Cultural Theory and the Mechanisms of Public Participation. Aaron Smith-Walter Dissertation ...

218 Pages·2015·2.66 MB·English

Crafting The Public: Cultural Theory and the Mechanisms of Public Participation.

Aaron Smith-Walter

Dissertation submitted to the faculty of Virginia Polytechnic Institute and State University

in partial fulfillment of the requirements for the degree of

Doctor of Philosophy
in
Public Administration and Public Affairs

Dissertation Committee:

Brian J. Cook, Chair
Laura S. Jensen
Thomas W. Sanchez
James F. Wolf

August12th, 2015
Blacksburg, Virginia

Keywords: public participation, grid-group cultural theory, Metropolitan Planning Organizations
(MPOs)
Crafting The Public: Cultural Theory and the Mechanisms of Public Participation.

Aaron Smith-Walter
Abstract

Requirements regarding participation by the public in planning and decision making functions of
Metropolitan Planning Organizations have become more detailed over the past several decades
by adding more groups and individuals to the list of those who should be included in agency
planning efforts. This increased emphasis on public participation in MPOs makes the design and
selection of particular participation mechanisms by MPO planning staff an important subject for
study. The extant literature on public participation takes a view of the planner as one who is able
to interpret the existing technical, social, and political requirements of a planning task and match
them with the appropriate public participation mechanism. However, this view of the planner
overlooks his or her own understanding of the role of the public in agency decision making. This
dissertation employs Grid-Group Cultural Theory to explore how a planner’s worldview impacts
their selection of particular public participation mechanisms. Data were collected using an online
survey instrument and analyzed using multinomial logistic regression. Findings indicate that
those planners who held a hierarchist worldview were less likely than egalitarians and
individualist planners to select mechanisms that are more intensive (in their requirements for
communication). In addition, the research finds that factors internal to the MPO including the
budget, project schedule, political priorities, the type of projects, safety issues and agency
priorities also have an impact on the mechanisms for public participation selected by MPO
planning staff.
Dedication

The work associated with developing and executing this dissertation would have proved too
daunting a task for me without the kind assistance I was given by friends, colleagues, and
teachers. I would like to thank the members of my committee, Dr. Laura Jensen, Dr. Thomas
Sanchez, and Dr. James Wolf, for their support and feedback, which helped to improve the final
product. My chair, Dr. Brian J. Cook, deserves special recognition for his efforts to guide and
focus my work on the dissertation and who played no small part in marshaling the project toward
its completion.
In addition to the faculty members serving on my committee, I would also like to recognize
the kind guidance and suggestions offered by Dr. Michael D. Jones, Dr. Robin Lemaire, Dr.
Karen Hult and Dr. Sara Jordan. At different points in the development and writing of this
dissertation, each of these dedicated faculty members took the time to offer suggestions on the
work and helped illuminate approaches to solving problems that would otherwise have escaped
my notice.
I would also like to recognize the camaraderie and support that I received from my fellow
students at the Center for Public Administration and Policy. First and foremost, my deepest
gratitude goes out to my friend, Dr. Fatima Sparger Sharif who was never too busy to give
advice and lend an ear to problems both personal and academic. I would also like to thank Jack
O’Byrne, Liz Dulaney, Donna Sedgwick, Meredith Hundley, SeungUk Hur, Nadhrah Kadir,
Raifu Durodoye, James Harder, and Maria Stack for their encouragement throughout the process
of completing this dissertation.
iii
Last, but certainly not least, I’d like to dedicate this dissertation to Lindsay and Karl. I know
that it hasn’t been easy and it certainly wasn’t quick, but it is done. This is for you.
iv
Table of Contents
Abstract
 ....................................................................................................................................................
 2

Dedication
 ...............................................................................................................................................
 iii

Table
 of
 Figures
 .................................................................................................................................
 viii

Table of Tables
 .......................................................................................................................................
 ix

Chapter 1 - Introduction
 .......................................................................................................................
 1

