PUBLIC INVOLVEMENT:

Guidelines, tools and worksheets

for successful community engagement

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Table of Contents Why create Public Involvement guidelines? ............................................................................................. 3

Background ......................................................................................................................................... 3

How can these guidelines, tools and worksheets can help you? ........................................................... 3

What’s in this document? .................................................................................................................... 3

What is public involvement?.................................................................................................................... 4

What guides public involvement? ........................................................................................................ 4

What are the roles and responsibilities? .............................................................................................. 5

What makes public involvement meaningful? ...................................................................................... 7

The Public Involvement Continuum ......................................................................................................... 8

Inform ................................................................................................................................................. 8

Listen & Learn...................................................................................................................................... 8

Consult ................................................................................................................................................ 8

Collaborate .......................................................................................................................................... 9

Empower ............................................................................................................................................. 9

What level should you choose? ........................................................................................................... 9

What does public involvement look like? ........................................................................................... 12

Planning For Public Involvement ............................................................................................................ 13

Step 1 – Getting started ......................................................................................................................... 15

Step 2 – Define your strategy................................................................................................................. 17

Step 3 – Implement the plan.................................................................................................................. 19

Step 4 – Reporting and follow-up .......................................................................................................... 20

Step 5 – Evaluation ................................................................................................................................ 21

Tools and Worksheets ........................................................................................................................... 22

Glossary of Terms: ................................................................................................................................. 35

Acknowledgement and resources .......................................................................................................... 38

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WHY CREATE PUBLIC INVOLVEMENT GUIDELINES?

Background

A well informed and involved community requires meaningful opportunities for open dialogue

with citizens and stakeholders.

The Public Involvement Guidelines Committee was formed as an ad hoc committee of Council

in the fall of 2008. Consisting of citizens and staff, this committee completed research, looked at

best practices from other municipalities and developed recommendations that helped direct the

development of these guidelines, tools and worksheets.

How can these guidelines, tools and worksheets can help you?

At any given time throughout the City of Waterloo, there are projects underway that require

public input and participation. Many of these projects impact the quality of life in Waterloo and

affect the day-to-day lives of the people who live, work or play here. These guidelines offer a set

of consistent approaches and practical tools for staff, to achieve the following objectives:

Provide practical and appropriate opportunities for participation by citizens and

stakeholders regarding proposed developments, services, programs or other municipal

decisions that may impact quality of life in Waterloo

Provide sufficient access to information to allow stakeholders to become informed and

capable of participation in the community dialogue

Demonstrate consistent application of the process to the public and Council

Provide effective input into Council’s decision-making process

Establish a method to effectively report back to the community on their input and on

Council’s decisions and outcomes

What’s in this document?

There are five basic, complementary strategies to involve the public. The following public

involvement strategies can be used independently or in combination depending on the scope of

the project:

This guide will help identify when to use which strategy and how to effectively implement a

program that will gain the necessary feedback, insights and involvement from your intended

participants.

It is intended to help the City of Waterloo respond to growing calls for public involvement from

its citizens by clarifying the types and best uses of the array of public involvement strategies

and techniques available.

Within these guidelines, you will also find:

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1. Methods to determine the level, or degree, of involvement required

2. Information to help staff develop an appropriate public involvement strategy

3. Tools and worksheets to help select which stakeholders should be involved as well as

which strategies would best reach those stakeholders

4. Ways to ensure a responsible process for reporting back to the public

5. Tools to evaluate the effectiveness of the techniques and strategies used

WHAT IS PUBLIC INVOLVEMENT?

Encouraging participation in the municipal government process helps Council understand the

needs and priorities of the community, so they can make decisions with these needs and

priorities in mind.

Public involvement is happening all the time. It starts with information that is provided to the

residents of the community. Effective public involvement, however, considers opportunities to

go beyond simply providing information and looks at how and when to best connect with the

community. The end result of effective public involvement is decisions that are often more

reflective of public concerns and values.

Public involvement is about dialogue with the appropriate people in the appropriate way at the

appropriate time.

Actively getting the public involved can…

Build cooperative working relationships

Clarify points of agreement and disagreement

Promote positive attitudes and build support for new and ongoing programs and

policies

Gather a wide range of options for solving problems and improving service

Prevent delays on projects

Establish a positive environment where the public’s opinions and feedback are valued

and respected

Public involvement helps City staff and Council

do a better job.

It is a process that brings together individuals and groups from many levels, building

cooperative working relationships and mutual understanding. Consulting with

neighbourhoods, interest groups, business and other affected parties is both desirable and

necessary.

What guides public involvement?

In every process, regardless of the scope, the following principles, or cornerstones, should guide

decisions about how and when to involve the public:

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Cornerstone: Expected outcome:

Accountability The process must demonstrate a commitment to being time-sensitive and

cost-effective and demonstrate that results and outcomes are consistent with

expectations.

Transparency We must demonstrate openness, honesty and transparency of purpose

when engaging the community and ensure the same principle applies when

communicating results.

Respect The process must be respectful of decision-making protocols and

jurisdictions at the municipal, regional and provincial levels.

Inclusivity Public involvement should be encouraged with inclusivity in mind,

ensuring an accurate representation of the community is reflected.

Responsiveness A commitment to being accessible to address citizens’ concerns.

What are the roles and responsibilities?

There are four primary groups who will have a stake in decisions made by Council:

– City Council,

– the staff administration,

– community associations and special interest groups,

– and the general public.

