety Emphasize that community impacts deserve serious of tools to involve the public in developing specific attention in project planning and development com- plans, programs, or projects through their public involve- mensurate with that given the natural environment, and ment processes. http://www.planning.dot.gov/Pitool/toc- Provide some tips for facilitating public involvement in foreword.asp. the decision-making process. Federal Highway Administration, Federal Transit Adminis- It provides "nuts and bolts" guidance and instruction in tration, Transportation & Environmental Justice, Case Stud- accomplishing the following objectives: ies, Washington, D.C., 2000 This report presents 10 case studies that illuminate effec- Defining the project, tive practices on how to better promote environmental Developing a community profile, justice principles. They profile how various transportation Collecting data, agencies have integrated environmental justice consider- Analyzing community impacts, ations in their activities to improve transportation deci- Selecting analysis tools, sion making. The case studies detail both analytical and Identifying solutions, procedural issues relevant to a diverse community includ- Using public involvement, and ing FHWA, FTA, state DOTs, MPOs, transit providers, Documenting findings. other partnering government agencies, community orga- nizations, environmental interest, and environmental jus- Federal Highway Administration, How to Engage Low- tice advocacy groups, businesses, academic institutions, and Literacy and Limited-English-Proficiency Populations in the public. http://www.fhwa.dot.gov/environment/ejustice/ Transportation Decisionmaking, Washington, D.C., 2006 case/index.htm.

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24 Federal Highway Administration, Federal Transit Administra- recent research on visual perception and visualization was tion, Transportation & Environmental Justice, Effective Prac- conducted. Site visits to two consulting firms and one state tices, Washington, D.C., 2002 DOT were also conducted. Mail-in surveys were sent to This report provides 38 effective practices that were used the six New England DOTs and these survey results were successfully by state DOTs, MPOs, and transit service compared with a previous nationwide survey conducted providers to engage Environmental Justice populations. in 1998. The study results showed that image composite Many of the examples illustrate that successful initiatives continues to be the most popular visualization technique often promote public participation, partnerships, and col- used by both DOTs and consulting firms. Animation, laborative relationships with other governmental agencies, which is the most effective visualization technique, is as well as interested advocacy groups or community-based expected to be used more frequently as the cost and time organizations. The effective practices highlight efforts that of production are reduced. It was also found that visual- were undertaken during planning, public involvement, proj- ization techniques are mainly used in the public involve- ect development, right-of-way, construction, and opera- ment process in the New England DOTs; they are rarely tions and maintenance phases of projects. http://ntl.bts. used in design and design development. This is expected gov/lib/12000/12100/12173/booklet.pdf. to change as Context-Sensitive Design takes hold in the DOTs. As this occurs, expect that visualization will Florida DOT, Public Involvement Handbook, Oct. 2003 be more frequently incorporated, not only in the public For the transportation community, involving the public in involvement stage but also at all stages of design. Because planning and project development poses a major challenge. transportation design and public involvement are parallel Many people are skeptical about their ability to influence processes, DOTs will find that the usage of visualization the transportation decision-making process. Others may in design will be invaluable in helping transportation feel that transportation plans are too abstract and so far into designers evaluate and refine their design. http://docs.trb. the future that participating now yields little affect. The org/01005985.pdf. challenge to the transportation agency and public involve- ment practitioners is to devise a way to interest the public Gifford, G.L., Meaningful Participation: An Activist's Guide in the decision-making process. The challenge also is to to Collaborative Policy-Making, C Effects Publications, convince the public that their active involvement and par- Jan. 2002 ticipation in the transportation decision-making process The adversarial model of policymaking--where some provides them with an opportunity to have meaningful interests win and some lose--has stopped many a bad impacts on decisions affecting their communities. The decision and a number of good ones. Yet, who really wins Florida DOT (FDOT) Public Involvement Handbook pro- if a controversial ruling leaves a community divided and vides public involvement practitioners with techniques and bitter? Costly legal battles often follow controversy, con- methods to encourage meaningful public participation in suming precious human and financial resources. Across the development of a transportation system that meets the the country and around the world, government officials needs of Florida residents and visitors. This Handbook is and even private businesses are exploring ways to engage compliant with the FDOT public involvement policy both supporters and critics. They are flocking to a new and all other legal foundations for public involvement as a policymaking approach called citizen engagement or pub- means of providing access to the transportation decision- lic participation. Workshops and handbooks have been making process. This Handbook is intended to provide written to train professionals in public participation. Con- clear guidance for developing and implementing effective sultants are advising business and government. This hand- public involvement activities that meet and may exceed book is designed for the public, or at least that segment of federal and state requirements to involve the public in the public that engages in policymaking as volunteers transportation decision making. It describes a variety of or staff of non-governmental organizations. It may also be methods and techniques to involve the public in the devel- of value to individual citizens acting alone, although these opment of transportation plans, programs, and projects, and unaffiliated individuals are not the primary audience. This helps public involvement practitioners design effective pub- handbook does not teach how to organize. It does not dis- lic involvement plans that become roadmaps to reach those cuss media campaigns or the best lobbying techniques. It affected by transportation actions. http://www.dot.state. does not seek to provide an answer to every situation that fl.us/EMO/pubs/public_involvement/pubinvolve.htm. might arise. Instead, it outlines a few basic principals that underlie effective public participation. With these Garrick, N.W., P. Miniutti, M. Westa, J. Luo, and M. Bishop, tools, you will be able to recognize and advocate for Effective Visualization Techniques for the Public Presentation of meaningful engagement. If you are already experienced Transportation Projects, New England Transportation Consor- in collaborative policymaking, this handbook can serve tium, University of Connecticut, Storrs, 2005 as a vehicle for reflection on your current practice. In the The purpose of this project was to look at ways to develop handbook, you will find a few useful "process" tools to more coherent and effective approaches for presenting improve your participation. You will also find questions transportation projects to the public. A detailed review of to help you negotiate the thorny spaces of when to col-

