Participation Models

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Participation ModelsCitizens, Youth, OnlineA chase through the maze2nd edition, November 2012

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Version 2 // November dder of citizen participationLadder of children participationTypology of participationDegrees of participationWheel of participationActive participation frameworkPathways to participationClarity model of participationStrategic approach to participationTriangle of youth participationYouth participation in societyDimensions of youth participationSeven realms of participationLadder of volunteer participationYouth engagement continuumFour Cs of online participationPower law of participationLevels, spaces and forms of powerThe CLEAR Participation ModelFour L Engagement ModelParticipation 2.0 ModelSpectrum of public participationEngagement in the policy cycleOnline Participation Behaviour ChainKey dimensions of participationMatrix of participationPathways through participationChanging views on participationLadder of online participationOnline participation across ageThree-lens approach to participationBehavior GridThe Participation TreeTypology of Youth ParticipationSix principles of online participationThe Yinyang elsModels of Participation & EmpowermentSherry ArnsteinRoger HartSarah WhitePhil TresederScott DavidsonOECDHarry ShierClare LardnerUNICEFJans & de BackerJans & de BackerDavid DriskellFrancis & LorenzoAdam FletcherFCYODerek WenmothRoss MayieldJohn GaventaLawndes & PratchettTony KarrerNew ZealandIAP2Diane WarburtonFogg & EcklesDriskell & NeemaTim DaviesNCVO & IVRPedro MartínBernof & LiRick WicklinDFID-CSOBJ FoggHarry ShierWong et alTim DaviesShier et 72829303132333435363738393

Models of Participation & EmpowermentVersion 2 // November 2012Sherry Arnstein – Ladder of Citizen Participation1969Sherry Arnstein’s ladder of citizen participation, published in 1969 in the Journal of the American Planning Association, is considered one of the classic and most inluential participation theories. Arnsteinrests her theory on the declaration that citizen participation is citizen power, arguing that participationcannot be had without sharing and re-distributing power:“Citizen participation is citizen powerBecause the question has been a boneof political contention, most of the answers have been purposely buried ininnocuous euphemisms like “self-help”or “citizen involvement.” Still othershave been embellished with misleadingrhetoric like “absolute control” whichis something no one - including thePresident of the United States - has orcan have. Between understated euphemisms and exacerbated rhetoric, evenscholars have found it diicult to followthe controversy. To the headline readingpublic, it is simply bewildering.My answer to the critical what questionis simply that citizen participation is acategorical term for citizen power. It isthe redistribution of power that enables the have-not citizens, presently excluded from the political and economicprocesses, to be deliberately included inthe future. It is the strategy by which the have-nots join in determining how information is shared, goalsand policies are set, tax resources are allocated, programs are operated, and beneits like contracts andpatronage are parceled out. In short, it is the means by which they can induce signiicant social reformwhich enables them to share in the beneits of the aluent society.Among the arguments against community control are: it supports separatism; it creates balkanizationof public services; it is more costly and less eicient; it enables minority group “hustlers” to be just asopportunistic and disdainful of the have-nots as their white predecessors; it is incompatible with meritsystems and professionalism; and ironically enough, it can turn out to be a new Mickey Mouse gamefor the have-nots by allowing them to gain control but not allowing them suicient dollar resources tosucceed. These arguments are not to be taken lightly. But neither can we take lightly the arguments ofembittered advocates of community control - that every other means of trying to end their victimization has failed!”Sherry Arnstein (1969): A ladder of citizen participation. In: Journal of American Planning, Vol. 35, No. 4, pp. -models

