Recommendations to Enhance Quality Engagement

Appendices

Table of Contents Appendix A: Resources .................................................................................................................................... 4

A.1: General Guidance and Resources ...................................................................................................... 4

Appendix B: IAP2 Materials ............................................................................................................................ 9

B.1: Spectrum of Public Participation ....................................................................................................... 9

B.2: IAP2 Core Values ................................................................................................................................. 10

B.3: IAP2 Participation Toolbox ............................................................................................................... 11

Appendix C: Engagement Theory Diagrams .............................................................................................. 21

C1: Ladder of Participation and Democracy Cube ................................................................................ 21

Appendix D: Manchester Community College Materials ......................................................................... 23

D.1: Syllabus ................................................................................................................................................. 23

D.2: Informed Consent for Community Group Discussions ................................................................ 34

D.3: Informed Consent for Student Data ................................................................................................ 35

D.4: Syllabus II ............................................................................................................................................. 35

D.5: Order of Discussion ............................................................................................................................ 46

D.6: Transit Planning Discussion Online ................................................................................................ 50

D.7: Techniques ........................................................................................................................................... 56

D.8: Public Community Colleges in Illinois ........................................................................................... 58

D.9: Map of Illinois Community College Districts ................................................................................. 60

Appendix E: Minnesota Department of Transportation Materials ........................................................ 62

E.1: Minnesota GO Project Information .................................................................................................. 62

E.2: Minnesota GO Cost Analysis .............................................................................................................. 63

E.3: Engaging Minnesota Executive Summary ....................................................................................... 65

Appendix F: Recommendation 1—Know Your Audience ........................................................................ 74

F.1: Know Your Audience Step-by-Step .................................................................................................. 74

Appendix G: Recommendation 2—Use Existing Community Resources .............................................. 77

G.1: Use Existing Community Resources Step-by-Step ........................................................................ 77

Appendix H: Recommendation 3—Perform Informal Outreach and Use Nontraditional Locations ............................................................................................................................................................................ 80

H.1: Informal Outreach and Nontraditional Locations Step-by-Step ................................................ 80

Appendix I: Recommendation 4—Match Engagement Technique to Goal and Context .................... 83

I.1: Match Engagement Method to Goal and Context Step-by-Step .................................................... 83

I.2: Flowchart to Aid Identification of IAP2 Spectrum Phase ............................................................. 85

I.3: Table of Engagement Techniques ..................................................................................................... 86

Appendix J: Recommendation 5—Enhance Staff Capabilities through Training ............................... 99

J.1: Training Step-by-Step .......................................................................................................................... 99

Appendix K: Recommendation 6—Build Institutional Memory through Knowledge Management .......................................................................................................................................................................... 102

K.1: General Guidance .............................................................................................................................. 102

K.2: Event Debrief Form .......................................................................................................................... 104

K.3: Project Debrief Form ........................................................................................................................ 106

K.4: Technique Profile ............................................................................................................................. 108

Appendix L: Recommendation 7—Measure and Assess ........................................................................ 111

L.1: Measure and Assess Step-by-Step .................................................................................................. 111

L.2: Florida Department of Transportation Performance Measures .............................................. 111

L.3: PERFORMANCE MEASUREMENT INDICATORS AND FORMULAS .............................................. 117

Appendix M: Recommendation 8—Use Technology as a Complement to Outreach ........................ 119

M.1: General Guidance ............................................................................................................................. 119

M.2 Digital Tools to Aid Public Engagement……………………………………………………………………………………120

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Appendix A: Resources A.1: General Guidance and Resources

Update on State of the Practice: Public Involvement in the 21st Century by the Transportation Research Board

Authored by the Transportation Research Board’s Committee on Public Involvement in Transportation, this document describes some of the key factors shaping public involvement today, highlights some of the major challenges currently facing practitioners, and presents some important lessons on how to engage the public in a rapidly changing cultural and technological environment.