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25 laborate and when not. Underlying this handbook is a the world to demonstrate how alternative methods can belief that if you have a better understanding of the prin- better meet public participation goals and how they make cipals of collaborative policymaking you will be more moot most of the dilemmas of more conventional prac- effective and able to adapt more rapidly to changing situa- tice. Research shows that collaborative participation can tions. Its goal is to help you become an equal partner with solve complex, contentious problems such as budget deci- government and business in creating a meaningful process sion making and create an improved climate for future of public deliberation--to which we all aspire. http:// action when bitter disputes divide a community. Authen- www.amazon.com/Meaningful-Participation-Activists- tic dialogue, networks, and institutional capacity are the Collaborative-Policy-Making/dp/0970785704/ref=sr_1_ key elements. The authors propose that participation be 41?ie=UTF8&s=books&qid=1233432761&sr=1-41. understood as a multi-way set of interactions among citi- zens and other players who together produce outcomes. Hartell, A.M., Is Inadequate Transportation a Barrier to Com- Next steps involve developing an alternative practice munity Involvement? Evidence from the Social Capital Bench- framework, creating forums and arenas, adapting agency mark Survey, Transportation Research Board of the National decision processes, and providing training and financial Academies, Washington, D.C., 2008 support. http://repositories.cdlib.org/iurd/rs/RP-2005-01/. Since the publication of Robert Putnam's influential "Bowling Alone," the concept of social capital has cap- Kobza, K.P., Public Involvement in Transportation: How tured the attention of researchers in many disciplines. Web-based Systems Can Make Your Next Experience More Policymakers and community advocates have pressed to Constructive include social capital in discussions about public policy, So, you have been charged with widening a road. Or you including transportation policy and planning. Using data plan on designing a new rail system. Or you have been from a national survey conducted in 2000, the study hired to oversee the building of a monumental bridge. After described in this paper investigated whether inadequate months (or even years) of preparation, careful analysis, and transportation is a barrier to people's involvement in their painstaking details, you are ready. Your plans and dreams communities. The analysis uses a binary logistical model have culminated into the perfect solution, and you are cer- and finds that respondents who were female, who were tain that everyone will be delighted with the long-term nonwhite, who had household incomes less than $30,000, improvements. It sounds so great on paper . . . And then and who had long commutes to work had increased odds you tell the public. Those grand plans that appeared so per- of citing transportation as a barrier. However, only 17% of fect on paper are oftentimes met with resistance from the the sample analyzed reported that transportation was a bar- public, and that resistance is typically the result of miscon- rier. Most respondents cited other barriers along with ceptions, inaccurate information, and a lack of communi- transportation, most commonly inflexible work schedules cation. What if you could change all that? What if you had or inadequate child care. Although some types of improve- a simple means of engaging citizens, of involving them in ments to transportation systems and transit service could your decisions, of soliciting and receiving feedback; of improve access to community activities, the overall results educating the public . . . of actually building trust and cre- suggest that if transportation improvements seek to disman- ating an environment of true collaboration? Help is avail- tle barriers to community involvement they will need to be able with web-based technologies. These systems present combined with policies and programs that address other real opportunities to both constructively engage citizens types of barriers to achieve a measurable positive effect. and efficiently manage the process. Most importantly, Travel demand management programs and better coordi- these systems help you achieve results. http://www.public nated transit service programs are two approaches to dis- comment.com/docs/Transportation2005.pdf. mantling transportation barriers to community involvement. Kramer, J., K.M. Williams, and K.E. Seggerman, Assessing Innes, J.E. and D.E. Booher, Reframing Public Participation: the Public Involvement Practices of the Florida Department Strategies for the 21st Century, University of California at of Transportation, 2008 Berkeley, March 2005 This paper presents findings of a comprehensive assess- This article makes the case that legally required participa- ment of public involvement practices of FDOT. Objec- tion methods in the United States not only do not meet tives of the study were to document the current state of the most basic goals for public participation, but are also practice and any best practices, identify training needs in counterproductive, causing anger and mistrust. Both the- public involvement, and identify considerations for the ory and practice are dominated by ambivalence about the future development of public involvement performance idea of participation itself. Both struggle with dilemmas measures. The assessment was conducted through a com- that make the problems seem insoluble, such as the conflict bination of in-depth personal interviews with FDOT staff between the individual and collective interest or between and a review of agency documents. Findings are pre- the ideal of democracy and the reality that many voices are sented regarding the public involvement practices of never heard. Cases are used to draw on an emerging set of FDOT at all phases of transportation decision making and practices of collaborative public engagement from around across the various divisions of the FDOT Central Office,

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26 and each FDOT District--including each functional unit Lowry, M.B. and T.L. Nyerges, "Internet Portal for Participa- within the District and its role in public involvement. The tion of Large Groups in Transportation Programming Deci- study indicates that FDOT has made significant strides in sions," Transportation Research Record: Journal of the Trans- its public involvement practices and is committed to portation Research Board, No. 2077, Transportation Research involving the public in a meaningful way. Most of those Board of the National Academies, Washington, D.C., 2008, interviewed viewed public involvement as an integral part pp. 156165 of their job. There was evidence that methods other than An Internet portal for public participation in transportation formal meetings are being applied to more effectively programming decisions is described. The Internet portal involve the public and to convey project information. It supports participation of large groups (e.g., 100 or more was also clear that there are several continuing chal- people) through cutting-edge online deliberation tools and lenges and training needs. The paper concludes with an a strategic process that fosters meaningful public involve- overview of suggestions aimed at further strengthening ment. The portal is described in the context of a five-step FDOT's public involvement process, such as expanding process that has been designed for a particular program- opportunities for information sharing on public involve- ming decision situation called a local option transporta- ment practices across the FDOT districts, creating for- tion tax. A transportation agency could develop a similar mal public involvement evaluation methods, and steps process for other programming decisions, such as the cre- to increase communication and coordination across ation of a transportation improvement program. The por- functional units and agencies on issues of importance to tal can be used by an agency to create a program or merely the public. as a focus-group activity or polling exercise. Various tools used by the portal and the five-step process are described Lorenz, J., M. DeMent, R. Arthur, and