Before diving in, complete a situation analysis to understand the context of the project or decision and how it might impact the public.
Situation Analysis
Why conduct a situation analysis?
A situation analysis helps determine whether a stakeholder engagement process is necessary, and if so, what type of process might respond to the needs and interests of both the agency and the public. Situation analyses can be quick and informal or more formal and involved. They can be done only by agency staff or can involve external stakeholders and the public. It is often helpful to start with a quick situation analysis involving only agency staff to determine whether a more formal and inclusive analysis is necessary.
Effective situation assessments can help:
- Clarify the problem or opportunity and the decision to be made;
- Identify what information may be needed to make the decision and where to find it;
- Reveal the agency’s standard approach to stakeholder engagement and potential needs to adjust;
- Identify stakeholders and their concerns, including hard to reach or marginalized communities;
- Describe constraints on the public participation process; and
- Expose issues that will need to be considered in the decision process.
Using a facilitator
After working through the process on this page you may decide that hiring a facilitator would be helpful.
Using a facilitator can:
- Provide process expertise so you can focus on the substance of the situation/issue/meeting;
- Enable the team lead to be a more active participant in the team’s substantive discussions;
- Assist the group by tracking and sustaining progress even when conflicting interests, diverse opinions or interpersonal tensions exist;
- Generate input from all views–especially when there is a wide range of participant backgrounds and perspectives; and
- Keep the group moving forward through complex problems and decision-making with the use of creative tools and techniques.
How to conduct a situation analysis
A situation analysis consists of two phases: an internal assessment followed by an external assessment. The following presents a general description of the process of conducting a situation analysis. For a more complete description of how to conduct a situation analysis please see EPA's public participation guide
Phase 1 - The internal assessment
The internal assessment clarifies:
- The problem or opportunity;
- The decision to be made;
- Available resources for stakeholder engagement;
- Agency expectations about the appropriate level of stakeholder engagement;
- Internal support for stakeholder engagement; and
- How public input will be used to inform the decision.
What is the problem or opportunity?
Agencies must first clarify the issue at hand and identify if there is an opportunity for public participation. The more complex or controversial an issue, the more rigorous the assessment should be.
During this phase, agencies can assess any potential conflicts, begin to identify potential stakeholders, and start a dialogue with the appropriate parties about the proposed participation. By conducting this assessment and laying the groundwork ahead of time, agencies can avoid unexpected conflicts as the process moves forward.
A more extensive analysis of stakeholder involvement should be conducted in an external assessment once the internal assessment is completed.
What level of influence should the public have?
The first step in identifying the appropriate level of public participation is to answer the question: how much influence over the decision is the agency able and willing to hand over to the public? Clarifying the role of the public is critical. Without this clarity, stakeholders may perceive that they will or should have significant influence over a decision, and become dissatisfied by the process or outcome if they do not.
The further along the spectrum of engagement, the more influence the public and stakeholders have over a decision. At the Inform level, the public does not have any influence over the outcomes; the goal is merely to provide the public with balanced and objective information. While the Inform level is not truly public participation, it is important to recognize that sometimes agencies can do no more than providing the public with sound information. On the opposite end of the spectrum, the Empower level, the final decision-making rests entirely in the hands of the public. Most agencies are not legally able to hand over decision-making solely to the public.
For these reasons, the most effective public participation happens within the middle of the spectrum – at the consult, involve, and collaborate level.
How much participation do you need?
Agencies often utilize varying levels of stakeholder engagement at different stages of a decision process. Additionally, agencies almost always conduct public participation at all levels beneath the highest level of participation being used, as some stakeholders will choose to engage at different levels.
- As the level of engagement increases, the number of participants decreases.
- Lower levels, particularly inform and consult, can accommodate many stakeholders.
- Higher levels of participation require more effort on the part of both agencies and stakeholders and therefore generally attract fewer stakeholders.
How much time/money does it warrant?
As the level of engagement increases, so do the number of meetings and interactions – meaning that the Involve, Collaborate and Empower levels of engagement require more time, energy, and potentially resources on both the part of the agency and participants. Everyone involved will likely need to participate in more meetings, be prepared to share more information, have follow-up conversations between meetings, and potentially help implement shared decisions. Collaboration, for example, may involve consensus-seeking and is often limited to a representative group of stakeholders involved in long-term processes, such as long-term advisory boards.
Phase 2 - The external assessment
Once an internal assessment is completed, an external analysis should follow. During this phase, agency staff, partner organizations, and/or an outside third-party identifies the full range of external stakeholders that should be engaged and begins to map out the different interests, concerns, and aspirations of those involved.
It is important to consider past decisions and historical relationships with stakeholders. The lead agency will also need to consider the involvement of other agencies, overlapping jurisdictions, and existing mandates.
Who are our stakeholders?
Stakeholders are anyone who will be impacted by or can influence your project or decisions. Stakeholders can have a negative or positive impact on your efforts and vice-versa.
In order to engage each stakeholder appropriately and to determine the best ways to engage with your community overall, you must first characterize each stakeholder and their interests. Not all stakeholders are equally impacted by or involved in your conservation issue.
If you identify serious conflict among two stakeholder groups, you may not want to start off your engagement efforts with a public meeting involving everyone at once, but instead speak to these groups separately and mediate as much tension as possible before bringing them into a shared space.
Who are our key stakeholders?
Agencies need to understand who the key stakeholders are and determine how these stakeholders feel about the proposed project or decision. Think about their motives, what information they might need and want, the current relationship with the potential stakeholders, how much influence they already have within the agency and the community, and your expectations about how they will respond.
How should we prioritize our stakeholders?
Stakeholders can be classified and mapped out in terms of interest and power in a grid.