1.1 Introduction
 .................................................................................................................................................
 1

1.2 Why Metropolitan Planning Organizations (MPOs)?
 .....................................................................
 10

1.3 Research Questions
 ..................................................................................................................................
 13

1.4 Importance of Research
 ..........................................................................................................................
 14

1.5 Organization
 ..............................................................................................................................................
 16

Chapter 2: Literature Review
 ...........................................................................................................
 17

2.1 Introduction
 ...............................................................................................................................................
 17

2.2 The Puzzle
 ..................................................................................................................................................
 17

2.3 Designing Participation Processes
 ........................................................................................................
 21

2.3.1 Benefits of Public Participation
 ......................................................................................................................
 25

2.4 How Planners’ Views May Affect Their Selection of Mechanisms
 ...............................................
 29

2.5 Grid-Group Cultural Theory
 ................................................................................................................
 35

2.5.1 GGCT as Heuristic
 .............................................................................................................................................
 38

2.5.2 GGCT as Full Explanatory Theory
 ...............................................................................................................
 38

2.5.3 GGCT and Public Participation Studies
 ......................................................................................................
 41

2.5.4 GGCT and the Structure of Social Relations in Participatory Mechanisms
 ....................................
 45

2.6 Conceptual Framework
 ..........................................................................................................................
 47

2.6.1 Fung’s Democracy Cube
 ..................................................................................................................................
 50

2.6 Conclusion
 ..................................................................................................................................................
 54

Chapter 3: Research Design and Method of Analysis
 ..................................................................
 56

3.1 Introduction
 ...............................................................................................................................................
 56

3.2 Project-Based LRTP Mechanism Analysis Pilot Study – Phase I
 .................................................
 57

3.3 Cognitive Interviews and Survey Development – Pilot Study Phase II
 ........................................
 61

3.3.1 Origin of Survey Questions
 .............................................................................................................................
 61

3.3.1 Interview Subjects
 ...............................................................................................................................................
 64

3.3.2
 Questionnaire
 Development
 ........................................................................................................................
 66

3.4 Hypothesized Relationships
 ...................................................................................................................
 69

3.4.1 Egalitarians: Participant Dimension
 .............................................................................................................
 69

3.4.2 Egalitarians: Communication & Decision Mode Dimension
 ...............................................................
 70

3.4.3 Egalitarians: Authority & Power Dimension
 .............................................................................................
 70

3.4.4 Hierarchists: Participants Dimension
 ...........................................................................................................
 72

3.4.5 Hierarchists: Communication & Decision Dimension
 ...........................................................................
 72

3.4.6 Hierarchists: Authority & Power Dimension
 .............................................................................................
 73

3.4.7 Individualists: Participants Dimension
 ........................................................................................................
 75

v
3.4.8 Individualists: Communication & Decision Mode Dimension
 ............................................................
 76

3.4.9 Individualists: Authority & Power Dimension
 ..........................................................................................
 77

3.4.10 Fatalists: Participants Dimension
 ................................................................................................................
 78

3.4.11 Fatalists: Communication and Decision Mode Dimension
 ................................................................
 79

3.4.12 Fatalists: Authority & Power Dimension
 .................................................................................................
 79

3.5 Mapping Procedure
 .................................................................................................................................
 80

3.6 Methodology
 ..............................................................................................................................................
 82

3.6.1 Independent Variable – GGCT Worldviews
 ..............................................................................................
 82

3.6.2 Control variables
 .................................................................................................................................................
 83

3.6.3 Dependent Variables – Participation Mechanisms
 ..................................................................................
 86

3.6.4 Population and Sampling
 ..................................................................................................................................
 88

3.6.5 Response Rate
 ......................................................................................................................................................
 92

3.7 Summary Statistics for Independent Variables
 .................................................................................
 95

3.7.1 Egalitarian Scores
 ...............................................................................................................................................
 95

3.7.2 Individualist Characteristics
 ............................................................................................................................
 96