S. Tolleson, Help- with the help of selected screenshots of the user interface. ing Stakeholders Understand Transportation Impacts and http://dx.doi.org/10.3141/2077-20. Trade-offs in Highway Planning: Lessons Learned from Developing Simulation-Based Public Involvement Tool, Lowry, M.B., R.K. Young, P.E. Rutherford, G. Scott, and Paper #06-2090, presented at the 85th Annual Meeting T. Zhong, New Model for Public Involvement in Transporta- of the Transportation Research Board, Jan. 2225, 2006, tion Improvement Programming, Paper #07-0665, presented Washington, D.C. at the 86th Annual Meeting of the Transportation Research In 2004, the Kansas DOT (KDOT) began long-range Board, Jan. 2125, Washington, D.C. planning for a rapidly developing 30-mile highway corri- Public involvement in transportation improvement pro- dor along the western edge of metropolitan Kansas City. gramming is an increasing trend as well as a recommenda- The K7 Corridor Management Plan will determine future tion of federal legislation. Although most transportation facility types and locations; address access and right-of- planning agencies have not actively involved the public way issues and preservation; and produce memoranda of during this stage of the planning process, there are many understanding between KDOT and local governments benefits to doing so, such as gaining support from the pub- about future actions and investments each will undertake lic for the funded project list, increasing the credibility of to improve the corridor. One KDOT challenge involved agencies, reducing project costs, and avoiding construction reconciling divergent agendas of two counties and seven delays. Effective public involvement during the program- cities to build consensus for long-term, coordinated ming step incorporates inclusive participation, two-way state and local decisions and investments. Consequently, communications, transparent processes, and serious treat- KDOT and its consultant team created the Right Turns ment of the public's input. This paper presents a model for Transportation Planning Exercise to help local decision public involvement in the programming process with all makers "see" the effects and consequences of their differ- these features. The model uses a web-based portal applica- ing visions for corridor land use and transportation needs. tion with a Public Participation Geographic Information This planning simulation enables stakeholders to explore System (PPGIS) and is composed of five steps: describing trade-offs and constraints that planners wrestle with every values and concerns, determining criteria, reviewing day through planning education; facilitated values/needs projects, evaluating scenarios, and creating reports. Chal- discussions; and simulated planning sessions using aerial lenges agencies may encounter in implementing such a sys- maps and game pieces that show costs, capacity, and real- tem are also covered in this paper. world examples of facility types. Valuable in itself, Right Turns also provided important lessons regarding how McAndrews, C., J.M. Florez-Diaz, and E. Deakin, "Views public involvement practitioners can better open a dialog of the Street: Using Community Surveys and Focus Groups about local transportation needs and values; identify action- to Inform Context-Sensitive Design," Transportation Research able stakeholder transportation preferences; help stakehold- Record: Journal of the Transportation Research Board, ers see the relationship between their preferences and No. 1981, Transportation Research Board of the National impacts on local communities and transportation networks; Academies, Washington, D.C., 2006 and create a realistic understanding of costs, benefits, and Urban transportation planners need community involve- trade-offs. ment to design the urban transportation system for its users

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27 and for those who experience its spillovers and externali- well run with good intentions, of having been plagued by ties, positive and negative. The people in the urban trans- conflict, and of being documented in a neighborhood portation system include travelers, residents of nearby newspaper. It was the primary source of reasons why pub- neighborhoods, transit service providers, and others. These lic involvement can turn out badly and was contrasted groups often overlap. This paper discusses methods and with three other projects that were more successful with findings from an effort to involve residents in the planning their public involvement. A new model is proposed in this for the redesign and revitalization of San Pablo Avenue, an report, proposing that conflict can derive from any or all urban arterial running along the eastern edge of the San of five independent dimensions, each with its own level of Francisco Bay, California. The viewpoints of residents of intensity or intractability: neighborhoods of Oakland, Emeryville, Berkeley, Albany, Richmond, and El Cerrito, California, the six cities along Size and distribution of local benefits or costs the southern portion of the avenue, were gathered through Disagreement about the nature and importance of local resident surveys and focus groups. These residents experi- impacts ence the avenue as travelers and also as its neighbors, Ability to accurately define and engage relevant stake- whose everyday lives are influenced by activities on the holders street. Resident surveys and focus groups show that even Perceived legitimacy of the project on a major arterial serving multiple jurisdictions, local res- Degree of ideological issues. idents account for a major share of shopping and personal business along the arterial, and local trips are a major por- There are two key conclusions. First, situations with seri- tion of the pedestrian traffic, transit ridership, and auto use ous conflict are different from the typical public involve- in the corridor. Further, residents have intimate knowl- ment effort; they require different tools and tactics built edge of the way the street functions and malfunctions and around the specific nature of the conflict. The second can offer useful suggestions for street redesign, operational major finding is that "conflict" is not a standard problem improvements, land use changes, and related social pro- to answer with a single solution, but each conflict does grams. The paper shows that context-sensitive design not have to be approached individually. http://www.lrrb. needs to respond not only to the physical environment but org/pdf/200420.pdf. also to social and economic conditions, including neighbor- hood concerns and aspirations. http://dx.doi.org/10.3141/ Minnesota DOT, Developing a Simple System for Public 1981-15. Involvement Conflict Management This report describes a project to develop a simple system Meyers, J., C. Dulic, C. Luz, and S. Warren, Spending for managing conflict in transportation project public Resources to Maximize Participation: Using an Innovative involvement. This work was focused on finding simple Media Campaign as a Substitute for an Initial Public Meeting, methods for managing less challenging projects and was Seventh Transportation Research Board Conference on the aimed toward those who may do public involvement only Application of Transportation Planning Methods, 2002 occasionally. The conflict management framework is This volume contains papers and abstracts presented during derived from a distillation of expert opinion, based on dis- the Seventh TRB Conference on the Application of Trans- cussions of specific projects by Minnesota transportation portation Planning Methods, held at the Park Plaza Hotel in public involvement experts. The framework is comprised Boston, Massachusetts, on March 711, 1999. The confer- of two components. The first is a simple organizational ence was organized and sponsored by the Transportation scheme for categorizing conflict to assist in determining Planning Applications Committee (A1C07) of TRB, the the appropriate management strategy. The second part is Executive Office of Transportation and Construction of the the management strategies themselves. Key