Version 2 // November 2012Models of Participation & EmpowermentRoger Hart – Ladder of Children Participation1992Roger Hart built on Sherry Arnstein’s model to develop a ladder of children participation, which is oftenreferred to as the ladder of youth participation:“A nation is democratic to the extent thatits citizens are involved, particularly at thecommunity level. The conidence and competence to be involved must be graduallyacquired through practice. It is for this reason that there should be gradually increasing opportunities for children to participatein any aspiring democracy, and particularlyin those nations already convinced thatthey are democratic. With the growth ofchildren’s rights we are beginning to see anincreasing recognition of children’s abilitiesto speak for themselves. Regrettably, whilechildren’s and youths’ participation does occur in diferent degrees around the world, itis often exploitative or frivolous. ( )It might be argued that ‘participation’ in society begins from the moment a child entersthe world and discovers the extent to whichshe is able to inluence events by cries ormovements. This would be a broader deinition of participation than can be handledin this essay, but it is worth bearing in mindthat through these early negotiations, evenin infancy, children discover the extent towhich their own voices inluence the course of events in their lives. ( ) This essay, however, focusesentirely on children in the public domain: school, community groups, other organizations or informalgroups beyond the family. ( )The term ‘child’ needs some qualiication, particularly in light of the U.N. Convention on the Rights of theChild, which extends the meaning of ‘child’ to any person up to eighteen years. In many western countries teenagers lead such protected and constrained lives that it may seem appropriate to label them‘children’ ( ) here ‘child’ will refer to the pre-teenage years, and ‘youth’ or ‘teenagers’ to the ages thirteento eighteen. The term ‘young people’ will be used to embrace both age groups.This essay is written for people who know that young people have something to say but who would liketo relect further on the process. It is also written for those people who have it in their power to assistchildren in having a voice, but who, unwittingly or not, trivialize their involvement.”Roger Hart (1992): Children’s participation: from tokenism to citizenship. Essay for UNICEF (Innocenti Essay N s5

Models of Participation & EmpowermentVersion 2 // November 2012Sarah White – Typology of Participation1996Sarah White developed a typology of participation to highlight that the politics of participation are underpinned by tensions around actors, terms and power:“These days, the language of democracy dominates development circles. At national level it is seen inthe rhetoric of civil society and good governance. At the programme and project level it appears as acommitment to participation. This is trumpeted by agencies right across the spectrum, from the hugemultilaterals to the smallest people’s organisations. Hardly a project, it seems, is now without some participatory element.On the face of it, this appears like success for those committed to people-centred development policies.But stories like the one above should make us cautious. Sharing through participation does not necessarily mean sharing in power.The status of participation as a ‘Hurrah’ word, bringing a warm glow to its users and hearers, blocksits detailed examination. Its seeming transparency — appealing to ‘the people’ — masks the fact thatparticipation can take on multiple forms and serve many diferent interests. In fact, it is precisely thisability to accommodate such a broad range of interests that explains why participation can commandsuch widespread acclaim. If participation is to mean more than a façade of good intentions, it is vital todistinguish more clearly what these interests are.Table 1 aims to move beyond this in drawing out the diversity of form, function, and interests within thecatch-all term ‘participation’. It distinguishes four major types of participation, and the characteristicsof each. The irst column shows the form of participation. The second shows the interests in participation from the ‘top down’: that is, the interests that those who design and implement development programmes have in the participation of others. The third column shows the perspective from the ‘bottomup’: how the participants themselves see their participation, and what they expect to get out of it. Theinal column characterises the overall function of each type of participation. ( )In practice, any project will typically involve a mix of interests which change over time.”Sarah White (1996): Depoliticising development: the uses and abuses of participation. Development in Practice. Vol. s

Version 2 // November 2012Models of Participation & EmpowermentPhil Treseder – Degrees of Participation1997Phil Treseder’s model re-works the ive degrees of participation from Hart’s ladder of youth participationin two signiicant ways. Firstly, Treseder steps away from and responds to some of the most frequentcriticism of the ladder metaphor, aiming to illustrate that there is neither a progressive hierarchy nor aparticular sequence in which participation should always be developed. Secondly, Treseder argues thatthere needs to be—and that there should be—no limit to the involvement of children and young people, but that they will not be able to engage in child-initiated and directed projects rightaway and needto be empowered adequately to be able to fully participate.Treseder rests his model on Hodgson’s ive conditions that must be met if youth participation and empowerment is to be achieved. David Hodgson stipulates in Participation of children and young people insocial work (1995) that young people need to have (1) access to those in power as well as (2) access to relevant information; that there needs to be (3) real choices between diferent options; that there shouldbe (4) support from a trusted, independent person; and that there has to be (5) a means of appeal orcomplaint if anything goes wrong.Phil Treseder (1997): Empowering children and young people: promoting involvement in ipation-models7