Spectrum of Public Participation by the International Association of Public Participation (IAP2)

The IAP2 Spectrum is one of the most popular frameworks with which to understand public engagement. The Spectrum can assist practitioners in understanding the public’s role in the decision making process and in identifying suitable engagement techniques for their own projects.

Resource Guide on Public Engagement by the National Coalition for Dialogue and Deliberation

This report contains dozens of links to additional public engagement resources and describes over 20 complex engagement techniques.

Resources to Aid Technique Selection

Public Participation Guide by the Environmental Protection Agency

One of the most useful sections of this document is “Selecting the Right Level of Public Participation”, which walks practitioners through the process of tool selection in the context of the IAP2 Spectrum. The website also includes information on the various “Tools” available to practitioners, dividing them into three categories: 1) Tools to Inform the Public 2) Tools to Generate and Obtain Input 3) Tools for Consensus Building and Agreement-Seeking.

Hear Every Voice: A Guide to Public Involvement at Mn/DOT by the Minnesota Department of Public Transportation

The Minnesota Department of Transportation’s original public involvement guidebook is an excellent general resource for any practitioner. Chapters 5 and 6--“Public Involvement Techniques” and “Public Involvement Case Studies”, respectively--are particularly important and contain valuable information on the design and usage of dozens of engagement techniques.

Public Involvement Techniques for Transportation Decisionmaking by the Federal Highway Administration

This comprehensive document describes a wide array of engagement techniques, highlighting each technique’s particular uses, benefits, and drawbacks. In addition, it provides an excellent overview of public engagement more generally and the special considerations involved in engaging with a diverse groups of stakeholders and community members.

Public Involvement Techniques by the Federal Highway Administration’s Transportation Planning Capacity Building Program

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An extensive online guide to public involvement techniques similar to the above. Its Index of Techniques should be especially relevant and useful to practitioners.

Transit Cooperative Research Program Synthesis 85: Effective Use of Citizen Advisory Committees for Transit Planning and Operations by the Transportation Research Board

Examines the experience of several agencies in using citizen advisory committees in their transportation planning processes.

Transit Cooperative Research Program Synthesis 89: Public Participation Strategies for Transit by the Transportation Research Board

This report examines the public participation techniques, strategies, and challenges of 50 transportation agencies nationwide and presents six real-world case studies demonstrating successful public involvement in the planning process.

Disadvantaged Populations

National Cooperative Highway Research Program (NCHRP) Report 710: Practical Approaches for Involving Traditionally Underserved Populations in Transportation Decisionmaking by the Transportation Research Board

This massive report analyzes dozens of engagement techniques and provides in-depth examples of their use in the field. An excellent general resource.

How to Engage Low-Literacy and Limited-English-Proficiency Populations in Transportation Decisionmaking by the Federal Highway Administration

An in-depth report which provides guidance on how to best engage with two of the most prevalent disadvantaged populations.

Research and Demographics

American FactFinder by the United States Census Bureau

The FactFinder tool is an excellent way for practitioners to quickly locate demographic or other information about regions, cities, or populations of interest. Quick Facts, another useful Census tool, features easy-to-use visualization capabilities.

Social Explorer

A website that enables researchers to easily access census data and a wide array of additional datasets, including information on the size and location of religious congregations; a good source of maps, tables and other visualization elements.

Civic Technology

Engagement Tech for All: Best Practices for Using Technology in Engaging Underrepresented Communities in Planning by PlaceMatters.org

A field scan of how technology is being used to enhance public engagement and thereby improve agency decision-making. The report contains many practical lessons and pointers on how to best incorporate technology into agency engagement practices. Topics examined include: websites, social media, mobile engagement, games, and hands-on technology.

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Using Online Tools to Engage--and Be Engaged by--the Public by the IBM Center for the Business of Government

One of the best resources on civic engagement encountered during the course of research, this report classifies several dozen online tools according to their use. It also explores five scenarios in which online tools could play a key role. Practitioners should consult it for aid on tool selection.

Making the Most of Social Media: 7 Lessons from Successful Cities by the Fels Institute of Government at the University of Pennsylvania

This document outlines several promising social media practices gleaned from over two dozen interviews with municipal officials nationwide.