Anyone who is affected by a decision should be involved

in some way in that decision.

The general public: The public’s main role is to actively participate in the process, keeping in

mind the “greater good” while considering the current and future needs of the community.

Community associations and special interest groups: As an important connection to

communities throughout the City of Waterloo, community associations and special interest

groups play an integral role in facilitating and participating in public involvement. These

groups typically have unique knowledge of a topic or issue, or will be impacted in a unique and

specific way. It is critical that these groups are identified and invited to participate.

Staff administration: Administration carries out the steps of the process, defines and

implements the strategy, assessment and evaluation tools and facilitates public participation in

forums/formats appropriate to the issue at hand. Administration is responsible for ensuring the

proper process is established and used properly and that the guiding principles are consistently

met.

City Council: Council acknowledges the public’s involvement and Council members actively

engage in public participation events. Making sure administration proposals, individual

concerns and overall public benefit remain balanced also falls within Council’s role.

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Formal involvement processes begin with the assumption the public adds value and brings

important new perspectives, but, more specifically:

Are open-ended processes in which the specific outcomes are unknown at the beginning

Allow for serious, substantive, deliberative, in-depth communication of values and

principles, choices and trade-offs in search of common ground

Broaden the flow of communication among participants in the process by creating

opportunities for citizens to talk to each other and learn from each other

Are based on a mutual two-way learning between citizens and decision makers

Take time and can often be an ongoing process

Can empower communities close to the location of action or concern to define the

resources they need, establish their own timelines and terms of reference, and determine

an appropriate role for governments on the basis of the expertise, input or buy-in

required to support community goals

Involve evaluation methods, which include the following key components:

o The results are public

o Citizens are involved in the evaluation process

o The focus is on outcomes, not merely outputs. Outcomes include many different

types of benefits or changes

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What makes public involvement meaningful?

To be considered meaningful – for the public and the City – a public involvement initiative

should meet the following criteria:

Clarity of purpose: Participants must be clear on the role they will play in the

engagement process.

Reflective of diversity: Demographic factors such as gender, ethnicity, age, ability,

socioeconomic status and place of residence can affect interests and values. A public

involvement process has to represent the community’s demographic diversity and make

tangible efforts to allow for diversity in the community to be reflected.

Based on credible, balanced information: Participants must have balanced information

about the major perspectives on any issue or initiative so they can refine their

perspectives, voice their points of view and listen to understand those of other

stakeholders.

Organized and facilitated: Most consultation and involvement processes are facilitated

by someone whose role it is to encourage participation that is respectful and equitable,

so that discussions stay focussed and sufficient time is given to the most important

issues.

Communication of results: Results must be shared with the community.

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THE PUBLIC INVOLVEMENT CONTINUUM

This continuum demonstrates the various levels of public involvement. Each of these levels

should not be seen as being isolated. Rather, each is a complementary approach that can be

used independently, or in combination within the context of a single public involvement

process. There are three main levels of involvement (Inform, Consult and Empower) with Listen

and Learn and Collaborate necessary components of the overall strategy.

Level of

Involvement

Description

Inform

This is the most basic stage of involvement. It means that citizens have the

information they need to assess policies and initiatives to fully understand

their impact. Or, it is used to prepare the public for more intensive forms of

public involvement. Information is shared through Council agendas, Council

reports, budgets, newsletters, advertising, web site, open houses and other

forums.

Through informing, the public has the opportunity to consume and perhaps

comment on specific details within a proposal but have little opportunity to

influence the substance and general direction.

Relying only on ‘informing’ as the sole form of public involvement should

only be done where there is no opportunity for the public to influence policy

outcomes because of technical or legislative constraints.

Listen & Learn

City staff seeks information from segments of the public, but formulates a

decision independently which may or may not reflect stakeholder opinions.

Gathering information about the public’s priorities is a good strategy when

there is little or no information available to help Council understand public

opinion.

Consult This allows citizens the opportunity to provide feedback on policy options

before they are finalized. Consultation is characterized by the following

attributes:

It tends to focus on a group of stakeholders.

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It seeks to test, validate or prioritize options that have already been

developed, at least in preliminary form.

Most often, it takes place in the early and middle stages of the policy

process to test policy assumptions and directions.

It establishes clear parameters within which stakeholders’ views may

be accepted.

It may involve tight timelines.

City staff host separate discussions with stakeholder groups or segments of

the public, collect ideas and suggestions and independently render a decision.

This is effective when the general direction of an issue is constrained by time,

technical and/or statutory constraints, but there is an opportunity for the

public to influence details of the project.

Collaborate

This is when an issue or initiative is shared with the public as a single

assembled group, gathering ideas and actively negotiating solutions, and then

rendering a recommendation that reflects the group’s influence. This method

is best when the issue is value based, and when there is some opportunity for

shared agenda setting and open time frames for the deliberation of issues.

Empower

At this level of involvement, the City shares the policy issue with the public

and engages in a collaborative exercise of discussion and compromise to reach

an agreement on a solution. More active participation through empowering

allows citizens to more directly share in the decision making process. This

means they are involved in defining objectives, formulating and choosing

among options and developing implementation strategies. This level of

involvement is less frequent. In general, this level of involvement:

Involves individual citizens, not just the public as represented by

associations and interest groups, in policy formation, priority setting

and program delivery

Builds on, complements and generally moves beyond information

distribution and consultation practices. It doesn’t replace information

provision or consultation. Its purpose is to provide new opportunities

to bring interested parties together as creative, civic-minded

individuals.