Models of Participation & EmpowermentVersion 2 // November 2012Scott Davidson – Wheel of Participation1998Scott Davidson developed the wheel of participation for and with the South Larnarkshire Council todeine and encourage levels of citizen participation for community planning and development:“We are ofering an innovative approach to conceptualising the various dimensions of communicationand engagement processes. We argue that a correct approach to public engagement could revitalisethe planning system. To engage local communities efectively in the planning system, new and innovative approaches are required. The Wheel of Participation helps to minimise ambiguity associated withconsultation, including reliance on inappropriate techniques and unclear objectives.”Scott Davidson (1998): Spinning the wheel of empowerment. In: Planning. Vol. dels

Version 2 // November 2012Models of Participation & EmpowermentOECD – Active Participation Framework2001The OECD developed this analytical framework for conducting comparative surveys and country casestudies, resulting in the 2001 publication “Citizens as Partners - Information, Consultation and PublicParticipation in Policy-Making.”“The framework was developed by the OECD’s Public Management Service (PUMA) Working Group onStrengthening Government-Citizen Connections and deines information, consultation and active participation in terms of the nature and direction of the relationship between government and citizens: Information is a one-way relationship in which government produces and delivers information foruse by citizens. It covers both “passive” access to information upon demand by citizens and “active”measures by government to disseminate information to citizens. Examples include: access to publicrecords, oicial gazettes, government websites. Consultation is a two-way relationship in which citizens provide feedback to government. It is basedon the prior deinition by government of the issue on which citizens’ views are being sought andrequires the provision of information. Governments deine the issues for consultation, set the questions and manage the process, while citizens are invited to contribute their views and opinions.Examples include: public opinion surveys, comments on draft legislation. Active participation is a relation based on partnership with government, in which citizens activelyengage in deining the process and content of policy-making. It acknowledges equal standing forcitizens in setting the agenda, proposing policy options and shaping the policy dialogue – althoughthe responsibility for the inal decision or policy formulation rests with government. Examples include: consensus conferences, citizens’ juries.”OECD (2001): Citizens as Partners - Information, Consultation and Public Participation in Policy-Making, p. s9

Models of Participation & EmpowermentVersion 2 // November 2012Harry Shier – Pathways to Participation2001Harry Shier’s pathways to participation diagram identiies ive levels of participation:“The Pathways to Participation diagram is a practical planning and evaluation tool that can be appliedin almost all situations where adults work with children. Its purpose is to help adults to identify and enhance the level of children and young people’s participation in terms of ive levels of participation. ( )The diagram has the logical structure of a low chart embedded in a matrix; ( ) three stages of commitment are identiied across the top of the matrix: openings, opportunities and obligations.”Harry Shier (2001): Pathways to participation: openings, opportunities and obligations. In: Children and Society Vol els

Version 2 // November 2012Models of Participation & EmpowermentClare Lardner – Clarity Model of Participation2001Clare Lardner draws on Phil Treseder’s ive degrees of participation and David Hodgson’s ive conditionsfor youth participation to devise a grid that can be used to analyse and assess the degree of empowerment ofered by diferent approaches to and methods of participation:Lardner’s grid proposes six dimensions of participation and spans across a continuum of power. Themodel evolved from research that compared and contrasted twelve diferent methods of participation,two of which are plotted on the illustration to ex-emplify the use of the grid.“This model separates out some of the elements of participation which are implied in other models, andmay provide a helpful tool for young people, youth workers and other professionals to compare diferent methods.As with the ladder model, there is no single correct way of involving young people, because it dependson the purpose of the proposed exercise, the type of questions being asked, whether it is a one-ofpiece of research or an ongoing mechanism and the degree to which young people and adults want tocommit to participation. In some cases there may be a genuine partnership between young people andadults, demonstrated by shared power on many of the aspects of the model.”Clare Gardner (2001): Youth participation – a new model. Edinburgh: Youth Social Inclusion ion-models11