Selected Training and Consultative Resources

International Association for Public Participation (IAP2)

As stated in the report, the IAP2 Spectrum of Public Participation was the most useful public engagement framework encountered, as it provides practical guidance for practitioners. The IAP2 offers facilitation training centered around the Spectrum and other important concepts. Currently, the organization offers three different training programs:

1) Foundations in Public Participation

2) Emotion, Outrage, and Public Participation

3) Public Participation for Decision Makers.

The experience of the Arizona Department of Transportation in utilizing IAP2 training to execute a controversial highway upgrade is described in the final report in the “Training” section.

Institute for Cultural Affairs (ICA)

The Chicago-based ICA offers two categories of training--Facilitation Methods and Strategic Planning-- based upon its Technology of Participation (ToP) methodology. As the ICA says, “the ToP methods use innovative approaches, which have been extensively researched and field-tested for more than 30 years and are supported by practical results that have proven sustainable over time.” Trainings can be customized based upon client needs and can last between one to 12 days.

International City Managers Association

The ICMA University’s Online Portal offers 15 on-demand webinars under the heading of “Community Building and Engagement.” These webinars are typically 90 minutes long and priced at $149 for ICMA members and $249 for non-members. They are available in streaming form or as a CD/ROM. A variety of in-person workshops on the topic of “Civic Engagement” are also offered.

The National Highway Institute

Several engagement-related trainings are offered by the National Highway Institute. “Public Involvement in the Transportation Decision Making Process” is perhaps the most relevant, but other courses on the National Environmental Policy Act (NEPA) and environmental justice may also be of interest. Clients are able to host their own trainings or join a session that has been set up by another party. Prices for in-person training vary widely, between $400 to over $1000. Online trainings are also available for some topics at a far lower cost.

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Public Agenda

Public Agenda provides development and engagement assistance based upon its Community Conversations model, a problem-solving dialogue that convenes a diverse set of stakeholders for small, intimate discussions surrounding a pressing community issue. The organization also offers research services focused on stakeholder attitudes on divisive issues. It has a nationwide reach and has previously worked in Illinois.

National League of Cities

The National League of Cities, through its NLC University program, offers training on engagement and outreach. In addition, the organization also hosts several conferences and events throughout the year that may be of interest to practitioners. Their website is also a good resource for educational resources on public engagement and collaboration between large groups of stakeholders.

National Civic League

The NCL’s Community Services team offers strategic planning/visioning and facilitation services for communities across America. In their own words, the organization “helps local governments and institutions engage and involve community stakeholders in sustainable and inclusive processes with tangible outcomes, feasible action plans, and appropriate implementation strategies.”

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Appendix B: IAP2 Materials B.1: Spectrum of Public Participation

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B.2: IAP2 Core Values

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B.3: IAP2 Participation Toolbox

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Appendix C: Engagement Theory Diagrams C1: Ladder of Participation and Democracy Cube

Sherry Arnstein’s Ladder of Citizen Participation

Sherry Arnstein’s “Ladder of Citizen Participation” is one of the most influential engagement frameworks ever developed. Its eight “rungs” outline a continuum of citizen participation ranging from manipulation (which is not even considered to be real participation) to authentic citizen control of the decision making process. While useful, Arnstein’s model envisions public participation as closer to a zero-sum struggle for power, rather than an opportunity for governments and citizens to collaborate. In this model, participation in and of itself is good.

Archon Fung’s “Democracy Cube”

The “Democracy Cube” developed by theorist Archon Fung is another useful framework with which to consider public engagement. The “cube” is composed of three “dimensions”: 1) Participants (who participates in decision making); 2) Communication and Decision Mode (how participants communicate and make decisions together); and 3) Authority and Power (the degree of impact these decisions have on government policy or actions).

All three of these dimensions or components should be considered by practitioners in designing the engagement process; the engagement techniques selected should be informed by which dimension the practitioner wishes to prioritize.

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