among these Commonwealth of Massachusetts, and the Boston MPO. are principles for managing stakeholder relations so as to Richard Marshment of the University of Oklahoma served preclude the occurrence of conflict to the extent possible. as Conference Chair, and Karl Quackenbush of the Central http://www.lrrb.org/pdf/200624.pdf. Transportation Planning Staff chaired the Local Arrange- ments Committee. http://docs.trb.org/00939750.pdf. Mullen, J., Getting the Message Out: Outreach Techniques that Enlighten and Enliven Today's Smaller Communities, Eighth Minnesota DOT, Increasing the Value of Public Involvement National Conference on Transportation Planning for Small and in Transportation Project Planning, March 2004 Medium-Sized Communities, Transportation Research Board, The purpose of this project was to understand why public Washington, D.C., 2002 involvement in transportation project planning goes badly, Today's smaller communities require dynamic and cost- and to determine how the process could be modified to effective outreach techniques that allow for a tailored com- reduce negative outcomes. The project examines these munity approach while keeping pace with new or changing issues by studying public involvement efforts. The proj- methods of communication. A one-size-fits-all approach ect reviews how the potential for conflict can be antici- does not work. A plan is required that employs flexi- pated. A local project had characteristics of having been ble, expandable, and adaptable outreach techniques with

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28 information presented in a way that is both distinctive and The publication focuses on examples of a variety of suc- easy to understand. Conventional outreach techniques for cessful strategies that communities have used to reconnect smaller communities have usually included rather simple, citizens with government, to rehabilitate government's tar- streamlined methods of communication. During a public nished image, and to restore civility to the ongoing debate outreach program, advisory committees, newsletters and on public policy. Special acknowledgment is given to Susan websites set the stage for delivering the desired message. Enger, MRSC Planning Consultant, who researched and These forums and tools establish the basis for more wrote this publication. http://www.mrsc.org/Publications/ advanced methods of communication. Using innovation textsrcg.aspx#E22E10. and a flexible approach, smaller communities will be able to take advantage of a plethora of outreach opportunities Municipal Research and Services Center of Washington: Effec- that go beyond the norm. Designing and implementing tive Public Participation and Communication, Sept. 2000 public information, education, and involvement programs In Washington State's culture of open government, the for today's transportation planning process can be done in process of policymaking is every bit as important as the several ways--all independent of, and complementary to, product of that process. Effective policymaking cannot each other. Forums for creating consistent community out- occur without solid public participation. Open communi- reach range from establishing on-site information centers cations are essential to making that process work. This that encourage the participation of various public groups, report contains a collection of tips acquired through experi- to identifying potential conflict and bringing key players ence while participating in both successful and unsuccess- to the table to proactively resolve any issues. With the ful processes. http://www.mrsc.org/Subjects/Governance/ recently adopted Year 2025 Regional Transportation Plan, legislative/communication.aspx. the South Jersey Transportation Planning Organization (SJTPO) continues to place an importance on meaningful O'Connor, R., M. Schwartz, J. Schaad, and D. Boyd, State community outreach and public involvement for smaller of the Practice: White Paper on Public Involvement, Trans- communities around southern New Jersey. The success portation Research Board, Transportation in the New Millen- resulting from these efforts will become apparent once nium, Washington, D.C., 2000 communities have developed an appreciation of not only This white paper, authored by members of the TRB Com- the message that is being communicated, but also of the mittee on Public Involvement, provides an overview of method in which that message is received. This paper doc- developments in the evolution of the process of two-way uments the public outreach process, provides interesting communication between citizens and government by which examples of outreach techniques, tools, and approaches; transportation agencies and other officials give notice and and suggests procedural methods that are expected to have information to the public and use public input as a factor in similar successful applications in other small to mid-sized decision making. In the past decade, a radical transforma- communities. The following cites examples of successful tion has occurred in the way transportation decisions are outreach techniques established during the SJTPO Public made. A new decision model has emerged and continues to Outreach Program, and includes a discussion of how the be refined. The model assumes that public input into the program will generate both local awareness and coopera- assessment of transportation needs and solutions is a key tion among smaller communities for years to come. factor in most transportation decision making. This para- digm shift, and several factors that have contributed to it, are Municipal Research and Services Center of Washington, discussed including the Intermodal Surface Transporta- Governments are from Saturn . . . Citizens are from Jupiter: tion Efficiency Act of 1991. http://www.nationalacademies. Strategies for Reconnecting Citizens and Government, June org/trb/publications/millennium/00108.pdf. 1998 In recent years, the work of local government has been Ostlund, S. and K. Brown, Guidelines for Graphic Represen- handicapped by declining citizen confidence and involve- tation to Facilitate Public Involvement, Mississippi State ment in government. Whether the lost trust has resulted University, Mississippi State Research and Special Programs primarily from government's own failures, or is a reflec- Administration, 2003 tion of dramatically changing times, action is needed. It is The goal of this research is to develop a methodology for time to remind ourselves and others about what govern- displaying and combining different aspects of intermodal ment is, what it does for us, and what our mutual respon- thought so that laypersons may be able to partake in the sibilities are to make government work for all of us. Word discussion in a meaningful way. To meet this goal, we about government successes must be heralded without gathered research and developed step-by-step guidelines whitewashing the problems that must be addressed. What for creating and organizing a web-based forum (Part Two) changes are needed to reconnect citizens with govern- and designed accompanying graphics to increase the lev- ment and to make government work in the new informa- els of public involvement and understanding of inter- tion age must be honestly looked at. This publication briefly modal issues in a community; in particular, the integra- explores evidence and sources of this growing distrust, tion of pedestrian and bicycle paths with other modes of and highlights valuable benefits that government provides. transportation (Part One). To achieve the goal of devel-