Models of Participation & EmpowermentVersion 2 // November 2012UNICEF – Strategic Approach to Participation2001UNICEF developed a strategic approach to youth participation, aiming to stimulate discussion and toprovide a resource for actors, advocates and activists interested in promoting the meaningful participation of young people, at global, country and community levels:“The goal of adolescent participation programmes is to ensure that young people aged 10-19 yearshave the capabilities, opportunities and supportive environments necessary to participate efectivelyand meaningfully in as enlarged a space as possible (along the four axes shown), to the maximum extent of their evolving capacities. Participation along these axes should not be arbitrarily denied to adolescents, but it should also always be voluntary and not coerced.”UNICEF (2001): The participation rights of adolescents: a strategic approach. UNICEF Working Paper -models

Version 2 // November 2012Models of Participation & EmpowermentJans & de Backer – Triangle of Youth Participation2002Marc Jans and Kurt de Backer contend that young people will actively participate in society when thereis a dynamic balance between the three dimensions of their triangular model, namely challenge, capacity and connection.“Against the background of our rapidly changing present society the meaning of the notion of activecitizenship changes. ( ) Adults also today are constantly learning to give their active citizenship aninterpretation in an informal and personal manner. There are three distinguished dimensions in thislearning process that are necessary basic conditions and in varying combinations and accents steer thelearning process, namely challenge, connection and capacity.Young people will actively participate in society orparts of it when there is adynamic balance amongthese three dimensions.In the irst place, therehas to be a question of achallenge which incites toparticipating. This can bea personal or social themeto which the young person is attracted and forwhich he or she wants todevote him or herself to.Secondly young people need to feel that they can have a grasp on the challenge and can make a diference through their eforts. Their capacity to make a diference will to a great extent incite to participatory action.The dimensions of challenge and capacity relate to each other in a speciic way. Participation requireson the one hand a need to do something, to change. On the other hand the necessary competenceshave to be present. Both dimensions are best in a dynamic balance. A lack of capacity may lead to feelings of powerlessness and frustration. A lack of challenge can lead to routine behaviour and feelings ofmeaninglessness. A chain of incentives and initiatives which lead to a failure is undesirable and can leadto embedded feelings of powerlessness or senselessness. Therefore we want to emphasize the importance of successful experiences. ( )A chain of successes can be an extra incentive for youth work as well as for young people. ( )Finally young people have to feel connected with and supported by humans, communities, ideas, movements, range of thoughts, organisation, in order to work together on the challenge.”Kurt De Backer and Marc Jans (2002): Youth (-work) and social participation. Elements for a practical odels13

Models of Participation & EmpowermentVersion 2 // November 2012Jans & de Backer – Youth Participation in Society2002Complementary to their triangle of youth participation, Marc Jans and Kurt de Backer also look at internal vs external participation as well as direct vs indirect participation:“When young people contribute to afairs that take place in youth land ( ), we speak of internal participation. ( ) When young people in interactions with youth workers, youth organisations or other actorsfrom the public domain inluence on matters beyond the youth land we speak of external participation.When interactions between youngsters and other actors involved go about without intermediaries wetalk about direct participation, indicated with a full line in the scheme below. When others mediate theinteraction between youngsters and other actors, we talk about indirect participation. Somebody elsespeaks for the young people. The thick dotted lines represent this indirect form of participation.Kurt De Backer and Marc Jans (2002): Youth (-work) and social participation. Elements for a practical -models