What level should you choose?

Public involvement will not be the same for every initiative. In fact, it’s important that decisions

about how best to involve the community are based on the project or initiative.

Less involvement is appropriate when:

Interest in the policy issue is vested in one or a few interest groups

Perspectives are generally well understood and can be taken into consideration

The policy issue demands consistency with established professional or technical

standards

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Legislative guidelines define and/or limit the level of public involvement

More involvement is appropriate when:

Several groups have an interest in the outcome of the issue

Consensus among these groups is weak and uncertain

The policy issue is value based and carries a high need for social acceptance

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Formulating answers to the following questions will provide the starting point for a public

involvement strategy:

Yes No

Is public acceptance of a decision critical to effective implementation?

If public acceptance is necessary, is it likely that the public will accept the

recommendations of staff without any public involvement?

Is conflict likely on the preferred solution? Conflict may require more

involvement to give stakeholders an opportunity to state their opinions,

negotiate solutions and take ownership of the consensus decision.

What are the specific requirements that have to be incorporated in the

policy recommendation or solution being considered? These could include

professional and technical standards, cost constraints or any legislatively

mandated requirements. While staff often must work within one or more of

these requirements, some issues operate within narrowly defined

constraints that can pre-determine the outcomes or severely limit the ability

for public involvement to influence an outcome.

Do staff have sufficient background information to render a decision? Staff

may lack either technical information or information on public preferences.

Is the problem structured in a way that alternative solutions are not open to

redefinition and open-ended negotiation? Some problems come as pre-

determined choices (e.g. should a facility be built here?) while others are

open-ended (e.g. where should a facility be built?)

Do the public share the City’s goals in solving the issue? Agreement on this

gives staff more reason to begin a process.

The first three questions are focused on public acceptance. The last four questions are about the

dimension of the issue or initiative.

In general, initiatives where there are significant restrictions and technical requirements lend

themselves toward the sharing of information with some consulting, while concerns for

acceptability would require more involvement through consultation and engagement.

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What does public involvement look like?

Once you’ve decided on whether your program will be to inform, consult or empower, there are

a number of other considerations that will help you determine the best public involvement

strategy.

Here are some factors to consider…

Informing is a minimum requirement of all public involvement. There may be

initiatives where informing is the extent of public involvement, but these should only be

in circumstances where there are statutory or technical restraints that limit opportunities

for public discussion to influence decisions.

Other levels of involvement are effective strategies where policy issues are value-based,

when time, financial and human resource budgets allow for extended involvement,

and where there is a need for creative solutions and public acceptability to ensure a

project is successful.

Meaningful involvement can exist in circumstances where opportunities to affect policy

outcomes are limited, yet the public is still provided information and an opportunity to

comment on proposed policy directions and decisions.

Higher levels of involvement often require longer timelines and have higher financial

costs.

When an initiative requires public involvement only through the sharing of information,

effective communications skills are required. When the issue or initiative being

considered has competing values and a desire to use more unconventional involvement

techniques, it is important to have training in facilitation and alternate dispute

resolution mechanisms.

Lack of capacity or resources to support a public involvement effort should not pre-

determine whether to initiate an effort or not. Just because you have limited resources,

doesn’t mean you shouldn’t engage the public, it just means you need to be selective

about the tools you choose.

At the end of the day, the challenge is creating a dialogue that allows the decision makers as

leaders to filter, evaluate and assess community input in a way that enables them to make an

effective decision

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PLANNING FOR PUBLIC INVOLVEMENT

Successful public involvement requires careful planning, delivery and evaluation. This section

of the guidelines provides some information that will help staff build an effective plan. But,

even with the best laid plans, it’s important to remember you may want to adjust the process to

better meet the objectives. In fact, flexibility in this process may be necessary to meet the goals.

The chart below provides an overview of the planning process. The left column of the chart

summarizes the steps and key considerations; the right column defines the success factors for

each of the steps in the planning process.

Planning Checklist Success Factors

Getting started:

Is public involvement required?

What is the goal?

Who are your stakeholders?

What are your resources?

There is only public involvement if

there is an opportunity for it to be

meaningful

The mandate is clear

Resources match the scope of the effort

The process schedule allows for

enough time to participate effectively

Define your strategy: :

Compile relevant information:

o Internal policies and

procedures

o External statutes and policies

o Inventories, completed studies,

assessments

Define the mix of involvement

strategies and tactics that will be used

Communicate and coordinate with

other departments and external

agencies

Make relevant, easily understandable

information available to participants

and the general public early and

through a number of sources

The strategies reflect a blend of

approaches and techniques. More than

one may be required to address

different issues, accommodate the

range of interests and meet public

abilities to participate

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Implementing the plan:

What is the critical path?

What are the key decision points?

What are the roles of participants and

staff?

Be clear on the role of the participants

and define any limits to participation

Be flexible to accommodate requests

from participants about the public

involvement process

Be clear on how participants’ input will

be considered in the broader policy

process

Follow-up:

Maintain ongoing dialogue with the

participants.

Inform participants of assessment

findings

Inform participants of next steps.

Ensure participants know their input

has been heard.

Inform participants of their impact on

the proposed decision.

Evaluation:

Evaluate and report to Council and the

general public

Disseminate lessons learned

Disseminate lessons learned with other

staff to enhance the City’s capacity for

future public involvement initiatives.