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29 oping the graphics, the city of Starkville, Mississippi, was (TEA-21), the reforms of previous bills--devolving deci- studied; however, the website and its application can be sion making to metropolitan areas and away from statewide applied to other towns, hence it serves as a prototypical site. agencies--need to be broadened. This brief examines recent http://www.ie.msstate.edu/ncit/Research/Ostlund%20final metropolitan-level spending and finds that local control pro- %20report.htm. duces a more balanced and holistic transportation network. It also argues for specific policy recommendations to boost Prevost, D.L., "Geography of Public Participation: Using that performance while increasing accountability. http:// Geographic Information Systems to Evaluate Public Out- www.brookings.edu/reports/2003/10transportation_ reach Program of Transportation Planning Studies," Trans- puentes.aspx. portation Research Record: Journal of the Transporta- tion Research Board No. 1981, Transportation Research Reed, J. and M. Bosley, Public Involvement: Do You Have a Board of the National Academies, Washington, D.C., 2006, `Policy' or a `Plan'? Eighth Transportation Research Board pp. 8491 Conference on the Application of Transportation Planning How effective are public involvement programs in reach- Methods, 2002 ing a representative and sufficient sampling of public This paper outlines the difference between meeting the input for a planning study? Although evaluations of public requirement to have a Public Involvement Policy and hav- involvement programs are traditionally qualitative, this ing a Public Involvement Plan. In light of the increased paper shows how geographic information systems (GIS) emphasis on Public Involvement and Environmental Jus- can provide an appropriate and productive means of quan- tice it is becoming more and more important for agencies titatively evaluating the effectiveness of an agency's out- to be proactive with regard to Public Involvement. Web- reach program. This study used both mailing list and com- ster's defines the verb "plan" as "to devise or project the ment data from the Dulles Corridor Rapid Transit Project realization or achievement of a program." If we as trans- Environmental Impact Statement of the Virginia Depart- portation professionals are really interested in achieving ment of Rail and Public Transportation to evaluate the the goal of public involvement, then we had better devise agency's outreach program. The data were analyzed to public involvement plans, not just policies. The goal of determine the project's effectiveness in informing and this paper is to stimulate discussion and illustrate the receiving feedback from potential stakeholders. The analy- process of self-assessment, goal setting, and benchmark- sis showed that 50% of the mailing list members lived ing as well as best practices in the area of public involve- within 1/2 mi of the proposed project. "Inclusion rates" were ment. It discusses the cyclical pattern of reassessment that calculated, with household participation rates in census can annually shape the direction of future plans with block groups near the project ranging from 0 to 82%. The regard to how they better address the needs of an area by Tyson's Corner segment of the project, where the proposed assessing what techniques have been successful and rail line would be closest to residences, on average had the unsuccessful in the past year. highest inclusion rates, with 16.5% of households within 1 /2 mi of the proposed stations participating. Of the six block Sanoff, H., Community Participation Methods in Design and groups meeting the project's environmental justice thresh- Planning, Wiley, Dec. 1999. olds, half had an inclusion rate below 5%. Analysis of those Offers professionals coverage of the basic principles and commenting showed that those closest to the project were methods of community participation coupled with inci- most likely to comment on the study and to express oppo- sive case studies illustrating how each principle and sition to the project in their comments. This study rein- method is applied and executed. http://www.amazon.com/ forces many traditional stereotypes in public participation; Community-Participation-Methods-Design-Planning/dp/ however, more importantly, it demonstrates a method by 0471355453/ref=sr_1_13?ie=UTF8&s=books&qid=123 which deficiencies in outreach efforts can be identified and 3432320&sr=1-13. measures taken to improve participation. By using the GIS- generated maps, agencies can readily identify geographic Schively, C., M. Beekman, C. Carlson, and J. Reed, areas that may be affected by the project, yet have low Enhancing Transportation: The Effects of Public Involvement participation rates, and use this information to develop in Planning and Design Processes, University of Minnesota, additional outreach tools to target these populations. http:// Sept. 2007 dx.doi.org/10.3141/1981-14. This research examines the nature and effects of inclu- sive and effective participation in the planning and Puentes, R. and L. Bailey, Improving Metropolitan Deci- design of transportation facilities. http://www.cts.umn. sion Making in Transportation, The Brookings Institute, edu/Publications/ResearchReports/reportdetail.html? Oct. 2003 id=1532. Metropolitan areas, the engines of the American economy, require greater control over the transportation spending so Schreiber, K., G. Binger, and D. Church, Higher-Density crucial to their dynamism. As Congress debates the reau- Plans: Tools for Community Engagement, Norman Y. Mineta thorization of the federal transportation spending bill International Institute for Surface Transportation Policy

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30 Studies, Department of Transportation Research and Special harmful effects of federally funded projects, such as high- Programs Administration, California Department of Trans- ways, which have the potential to damage our health, portation, Sacramento, 2004. environment, and quality of life. http://www.sierraclub. Provides information that local, regional, and state agen- org/sprawl/nepa/sprawl_report.pdf. cies, planning professionals, and project and plan propo- nents can use to develop and implement the type of Sinha, K.C. and S. Labi, Transportation Decision Making: collaborative efforts that involve residents in planning the Principles of Project Evaluation and Programming, Wiley, futures of their communities. http://transweb.sjsu.edu/ May 2007 mtiportal/research/publications/documents/03-02/mti_ This book provides a holistic approach to decision making 03-02.pdf in transportation project development and program- ming, which can help transportation professionals to opti- Schutz, J.B., Use of Public Input to Develop Measures of mize their investment choices. http://www.amazon.com/ Effectiveness, Transportation Research Board, Seventh Transportation-Decision-Making-Principles-Programming/ National Conference on Transportation Planning for Small dp/0471747327/ref=sr_1_8?ie=UTF8&s=books&qid= and Medium-Sized Communities, Washington, D.C., 2000 1233433240&sr=1-8. It is no longer the job of the planner just to get input from the public on their reactions to work done by technical staffs. The Harwood Institute, Standards of Excellence in Civic Instead the public must be involved at the earliest stages of Engagement, How Public Agencies Can Learn from the Com- a project or study and the involvement must be meaningful. munity, Use What They Learn, and Demonstrate that Public This paper describes how an extensive list of questions was Knowledge Matters, 2005 developed and presented to members of the public to get Standards of Excellence in Civic Engagement is a roadmap their input into the development of measures of effective- for public agency practitioners to ensure that their agency ness for use on four planning studies conducted in rural and is truly in the business of civic engagement. This tool pro- vides the four key standards every agency must meet to small communities. The list of questions was originally achieve excellence in civic engagement; benchmarks for developed from a longer list of Measures of Effectiveness knowing these standards are being met; and pay-offs for used in urban planning studies and was reduced in size to why it is worth achieving them. This tool will also help leave only those Measures of Effectiveness that were agencies answer key questions such as: applicable to rural and small communities. The Measures of Effectiveness are classified into five categories, transporta- Have staff been properly prepared for what they might tion