3.7.3 Hierarchist Characteristics
 ...............................................................................................................................
 97

3.7.4 Fatalist Characteristics
 ......................................................................................................................................
 98

3.8 Summary Statistics for Control Variables
 .......................................................................................
 100

3.9 Dependent Variable Transformation
 ................................................................................................
 102

3.10 Exploratory Factor Analysis (EFA) and Scale Construction
 ....................................................
 103

3.11 Conclusion
 ............................................................................................................................................
 107

Chapter 4: Results
 .............................................................................................................................
 108

4.1 Introduction
 ............................................................................................................................................
 108

4.2 T-Tests
 ......................................................................................................................................................
 108

4.2.1 Comparison between Fatalists and Others for number of mechanisms
 ..........................................
 115

4.3 Correlation between GGCT Worldview and Dependent Variables
 ..........................................
 116

4.4 Correlation between Independent and Control Variables
 ...........................................................
 117

4.5 Multinomial Logistic Regression
 .......................................................................................................
 118

4.5.1 Participation Model
 ..........................................................................................................................................
 120

4.5.2 Communication Model
 ....................................................................................................................................
 124

4.5.3 Power Model
 .......................................................................................................................................................
 127

4.6 Conclusion
 ...............................................................................................................................................
 131

Chapter 5: Discussion, Implications, and Conclusion
 ...............................................................
 133

5.1 Introduction
 ............................................................................................................................................
 133

5.2 Discussion of Findings
 ..........................................................................................................................
 134

5.2.1 The Participant Dimension
 ..............................................................................................................
 136

5.2.2 The Communication and Decision-Making Dimension
 .............................................................
 140

5.2.3 The Power and Authority Dimension
 ............................................................................................
 142

5.3 Implications
 ............................................................................................................................................................
 143

5.4 Contributions
 ..........................................................................................................................................................
 146

5.5 Limitations
 ..............................................................................................................................................................
 148

5.5 Conclusion
 ..............................................................................................................................................................
 153

References
 .........................................................................................................................................
 155

Appendix A – Mapping Public Participation Mechanisms onto Fung’s Democracy Cube
 ................
 165

Appendix B – Initial Survey Instrument
 ..............................................................................................................
 167

Appendix C – Final Survey Instrument
 ................................................................................................................
 174

Appendix D – Descriptive Statistics for non-GGCT Independent Variables with Histograms
 .........
 180

vi
Appendix E – LRTP Mechanism Coding Breakdown
 ....................................................................................
 193

Appendix
 F
 –
 Q-­‐Q
 Plots
 for
 Independent
 GGCT
 Worldview
 Variables
 ................................................
 194

Appendix
 G
 –
 Correlation
 ........................................................................................................................................
 196

Appendix H – t-Test Results (Full Tables)
 ..........................................................................................................
 197

Appendix I – Description of MPOs and their comparison to other MPOs
 ...............................................
 203

Appendix J – Tests for Linearity of Logit
 ...........................................................................................................
 205

Appendix K – Tests for Multicollinearity
 ............................................................................................................
 208

vii
Table
 of
 Figures

Figure 1 – Grid-Group Cultural Theory Model of Participation Mechanism Selection ............... 48

Figure 2 - Fung's 'Democracy Cube' (Adapted from Fung 2006, p. 71) ....................................... 50

Figure 3 - Participant Dimension by HT Orientation ................................................................... 72

Figure 4 - Communication & Decision Mode by HT Orientation ................................................ 75

Figure 5 - Power & Authority by HT Orientation ........................................................................ 78

Figure 6 - GGCT Worldview Categorization Procedure .............................................................. 83

Figure 7 - Example of DV Construction ....................................................................................... 88

Figure 8 - Map of MPOs with Staff Responding to Survey ......................................................... 93

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Table of Tables

Table 1 - Grid-Group Cultural Theory Worldviews ....................................................................... 4