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STEP 1 – GETTING STARTED

Developing a clear plan and asking a few key questions at the beginning will help ensure a

meaningful public involvement process with measurable outcomes. It should be drafted for

projects that are more than one-time events and involve a variety of stakeholders with different

objectives and needs.

Remember, your plan will help direct how often to contact your stakeholders and with what

information. Defining the project scope upfront allows everyone involved to stay within a

defined framework, work together toward common goals and ensure your objectives are met.

The plan should include:

1. The goals of the public involvement project

2. The stakeholders that need to be involved

3. How you will reach and encourage participation from the stakeholders

4. A detailed critical path/work plan that outlines roles and responsibilities

5. Budget

When is public involvement required?

When the City wants to provide information on policies, procedures and/or programs

When input is required from stakeholders in a specific program area or initiative

When the public’s comments can have an impact on the design and development of a

facility, structure, program or project

When it’s important to build partnerships and strengthen relationships between the

community and City

When public buy-in is important for an initiative to be successful

What is your goal?

What you are hoping to achieve from the Public Involvement Process drives the plan. Do you

want to:

Identify who cares about what?

Build cooperative working relationships?

Clarify points of agreement and disagreement?

Promote positive attitudes towards ongoing programs and policies?

Provide accurate information about activities and plans?

Hear interests and concerns early, before they escalate?

Gather a wide range of options for solving problems or improving service?

Meet challenges?

Reduce the likelihood of delays in implementing new initiatives?

Develop better solutions?

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Who are your stakeholders?

Who you encourage to participate depends on your project parameters. Consider how and why

you will involve stakeholders.

Time is valuable and in short supply for many, so ensure stakeholders’ time is well spent by

giving them the opportunity to have a meaningful impact on your project.

Potential stakeholders may include:

Community associations and

neighbourhood organizations

Special interest groups

City boards

Chairs of advisory committees or

entire advisory committees

Ward Councillors

Civic partners

Other levels of government

Political leaders

Non-government organizations

Charities and service clubs

Sport and recreation groups

Businesses and business

associations

Professional associations

Umbrella organizations

Landowners and residents

The silent majority

Churches and religious groups

Local schools/educational

institutions

Internal stakeholders

Assessing the level of stakeholder interest is important.

Think about ways to involve the silent majority

Consider those who do not want to participate

Identify if there are stakeholder barriers or constraints to participating

Passive stakeholder behaviour can occur because they feel confident and satisfied with

their elected official’s decision. They believe their official will speak for and act in the

best interest of the constituency, or they have no interest or believe their views will not

be considered.

What are your timelines?

Your timelines may also have an impact on the plan you develop. In most cases, the earlier you

can involve the public in the process, the better. Be sure to establish reasonable and respectful

deadlines for internal and external stakeholders whenever possible. There are a number of

critical elements to keep in mind when developing your schedule.

How much is it going to cost?

Clearly outline any costs associated with your public involvement project. Time, people,

resources, travel costs, rentals, disbursements, collateral, outsourced materials and consultants,

etc. should all be part of your budget.

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STEP 2 – DEFINE YOUR STRATEGY

It’s clear that your project requires public involvement – now you have to decide how much

involvement is required. As noted in the previous section, there are five levels of involvement:

How much involvement is required depends on the issue and your desired outcomes. It’s

important to remember the strategies don’t typically work independently – combined

approaches will yield better results.

The following factors can help determine which level of involvement is required.

Policy/statutory requirements

Nature, complexity and risk associated with issues

Timelines

Financial implications

In-house expertise

Level of support/consensus from stakeholders/partners

Level of influence the participants expect to have

Level of support from departmental and political decision-makers

How will you reach your stakeholders?

No one technique can guarantee all stakeholders will have an appropriate opportunity to

participate in the decision-making process. Consider one type of activity to reach or involve the

silent majority and another to reach those stakeholders more directly affected by this project or

issue. The best tools to reach the silent majority are surveys, polls, mail drops, local signage to

advertise events and the use of the media, such as city-wide community newspapers, television,

radio and the Internet.

To ensure an appropriate cross-section of opinion is obtained, you might choose a survey for

one group and an information session for another, along with a small task force established

with representative members. These techniques or others could be the mix you choose to reach

and involve the most appropriate audience. A variety of these techniques will help balance the

tendency for any particular stakeholder to dominate.

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Other considerations:

Does the method match the audience?

Do the chosen technique(s) fit with the promise made about their involvement?

Which techniques fit best for each stakeholder?

Will the times and dates be suitable to reach a maximum number of stakeholders?

Is the location easily accessible? Barrier-free? Accessible by transit? Is there parking? Is it

costly? Is there sufficient parking for people with disabilities?

Is the event child-friendly? If not, is childcare available?

Are there language barriers? Are interpreters necessary? Materials in other languages?

Which technique will best inform stakeholders to help resolve the community issues or

problems?

What techniques will you use?

Depending on the scope of your project, your objectives, timelines and budget, there are a

number of ways to involve the public. Below are some examples for you to consider.

-Open houses

-Public submissions

-Storefront offices

-Discussion papers

-Web/telephone

-Public files

-Proceedings

-Summary reports or

newsletters

-Public meetings

-Letters

-Direct mail

-Advertising

-Public service

announcements

-Open houses

-Web/telephone

-Public

meetings

-Surveys

-Focus groups

-Forums

-Public advisory

group

-Working group

-Forums

-Seminars

-Conferences

-Public meetings

-Public interest

group workshops

-Focus groups

-Surveys

-Focus groups

-Advisory

committees

-Roundtables

-Task Forces

-Workshops

-Study groups

-Public advisory

group

-Working group

-Community

planning board

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STEP 3 – IMPLEMENT THE PLAN

This is where the pieces come together. All the techniques outlined in your strategy are

developed and distributed, surveys are created and managed, facilities are booked, events are

coordinated and feedback is received and analyzed.