performance, financial/economic performance, social learn through civic engagement, and are they prepared impacts, land use/economic development impacts, and to deal with the implications? environmental impacts. The paper will describe how the list Have the appropriate conversations been framed, given of questions was modified during subsequent applications, the position in the policy process? how input from the public was merged with input from pub- Have realistic public expectations been set, given the lic officials, and how the Measures of Effectiveness were capacities that exist to take action? used in distinctly different studies. Those studies include a Are the necessary voices around the table to gain useful corridor study on an Interstate, a national pilot project knowledge and make discoveries? for merging NEPA and planning, a feasibility study, and a Has it been decided how to use what is learned and regional plan update. The use of this method of developing make sure people know their voices are useful? Measures of Effectiveness will be compared with other methods. Those filling out the questionnaire included local http://www.theharwoodinstitute.org/ht/a/GetDocument and state elected officials. Many people expressed appreci- Action/i/6131. ation for being asked what their `values' were at the begin- ning of the studies. The reader of this paper will benefit by Transportation/Land Use Connections Program: Foster Public learning of what kinds of Measures of Effectiveness are Involvement in Transportation Choices and Great Places, TLC appropriate for studies in rural and small urban com- Clearinghouse, Washington, D.C. munities, how public input can be collected at an early Transportation initiatives, land use planning, and develop- stage in the study to help develop study criteria, and ment projects benefit significantly from meaningful com- how this information can be applied in a variety of situa- munity input and support. Every land use and transportation tions. http://pubsindex.trb.org/view.aspx?id=803634. decision has a range of stakeholders, including property owners, residents, business owners, and government staff Sierra Club, The Road to Better Transportation Projects: and elected officials. Some stakeholders are already actively Public Involvement and the NEPA Process involved in decision making, while others need to be invited This report is about a landmark law requiring the federal into the process. Involving stakeholders early in the plan- government to examine alternatives and seek to minimize ning process helps to identify community concerns and

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31 opportunities that can help shape the project, and discuss the Zetlin, A. and S. Ojar, "The Public: Key to Successful goals and strategies being advanced through the project. Projects," Public Roads, Vol. 67, No. 3, 2003. Successfully integrating public involvement into a project Over the past 20 years, something amazing has hap- can be challenging. There is no hard and fast solution for pened in the New York metropolitan area--and across public involvement. Examples of public involvement can the country. Stakeholders are being asked to become include charrettes and visioning exercises that can help res- partners with government agencies in developing and idents provide input, visualize different scenarios, and shape conducting transportation projects. This level of public the end project. This Clearinghouse highlights resources on involvement was not always the case. Until the early public involvement techniques and examples of projects 1970s, federal, state, and municipal agencies planned that successfully engaged the public. These resources are roadway construction with little input from the com- intended to provide a model for successful efforts and pit- munities affected by the work. But today all that has falls to avoid while undertaking transportation and land use changed. By involving stakeholders in the decision- planning projects. http://www.mwcog.org/transportation/ making process, New York City has emerged as a activities/tlc/clearinghouse/strategies/involvement.asp. national leader in conducting public involvement pro- grams. The city plans and constructs transportation pro- U.S. Government Accountability Office, Highway Public- jects from start to finish with the public's input. The Private Partnerships: Securing Potential Benefits and result? Everyone can live with and be proud of the roads Protecting the Public Interest Could Result from More in New York. Rigorous Up-front Analysis. Testimony, Washington, D.C., How does the outreach process really work? An effec- July 24, 2008. tive public involvement program requires a strategic out- This is a testimony by JayEtta Z. Hecker, Director of reach plan and lots of teamwork. Before the program can Physical Infrastructure Issues, before the U.S. Senate begin, the outreach plan needs to include the following Subcommittee on Energy. http://www.gao.gov/cgi-bin/ steps: identifying the target audience(s), determining getrpt?GAO-08-1052T. what information is needed and when, and deciding on the communication methods that will be used to deliver the U.S. EPA Office of Policy, Economics and Innovation, Share- information. In 2001, to rehabilitate the Williamsburg and holder Involvement & Public Participation at the USEPA, Manhattan bridges, the New York City DOT fielded a team Washington, D.C., Jan. 2001. consisting of an engineering consultant and a communica- This report has taken a fresh look at EPA public involve- tions firm. Together, the two companies were tasked with ment initiatives by reviewing formal evaluations and informal summaries from across the Agency that identify, reconstructing the Williamsburg and Manhattan bridges, describe, and/or evaluate agency stakeholder involvement educating the public about how the project would affect and public participation activities. http://www.epa.gov/ them, and addressing stakeholders' concerns. http://www. publicinvolvement/pdf/sipp.pdf. tfhrc.gov/pubrds/03nov/08.htm. Ward, B.G., Measuring the Effectiveness of Community Impact Zhong, T., R.K. Young, and G.S. Rutherford, A Model for Assessment: Recommended Core Measures, University of Public Involvement in Transportation Improvement Pro- South Florida, Tampa; Florida Department of Transporta- gramming Using Participatory Geographic Information Sys- tion; Federal Highway Administration, 2005 tems, Aug. 25, 2007 Summarizes research findings, suggests methods for eval- Effective public involvement during the programming uating Community Impact Assessment (CIA), how these step incorporates inclusive participation, two-way com- measures may be applied, and provides recommendations munications, transparent processes, and serious treatment on how CIA may be incorporated into environmental of the public's input. This paper presents a model for pub- streamlining. http://www.dot.state.fl.us/research-center/ lic involvement in the programming process with all these Completed_Proj/Summary_PTO/FDOT_BC353_28_rpt. features using a web-based portal application with a Pub- pdf. lic Participation Geographic Information System. The process is composed of the following five steps: describ- Wisconsin DOT Transportation Synthesis Report, Best Prac- ing values and concerns, determining criteria, reviewing tices for Public Involvement in Transportation Projects projects, evaluating scenarios, and creating reports. Chal- This report reviews the practices of several states recog- lenges agencies may encounter in implementing such a nized for effective public involvement campaigns, looks system are also covered in this paper. http://www.science at articles and websites devoted to various traditional and direct.com/science?_ob = ArticleURL&_udi = B6V9K- high technology tools, and identifies guidelines and tips 4RWHX5V-1&_user = 10&_rdoc = 1&_fmt = &_orig = found on transportation sites and in journal articles. http:// search&_sort=d&view=c&_acct=C000050221&_version= on.dot.wi.gov/wisdotresearch/database/tsrs/tsrpublic 1&_urlVersion=0&_userid=10&md5=a319f19bbcb6b7e involvement.pdf. fff2a14d27bd0e037.