Version 2 // November 2012Models of Participation & EmpowermentDavid Driskell – Dimensions of Youth Participation2002David Driskell developed his dimensions of young people’s participation in the framework of a practicalmanual on how to conceptualise, structure and facilitate the participation of young people in community development.Driskell’s model borrows the eight degrees of participation and non-participation from Arnstein andHart and arranges them in a diagram to construct a conceptual framework that focuses on two dimensions: irst, the power of young people to make decisions and afect change;second, the interaction of young people with others in their community.Driskell contends that, while participation cannot be real without some degree of power-sharing, realparticipation provides both power and interaction.The combination of these two aspects sheds a new light on the unresolved debate around the ultimategoal of participatory work with young people. Driskell argues that it can be a powerful experience foryoung people to be fully in charge of their own project, but that they will only be allowed to do soin smaller projects. Where young people are, however, treated as equal and valued partners throughshared decision-making, inluence can be gained on larger issues and the power to make decisions andafect change can be maximised.David Driskell (2002): Creating better cities with children and youth – a training odels15

Models of Participation & EmpowermentVersion 2 // November 2012Francis & Lorenzo – Seven realms of participation2002Children and youth participation in city planning has enjoyed increased interest among policymakers,designers, and researchers. This builds on a well-established body of research and practice that suggests that urban environments are best planned with the direct participation of children and youth. Webelieve that this work has reached a stage of maturity in need of critical relection and review so that itcan be more efective in the future.Francis & Lorenzo present a historical and critical review of children and youth participation in city planning and design. Past participatory eforts with children and young people are discussed as seven realmsor approaches to their participation. The authors characterise these realms as (1) advocacy, (2) romantic,(3) needs, (4) learning, (5) rights, (6) institutionalisation, and propose a seventh realm, (7) proactive, as amore integrative and efective way to involve children and young people in design and planning.Looking back at the more than 30-year history of children and youth participation in design and planning, these stages or realms become evident. The romantic realm: children and young people as planners The advocacy realm: planners for children and young people The needs realm: social scientists for children and young people The learning realm: children and young people as learners The rights realm: children and young people as citizens The institutional realm: children and young people as adults The proactive realm: participation with visionThe more recent realm is subsumed by Francis & Lorenzo as ‘proactive participation.’This relects the most current thinking and practice of participation as a communicative and visionaryprocess. It moves beyond traditional forms of participation that simply involves children and youth, towards an approach directed at empowering children, youth and adults to reinvent childhood and theplaces that support it. It recognizes children and youth as more than young adults that must behave andparticipate as adults. It attempts to not be just nostalgic about childhood and adolescence but seeks toind ways to use planning and design to recreate childhood and adolescence.Proactive practice with children and young people takes advances in concepts about what makes goodenvironments and combines them with correct principles and methods intended to generate genuinechildren, youth and adult participation in the planning process.The proactive realm recognizes participation as a communicative, educational activity.Mark Francis and Ray Lorenzo (2002): Seven Realms Of Children’s ipation-models

Version 2 // November 2012Models of Participation & EmpowermentAdam Fletcher – Ladder of Volunteer Participation2003Adam Fletcher developed the ladder of volunteer participation with the understanding that volunteerism should be emancipatory for all stakeholders involved – the volunteer as well as the community:“The Freechild Project believes that this model represents the most radicaland powerful possibilitiesfor people’s participationthroughout our society.One of the goals of The Freechild Project is to realize thefull participation of all people throughout society asequal members in decisionmaking and action. We havedeveloped this model in order to represent our visionof democratic, communityoriented participation forall people. Individuals andorganizations can use thismodel to start thinking abouthow volunteers of all agescan be integrated as empowered, purposeful participantsthroughout society.While many community organizations seek to ix or heal the wounds in

Sherry Arnstein – Ladder of Citizen Participation Sherry Arnstein’s ladder of citizen participation, published in 1969 in the Journal of the American Plan-ning Association, is considered one of the classic and most inluential participation theories. Arnstein rests her theory on the declaration that citizen par

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