How will you encourage participation?

Harnessing the power of the community can be tricky. Consistent communication with the

public is the best way to ensure all relevant stakeholders remain educated and connected.

Effective communication sparks interest, encourages open dialogue and participation – and not

only when crises arise. The public will be more likely to listen to you if you have given them the

same courtesy from the start.

Staff can help the public find their voice by:

Making contact information for appropriate staff and councillors readily

available

Posting up-to-date and easy-to-find information on the City website

Ensuring easy and quick access to documents, reports and information citizens

can use educate themselves

Allowing them to have early, meaningful input on key issues and projects

Creating opportunities to see their input appear in feedback papers and reports

Creating opportunities to see their input help shape decisions and affect changes

in policy and project direction

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STEP 4 – REPORTING AND FOLLOW-UP

Reporting and giving feedback to stakeholders is a critical phase in the process – it ensures

those involved see their input was received, understood and valued. Measuring the expected

outcomes is fundamental to discovering whether you have achieved your goals. Understanding

your level of achievement will help you demonstrate the results of your efforts.

An outcome may indicate: satisfaction with the process, success with the conclusion of the

work, approval of the recommendations, resolution of the issue, etc. Opportunities should be

provided to involve stakeholders in expressing their level of satisfaction with the progress made

in achieving the chosen outcomes.

Be sure to:

Acknowledge the participants who gave generously of their time, energy and expertise

Acknowledge participant contributions

Provide a record of the involvement process

Report on how the process reflects the City’s commitments

Demonstrate that participants have been heard

Provide an outline of decisions made

Provide a record of how the final decisions were reached

Advise participants when an outcome is expected

Reporting back to Council means: providing complete and unbiased results of the involvement,

supplying background information on the objectives of the involvement, defining the process

used and the follow-up action taken, and providing an outline of next steps.

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STEP 5 – EVALUATION

The final stage of this process is evaluating the effectiveness of your public involvement

process. Evaluation measures the effectiveness of your public involvement process. It may also

identify future needs within the same project as well as gather valuable information that may

help with future projects that are similar.

There are a number of techniques that can be used to evaluate the process. These can include

informal discussions, interviews, and questionnaires, tear off forms, observations to assess

participation, reviews of the process, and evaluation forms that are completed by key

participants.

Key questions to ask during the evaluation include:

Did the process reach the right people and ask the right questions?

Did the people who got involved feel they were heard?

Did the answers tell us what we needed to know?

Did the process stay within the budget and use the available resources well?

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TOOLS AND WORKSHEETS

The tools and worksheets in this section of the guide have been designed for you to use in the

planning, designing and evaluating of your engagement activities and events. These sheets can

be used by individual staff members and project leaders, or you may choose to gather a

stakeholder group to utilize these tools.

Completing these worksheets will help establish a record of the rationale for engagement and

will provide a useful guide for future engagement.

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Best practices checklist

Ask yourself the following questions to ensure that your public involvement plan is following

best practices: Yes No

Is the experience designed to ensure a diversity of approaches?

Do we have required commitment from staff, Councillors, and public

participants?

Do we have a structure that allows people to ‘vent’ as well as learn?

Are we making the best use of technology?

Have we given enough time for citizens to provide both front end input and

deliberation on the hard choices later in the process?

Have we provided sufficient feedback throughout the process for citizens to

assess that the information gathered by staff was used in a credible way?

Have citizens had an influence on when the exercise is best carried out, using

their own process, whether or not the City is involved directly?

Is this process ready to learn and adapt to new ways of doing things?

Have we considered how and when to best involve the various communities,

based on what we know from past experience?

Have we considered our ability to meet people in settings that are familiar to

them?

Are we organizing across departmental boundaries by the issue or initiative?

Is the information from related city departments integrated prior to being shared

with the public?

Is the language from related city departments translated into plain English all

citizens can understand prior to being shared with the public?

Are staff aware of the differences between the majority view and their own

professional view, if any?

Will participants view the experience as positive and fulfilling?

If your plan reflects best practices,

the answer to many of these questions will be yes!

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The Public Involvement Process

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Go/No Go The following questions will help determine whether a public involvement process will be

effective. Before you proceed, you will want to ensure you can answer ‘yes’ or ‘somewhat’ to as

many questions as possible. You have to decide which of these questions are significant to your

project and which are not. It’s important to evaluate your responses to these questions carefully.

No Somewhat Yes

Are the issue and/or question clearly defined?

Does the issue require public involvement?

Has the decision already been made?

Is everyone participating in the process equipped or

prepared for meaningful public involvement?

Are you prepared to hear stakeholder interests and

positions?

Have you identified the potential benefits of involving the

stakeholders?

Is there enough time for meaningful involvement?

Is the City prepared to commit the required resources to

effectively support a public involvement process?

Is there an identified champion for this issue?

Have you involved community-based staff,

communicators, consultants and staff from other

departments who will be involved in the process or

affected by the outcomes?

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Identifying your priorities What are the benefits of engaging stakeholders? Check your top five, and rank them

individually then discuss among your group. Once you have determined the benefits, you can

develop a clear and concise rationale that illustrates why you should the process.