Table 2 - Dimensions of the Democracy Cube ............................................................................. 51

Table 3 - MPOs Selected for LRTP Analysis ............................................................................... 58

Table 4 - Participation Mechanisms and Project Types ................................................................ 59

Table 5 - Interview Characteristics ............................................................................................... 65

Table 6 - Grid-Group Cultural Theory Survey Questions ............................................................ 67

Table 7 - Descriptive Statistics Independent Variables ................................................................ 86

Table 8 - Egalitarian Descriptive Statistics ................................................................................... 96

Table 9 - Egalitarian Score Tests for Normality ........................................................................... 96

Table 10 - Individualist Score Descriptive Statistics .................................................................... 97

Table 11 - Individualist Score Test for Normality ........................................................................ 97

Table 12 - Hierarchist Score Descriptive Statistics ...................................................................... 98

Table 13 - Hierarchist Score Test for Normality .......................................................................... 98

Table 14 - Fatalist Score Descriptive Statistics ............................................................................ 99

Table 15 - Fatalist Score Test for Normality ................................................................................ 99

Table 16 - GGCT Worldview Frequencies ................................................................................... 99

Table 17 - Results of Levene's Test Pre-Transformation ........................................................... 101

Table 18 – Results of Levene's Test Post-Transformation ......................................................... 102

Table 19 - Transformation of Dependent Variables ................................................................... 103

Table 20 - KMO Test and Bartlett's Test Result ......................................................................... 104

Table 21 - Factor Analysis Rotated Component Matrix ............................................................. 105

Table 22 - Descriptive Statistics for Final Control Variables ..................................................... 106

Table 23 - Egalitarian vs. Individualist T-Test ........................................................................... 109

Table 24 - Egalitarian vs. Hierarchist T-Test .............................................................................. 111

Table 25 - Individualist vs. Hierarchist T-Test ........................................................................... 114

Table 26 - Egalitarian vs. Non-Egalitarian ................................................................................. 115

Table 27 - Bivariate Correlations Between Independent and Dependent Variables .................. 116

Table 28 - Independent Variable Bivariate Correlations ............................................................ 118

Table 29 - PART Model Parameter Estimates ............................................................................ 122

Table 30 - Classification for Participants Model ........................................................................ 124

Table 31 - COMM Model Parameter Estimates ......................................................................... 126

Table 32 - Classification Table for Communication and Decision-Making Model ................... 127

Table 33 - PWR Model Parameter Estimates (“Mid-Range” is Reference Category) ............... 128

Table 34 - PWR Model Parameter Estimates (“High” is Reference Category) ......................... 130

Table 35 - Classification Table for Power Model ....................................................................... 131

Table 36 - Summary Table of Support for Hypotheses .............................................................. 135

Table 37 - Number of Mechanisms by Participant Score ........................................................... 137

Table 38 – Number of Mechanisms by Communication and Decision-Making Dimension Score
............................................................................................................................................. 141

Table 39 - Number of Mechanisms by Power and Authority Score ........................................... 143

Table 40 - Individualist vs. Hierarchist t-Test ............................................................................ 197

Table 41- Egalitarian vs. Individualist t-Test ............................................................................. 198

Table 42 - Egalitarian vs. Hierachist t-Test ................................................................................ 199

ix
Table 43 - Individualist vs. Fatalist t-Test .................................................................................. 200

Table 44 - Egalitarian vs. Fatalist t-Test ..................................................................................... 201

Table 45 - Hierarchist vs. Fatalist t-Test ..................................................................................... 202

Table 46 - Linearity Tests for PART Model ............................................................................... 205

Table 47 - Linearity Tests for COMM Model ............................................................................ 206

Table 48 - Linearity Test for PWR Model .................................................................................. 207

Table 49 - Multicollinearity for PART Model ............................................................................ 208

Table 50 - Multicollinearity for COMM Model ......................................................................... 208

Table 51 - Multicollinearity for PWR Model ............................................................................. 208

x