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32 WEBSITES Local Government Commission: Public Involvement. Provides a guidebook discussing techniques and case City of Portland, Oregon, Office of Neighborhood Involve- studies to improve participation in land use planning that ment: Public Involvement Task Force Report. discusses the importance of public involvement in the In the spring of 2003, Commissioners Francesconi, Saltz- planning process and offers a variety of visual/graphic man, and Leonard commissioned the Public Involvement techniques for facilitating such involvement. http://www. Standards Task Force to review and revise, as appropri- lgc.org/issues/communitydesign/public_participation.html. ate, the city's adopted Public Involvement Principles and identify gaps and inconsistencies in the implementation National Charrette Institute: Resources. of the city government's public involvement processes. NCI Tools and Resources Free for Download. http://www. http://www.portlandonline.com/oni/index.cfm?c=29118. charretteinstitute.org/resources/. Education for Sustainable Development Toolkit. Sacramento State Center for Collaborative Policy: Collabo- Public Involvement Article by Marianne Chrystalbridge rative Public Involvement. with Tools and Case Studies. http://www.esdtoolkit.org/ Outline to effective Collaborative Public Involvement. discussion/participation.htm. http://www.csus.edu/ccp/publicinvolvement/. Environmental Protection Agency: Analyzing Environmental The Harwood Institute for Public Innovation. Evaluations. A non-profit, non-partisan organization that seeks nothing Stakeholder Involvement Evaluation and Research and less than to spark fundamental change and authentic hope Evaluating the Use of Partnerships to Address Environ- in American public life. http://www.theharwoodinstitute. mental Justice Issues. http://www.epa.gov/evaluate/about_ org/ht/d/Home/pid/176. innovations3.htm. Transportation Research Board: Visualization in Transporta- tion Committee. Environmental Protection Agency: Public Involvement Activ- The scope of the Committee is to foster and disseminate ities Questionnaires collaborative exchange and research that enhances the http://www.epa.gov/publicinvolvement/feedback/index. useable knowledge of visualization methods and tech- html. nologies for their potential in addressing critical trans- portation issues of today, as well as promoting innovative Environmental Protection Agency: Public Involvement Tech- approaches to society's transportation needs of the future. niques. http://www.trbvis.org/MAIN/TRBVIS_HOME.html. Links page to descriptions for techniques in Public Involvement. http://www.epa.gov/publicinvolvement/ U.S. Census Bureau: American FactFinder. techniques.htm. This provides a search feature of the Census Bureau's web- site that helps users locate data quickly and easily from the Federal Highway Administration/Federal Transit Adminis- 1997 Economic Census, the ACS, the 1990 Census, the tration: Public Involvement Techniques. Census 2000 Dress Rehearsal, and Census 2000. Access to This is a reference work that makes a wide variety of pub- thematic maps and reference maps that include roads and lic involvement techniques available to transportation boundary information is available via FactFinder. http:// agencies. It includes the 14 techniques originally pub- factfinder.census.gov/home/saff/main.html?_lang=en. lished in Innovations in Public Involvement for Trans- portation Planning. http://www.planning.dot.gov/Pitool/ U.S. Department of Transportation: Useful Online Publica- toc-foreword.asp. tions and Websites for Community Impact Assessment. This website provides useful Online Publications and International Association for Public Participation: Knowl- Websites for Community Impact Assessment. http://www. edge Network. planning.dot.gov/Documents/Resources/usefulOnline.htm Resource Database. http://www.iap2.civicore.com/index. #publicInvolve. cfm?fuseaction=resources.main. METROPOLITAN PLANNING International Association for Public Participation: Public ORGANIZATION WEBSITES Participation Toolkit. Techniques to Share Information. http://iap2.org/ Brevard MPO: Public Involvement. associations/4748/files/06Dec_Toolbox.pdf. Public Involvement Website. Guideline for public involve- ment activities to be conducted by the Brevard MPO. The International Association for Public Participation: Spectrum PIP contains the goals and policies of the MPO for actively of Public Participation. engaging the public in the transportation planning process. Levels of Public Impact. http://iap2.org/associations/4748/ The PIP is reviewed and updated at least every three years. files/IAP2%20Spectrum_vertical.pdf. http://www.brevardmpo.com/PIP.htm.