__ Establish good relations with the

community

__ Provide timely, accurate, balanced,

easily understood information

__Listen and learn about views, concerns

and interests

__Consult for feedback

__ Work collaboratively to develop

recommendations and alternatives

__Delegate decision-making

__ Bring attention to an important issue

__ Identify a broader range of options

__Identify areas of conflict, mediate and

build resolution

__Meet the needs or requirements of a

regulatory process

__Avoid negative media

__Help stakeholders develop their own

plans and resolve problems/issues

__ Reduce opposition

__ Reduce delays

__Gain political, administrative and/or

civic dividends

__Conform with a political decision to

consult

__Reduce or prevent crises

__Manage stakeholder expectations

effectively

__Achieve better decisions

__Create shared visions embraced by

interests

__Inform stakeholders about plans and

decisions that will affect their lives

__ Mitigate project impacts

__ Improve project management

__Help stakeholders understand the

complexities of the issue

__ Build stakeholder buy-in and shared

ownership in the decision implementation

and/or evaluation

__ Other(s)

Your top five priorities: Your rationale:

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Identifying your stakeholders

INTERNAL STAKEHOLDERS: Who needs to be involved? Who will be affected by the issue?

Who may be potentially affected by the issue?

Who can contribute to a solution that will meet the needs of the widest range of stakeholders

and public audiences?

Who will insist on being involved and cannot be left out?

What other City departments and jurisdictions should be involved – including environmental

factors?

How should politicians be involved?

NOTES:

_____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

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Identifying your stakeholders EXTERNAL STAKEHOLDERS: Who do we need to involve? List names. Individuals

Public Interest groups – e.g. Ethnic community associations, stewardship societies

Specific demographic groups – e.g. youth or seniors

Marginalized, hard-to-reach populations

Industry associations and individual industries

Scientific, professional, educational, voluntary associations

School boards (in terms of policy issues)

Regional, provincial or federal government or agencies (in terms of policy issues)

Is a partnering option possible with other levels of government? YES NO

NOTES:

Are there potential sensitivities to consider other government agencies might note (design,

timing or implementation)? YES NO

NOTES:

Are you including skeptics and cynics, but balancing their potential for disruption so they do

not have undue advantage in any event? YES NO

NOTES:

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Defining the involvement strategy Now that you’ve determined that public involvement is required and you’ve identified the

internal and external audiences that need to be involved, it’s now time to establish the best

strategy to meet your goals. Answering the following questions will help determine the best

strategy moving forward.

What messages are we taking out to the public?

What are we asking of the public in return?

When do they need to know it by?

How are we going to deliver it?

How are we going to report back?

What are the mechanisms and target measures for evaluating effectiveness?

Once you have defined your strategy, you can proceed with identifying the techniques that will

help you reach your involvement goals. The next section is a tool for helping determine what

methods will work best under certain circumstances.

NOTES:

_____________________________________________________________________________________

_____________________________________________________________________________________

_____________________________________________________________________________________

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Determining the techniques Open house

What? These are events where information is put on public display and the general

public has the opportunity to meet members of the staff team working on the

initiative as well as any official public representatives.

Why? Open houses are focused on providing information. While there is opportunity

for some dialogue, their primary purpose is to ensure accurate information about

the initiative is available to the public.

When? Since the focus is on information sharing, they should be used early in the

process, perhaps in conjunction with public meetings, or during later stages

when important information reflecting decisions can be provided. To plan

appropriately can require up to two months.

Who? These sessions are open to all members of the public and are hosted by the staff

team and any public representatives. They should be held in community centres

or other locations that are easily accessible to ensure that all community groups

and residents are provided with equal opportunities to learn about the project.

Public meetings / community meetings

What? Public meetings are normally sessions at which there are both registered and

unregistered presentations. This format can result in conflict if the assessment of

public opinion on any given topic/issue is not accurate, and that public meetings

are not appropriate if an initiative has a significant amount of tension among

interests.

Why? They present opportunities for the public to hear and make comment on

initiatives. Public groups, municipal representatives and the general public are

encouraged to attend, listen, raise questions and make presentations to the chair,

panel or facilitator.

When? Public meetings should be well advertised and should normally occur either in

the early stages of the process or in the latter stages of a process when a consensus

or direction or range of options has been proposed.

Who? Public meetings should be open to the general public. They should be advertised

appropriately so that a broad number of people will be aware of the opportunity.

Formal presentations should occupy no more than 30 minutes, followed by

comments or registered presenters from the public, with a maximum of 10

minutes per presentation. The balance of the meeting should be spent hearing the

comments and questions from the public.

Forums, seminars and conferences

What? These are formal or semi-formal events

Why? They are held to share and learn about technical information and ideas presented

by a range of experts

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When?

The scale and formality depend on the nature of the project. They are an effective

way of ensuring that all participants obtain a common understanding of a

technical issue.

Who? Delegated and invited representatives of all interest group and other invited

members of the public; representatives (including working level and decision

level) of participating members; experts from government, academia and the

private sector.

Public interest group workshops

What? These are informal meetings between representatives of the municipal team and

the interest group. Each group warrants a separate meeting. The intent of these

sessions is to listen, document, draw information and discuss, but not to defend

an initiative or potential solution.

Why? The purpose of these meetings is to initiative direct dialogue with each major

interest group. This is the first opportunity to discuss the general nature of the

project and to exchange preliminary information. Substantive discussion of issues

or their resolution should not occur at these meetings.

When? These discussions should occur early in the process, but may also be necessary or

appropriate if special interest groups come forward with specific concerns.

Who? This should include representatives of the planning team as well as

representatives of the public interest groups. Meetings may be preceded by a

telephone discussion. These types of consultations are best held at locations

chosen by each public group.

Public advisory group

What? This is a formal group or committee established to provide direct comment to the

municipality. It may be integrated into the process so that separate meetings of

the public and municipal participants are not necessary.

Why? A public advisory group is created so that there is consistent public involvement

on the project or initiative.

When? A group should be formed before the terms of reference for the project are

developed.

Who? Members are representatives of all values or interests in the project or initiative.

They should have endorsement from the people and interests they represent.

Working group

What? Working groups bring together selected people with a range of perspectives on a

topic.

Why? They are established to discuss and assess general issues of importance,

determine priorities and establish preferences for general procedures and terms of

reference. Also, working groups are set up to address technical issues such as

information gathering and analysis

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When? A working group should be established early in the process as part of the design

stage. In the later stages, a working group consisting of public interest and

municipal representatives concerned with a particular aspect of a project may also

be formed.

Who? A working group should be small and informal, ideally with not more than ten

people. It should bring together a cross-section of perspectives. Representatives

from official interest group positions are not desired at such sessions. The

facilitator or chair must be perceived as neutral.

Planning workshops

What? These are joint working sessions attended by representatives of all participant

groups.

Why? A workshop ensures that the parameters of the project are agreed upon by the

public as well as the staff.

When? They should be established early in the process and have a role to play

throughout.

Who? Delegated representatives of all interested groups and participating agencies.

During informal, preliminary meetings, ask each group to identify a rep or

alternatives to attend such subsequent meetings and workshops. Consult to

determine a central location and time – decided at general meetings. Location and

facility must be accessible and convenient to the majority of participants. If

groups are geographically dispersed, it is important to have representatives

attend a central workshop

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Follow-up worksheet: Cornerstone checklist The following checklist will help you evaluate if you’ve met the guiding principles for effective and meaningful public involvement.

1 = Unsatisfactory 2 = Less than satisfactory 3 = Satisfactory 4 = More than Satisfactory 5 = Outstanding

1. Accountability

The promises made to stakeholders about their involvement were kept 1 2 3 4 5

The expected outcomes of the process were achieved. 1 2 3 4 5

Opportunities to evaluable the process were provided. 1 2 3 4 5

Used resources responsibly 1 2 3 4 5

The design and implementation of the process were effective. 1 2 3 4 5

2. Inclusiveness

Every effort was made to accommodate diverse needs. 1 2 3 4 5

Affected stakeholders were reached or involved. 1 2 3 4 5

Opportunities to create shared outcomes were provided. 1 2 3 4 5

3. Transparency

The purpose of and promise about engaging stakeholders was made clear. 1 2 3 4 5

Roles and responsibilities were communicated clearly, understood and accepted. 1 2 3 4 5

Information provided was timely, accurate, balanced, objective, accessible and easily understood. 1 2 3 4 5

Feedback was provided on how stakeholder input influenced outcomes. 1 2 3 4 5

4. Respect

Appropriate resources used according to budget. 1 2 3 4 5

Staff were trained and capable of supporting effective involvement. 1 2 3 4 5

Stakeholders’ time and resources were respected and used effectively as defined in the agreement. 1 2 3 4 5

5. Responsiveness

Affected groups and communities were kept up-to-date of issues. 1 2 3 4 5

Decision-makers were prepared for, and responsive to, stakeholders’ views. 1 2 3 4 5

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Follow-up worksheet: Internal evaluation tool 1 = NO 2 = PARTIALLY 3 = YES

1. The Public Involvement Policy was followed. 1 2 3

2. The issue/question was clearly defined before starting. 1 2 3

3. Benefits of involving stakeholders were considered. 1 2 3

4. Engagement capability was assessed. 1 2 3

5. Risks were assessed and dealt with appropriately. 1 2 3

6. An involvement strategy was identified. 1 2 3

7. An agreement was developed and negotiated. 1 2 3

8. The agreement was evaluated. 1 2 3

9. The objectives were met successfully. 1 2 3

10. The terms of involvement were applied effectively. 1 2 3

11. The outcomes were achieved satisfactorily. 1 2 3

12. The cornerstones were incorporated and applied effectively. 1 2 3

13. The strategies and promises chosen to reach and involve were kept. 1 2 3

14. A champion for the process was identified early. 1 2 3

15. Support from colleagues was evident throughout. 1 2 3

16. Appropriate stakeholders were identified. 1 2 3

17. Attempts were made to reach and involve those directly/indirectly 1 2 3

affected.

18. External stakeholders adhered to the process. 1 2 3

19. Council adhered to the process. 1 2 3

20. The involvement conduced was appropriate and added value. 1 2 3

21. A variety of techniques was considered to reach and involve. 1 2 3

22. An evaluation process was developed and administered. 1 2 3

23. Project results were communicated to all stakeholders. 1 2 3

24. Time spent by staff in preparation, delivery and follow-up:

a. Number of hours estimated ___________________

b. Were these resources budgeted? _______________ 1 2 3

c. Number of actual hours_______________________

d. If a gap, why?________________________________

25. Budget

a. Estimate costs (staff time plus other) $___________

b. Were these costs budgeted?____________________ 1 2 3

c. Actual costs $________________________________

d. If a gap, why?________________________________

26. What can be improved for next time?

27. What went well and would you do it again?

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GLOSSARY OF TERMS:

Advisory committee

A body of a limited number of citizens appointed by City Council to

provide advice to City Council and its Committees on specifically

mandated issues.