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33 Delaware Valley Regional Planning Commission: Public Guidance to involving and engaging the public. http:// Involvement. www.dot.state.mn.us/planning/publicinvolvement/. Public Involvement Website. Our goal is to satisfy the broadest constituency possible by fostering cooperation Montana DOT: MDT's Guide to Public Involvement. among member governments, private sector organizations, The Transportation Planning Division of the Montana and the general public. To do so, we work closely with a DOT (MDT) is involved in a variety of programs and wide variety of groups, including the Pennsylvania and New efforts that require constant interaction with our customers. Jersey DOTs, community affairs and environmental protec- This guide describes the various methods the Division uses tion agencies in these two states, the federal government, to involve the public in Division activities, and also includes and regional transportation providers. http://www.dvrpc. a chart that provides the names of staff people responsible org/publicaffairs/publicinvolvement.htm. for various Division programs. It should also be noted that the Division develops customized public involvement Metropolitan Washington COG: Public Involvement. methods for special efforts. http://ntl.bts.gov/lib/6000/ Public Involvement Process. On December 19, 2007, 6400/6456/pubinvhb.pdf. TRB adopted a new Participation Plan that outlines pub- lic involvement activities for constituencies with different POVERTY AND CULTURAL PUBLICATIONS levels of understanding and interest in the TRB process. The new Participation Plan calls for TRB to be more Payne, R., A Framework for Understanding Poverty, aha! strategic in targeting its activities to serve the needs of Process, Inc., Highlands, Tex., 2005 three different constituencies. The Participation Plan People in poverty face challenges virtually unknown to focuses on tailoring outreach and involvement activities those in middle class or wealth--challenges from both to the "involved" public, the "informed" public, and the obvious and hidden sources. The reality of being poor "interested" public. http://www.mwcog.org/transportation/ brings out a survival mentality and turns attention away involved/process.asp. from opportunities taken for granted by everyone else. If you work with people in poverty, some understanding of New York Metropolitan Transportation Council. how different their world is from yours will be invaluable. NYMTC Website. The New York Metropolitan Trans- Whatever your background, this book gives you practical, portation Council (NYMTC) is an association of govern- real-world support and guidance to improve your effec- ments, transportation providers, and environmental agen- tiveness in working with people from all socioeconomic cies that is the MPO for New York City, Long Island, and backgrounds. the lower Hudson River Valley. http://www.nymtc.org/. Payne, R., P.E. Devol, T.D. Smith, and T. Dreussi, Bridges STATE DEPARTMENTS OF Out of Poverty: Strategies for Professionals and Communi- TRANSPORTATION WEBSITES ties, aha! Process, Inc., Highlands, Tex., 2001 If you did not grow up in poverty, you may be unaware FDOT: Efficient Transportation Decision Making. of the "hidden rules" that govern many aspects of life As part of the Efficient Transportation Decision Making for the poor. People in poverty are often in survival (ETDM) process, FDOT has implemented an Internet- mode, where the future holds no promise, and support accessible interactive database tool called the Environ- systems taken for granted in middle class and wealth are mental Screening Tool (EST). EST provides data for proj- nonexistent. If you work with people from poverty, only ect analysis and assists in conducting more detailed public a deeper understanding of their challenges and strengths involvement activities. http://etdmpub.fla-etat.org/est/. will help you partner with them to create opportunities for success. Idaho DOT: A Guide to Public Involvement for Programs, Planning and Projects. Payne, R. and D. Krabill, Hidden Rules of Class, aha! Process, The knowledge generated through the public involvement Inc., Highlands, Tex., 2002 process is vital if the Idaho Transportation Department Individuals and organizations bring three things to the (ITD) is to develop effective and efficient transportation table: resources, connection (relationships), and hidden projects. ITD can make better decisions by attending to rules. The successful fit of the individual into the organiza- public involvement planning, integrating public involve- tion is largely determined by how well these three elements ment activities into the development process, and docu- from the individual mesh with those of the organization. menting these activities. http://itd.idaho.gov/manuals/ This book identifies and articulates a number of issues Online_Manuals/Current_Manuals/PIG/Guidebook.pdf. that are alive in the workplace, but are seldom articu- lated. It looks at how issues of class determine one's Minnesota DOT: Public & Stakeholder Participation--Hear ability to survive or move to a different level in the Every Voice. workplace.

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34 Morrison, T. and W. Conaway, Kiss, Bow, or Shake Hands, This book was created for American businessmen and busi- Adams Media, Avon, Mass., 2006 nesswomen who regularly venture abroad seeking new Most experts in cultural orientation consider U.S. citizens commerce. It provides information relative to the following: to be close minded. This book was designed as a guide to doing business in more than 60 countries. Each country is Protocol, customs, and etiquette; described in terms of the following sections: Hand gestures and body language; A quick guide to the ways of the world; What is your cultural IQ (cultural knowledge); Gift giving and receiving; Tips on doing business (business-related highlights); American jargon and baffling idioms; and Country background (history, type of government, Tips for incoming visitors to the United States. language, and the perspectives from the country's viewpoint); POVERTY AND CULTURAL WEBSITES Know before you go (natural and human hazards); Cultural orientation (cognitive styles, negotiation strate- United Kingdom Department of Transport, Social Inclusion-- gies, and value systems); Minority, Ethnic and Faith Communities' Transport Issues Business practices (punctuality, appointments, local time, This website addresses the specific travel needs of minor- negotiating, and business entertaining); and ity, ethnic, and faith community groups. The Department Protocol (greetings, titles/forms of address, gestures, of Transport identified specific problems that were being gifts, and dress). experienced by minority, ethnic, and faith groups when using the public transportation system. They examined Axtell, R.E., Gestures, the Do's and Taboos of Body Language ways in which these problems could be addressed by dis- Around the World, John Wiley & Sons, Inc., White Plains, cussing the problems with hundreds of people and organi- N.Y., 1998 zations that had an interest in public transport. The outcome This book addresses gestures and cross-cultural commu- of the work was a guidance pack and an accompanying nications and discusses the following topics: video that are intended to be used by transport planners and operators to improve accessibility of transport for all. http://www.dft.gov.uk/pgr/inclusion/. The power of gestures, The most popular gestures, University of Washington, Harborview Medical Center in Special types of gestures, Seattle, Washington Gestures head to toe, This website provides culture-specific pages on 13 different The ultimate gesture, African, Asian, and Hispanic ethnic groups. It has prepared The innocent abroad's shortlist, and a cultural profile of each ethnic group that includes infor- Country by country listings. mation about country of origin, language, interpersonal rela- tionships, marriage, family, kinship, religious beliefs and Axtell, R.E., Do's and Taboos Around the World, John Wiley practices, and community structure, in additional to medical & Sons, Inc., White Plains, N.Y., 1994 considerations. http://ethnomed.org/.