Citizen Any person residing within the boundaries of the City of Waterloo. An

individual resident of the City of Waterloo who is neither a delegate nor

a representative of any government, organization, association or special

interest group.

Collaborate To work together, to partner, to facilitate consensus.

Community

Organization

A group of individuals gathered together in a formal body for a specific

purpose or issue, a community of interest.

Communications Techniques that inform the public about policies, programs and services.

Consensus A decision making technique that equalizes power among a group of

people and seeks to find broadly acceptable solutions to a planning

problem. Consensus building is a departure from majority voting

techniques that only serve to alienate the minority from decision

outcomes. Under consensus, a group negotiates a solution everyone

considers acceptable from a range of possible alternatives discussed and

presented. Consensus is not unanimity, but is rather based on

compromise and the ability to identify common ground.

Consult To seek advice or information.

Consultation A process designed to seek the views of citizens, community

organizations, Advisory Committees or the public at large on issues that

affect them directly or in which they have a significant interest; the

process of collecting and analyzing public input and feedback.

Continuum of Public

Involvement

The full range of public participation levels and associated techniques in

issues of public concern. This document refers to five levels of public

involvement and points to an array of techniques along a continuum.

Communication techniques are at the low end of the continuum,

consultation sits mid-range, and involvement techniques occupy the

high-end of the continuum

Empower To invest with power, to authorize.

Engage To involve as participants or to include, or foster meaningful dialogue.

36

Engagement

Evaluation

Techniques that facilitate an informed dialogue among the citizens and

government officials and encourage participants to share ideas or

opinions and undertake collaborative decision-making.

Ongoing tools and methods used to assess and improve the process as it

moves forward.

Feedback Sharing of input and information received from a public participation

process with those involved or those who have an interest in the

outcome.

Focus Group

A small group selected from a wider population and sampled, as by

open discussion, for its members' opinions about or emotional response

to a particular subject or area, used especially in market research or

political analysis.

Governance The set of processes and conventions that determine how a society

directs itself, how citizens are afforded a voice on issues of public

concern and how decisions are made on these issues.

Inform To impart information and promote public awareness.

Input Information or comments (verbal or written) provided on an issue.

Involvement Refers to the process that seeks to encourage information and

deliberation, reflection or learning on issues at preliminary stages of a

process, with a more specific focus on values and principles that will

frame the way an issue is considered. It works to build citizen capacity.

Partnership An individual, group or organization that participates in, or shares

responsibility for the development and implementation of various

aspects of policy or program decisions.

Principle

The foundation or fundamental values that guide actions and directions.

Public Individuals, consumers, citizens, special interest groups and/or

stakeholders.

Public Interest

Group

A group of persons working on behalf of or strongly supporting a

particular cause, such as an item of legislation, an industry, or a special

segment of society.

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Public Involvement Any two-way communication process that informs and involves the

public and uses public input to make better decisions.

Public Involvement

Techniques

A broad range of strategies and methods used to inform citizens and/or

afford them a voice on issues of public concern and/or include citizens in

decision-making processes relating to these issues.

Roundtable Seating or discussion arrangement in which (usually) all participants

are considered peers.

Social Cohesion: This refers to the building of shared values, reducing disparities in

access to resources and enabling people to have a sense that they are

engaged in a common enterprise and face shared challenges as members

of the same community.

Stakeholder Any individual, group of individuals, elected representative or

organization with a specific stake or interest in the outcome of a

decision.

Task Force A group of people who have been brought together on a temporary

basis to carry out a specific mission or project, or to solve a problem that

requires a multi-disciplinary approach.

Value Principles or standards that determine what is valuable or important.

Workshop Participants work individually or in groups to solve work-related tasks

to gain hands-on experience.

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ACKNOWLEDGEMENT AND RESOURCES

These guidelines were prepared by an ad hoc committee reporting to the City of Waterloo’s

Council and consisting of citizens as well as staff members. This final work would not have

been possible without the hard work of this committee. Community member, Benton Leong

developed a questionnaire for neighbourhoods in Waterloo, University of Waterloo’s Dr. John

Lewis provided valuable information and ideas that formed the core of the work, City of

Waterloo staff members Tanja Curic, Christine Koehler, Lori Ludwig, Henny Bruce and Patti

McKague provided feedback on the tools that would be most useful for staff and finally, Peter

Mansell, who co-chaired the team along with Patti McKague, and later, Cameron Rapp, and

brought this work to completion.

In addition, the following is a list of valuable resources that were used and incorporated into

this document to customize the guidelines for the City of Waterloo.

The Health Canada Policy Toolkit for Public Involvement in Decision Making, Corporate Consultation

Secretariat, Health Policy and Communications Branch:

http://www.hc-sc.gc.ca/ahc-asc/pubs/_public-consult/2000decision/index-eng.php

The City of Saskatoon Community Engagement Process – A Guide to Public Process:

http://www.saskatoon.ca/DEPARTMENTS/Community%20Services/Communitydevelopment/

Documents/ce_fullmanual.pdf

The Land and Resource Management Planning Public Participation Guidelines from the

Province of British Columbia:

http://archive.ilmb.gov.bc.ca/slrp/lrmp/policiesguidelinesandassessements/lrmp_policy/guideln

s.htm#APP2