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PUBLIC PARTICIPATION AND COMMUNITY DEVELOPMENT: THE ROLE OF STRATEGICPLANNINGAuthor(s): ROBERT BLAIRSource: Public Administration Quarterly, Vol. 28, No. 1/2 (SPRING 2004-SUMMER 2004), pp.102-147Published by: SPAEFStable URL: http://www.jstor.org/stable/41288215 .
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PUBLIC PARTICIPATION AND COMMUNITY DEVELOPMENT: THE ROLE OF STRATEGIC PLANNING
ROBERT BLAIR
University of Nebraska at Omaha
ABSTRACT
Communities increasingly adopt decision aides like strategic planning as a way to clarify their role in local development Many public administrators have integrated public participation into this planning process. This article examines the link between public participation and strategic planning. Sustainability requires local resources and strategies so public participation seems critical and essential. A case study approach explores links between local development activities and community strategic action plans laid several years earlier, and most importantly, determines the role of public participation in those connections. This paper attempts to answer a series of basic questions on the structure of strategic plans developed by communities. Do strategic plans facilitate community development? Does participatory strategic planning increase local development and sustainable activities in a community?
INTRODUCTION
As cities enter the 21st century, the range of their activities and responsibilities continues to expand. They no
longer simply deliver public goods and services and resolve
community disputes (Morgan and England 1996); but often take on economic development tasks (Peterson 1981; Clarke and Gaile 1998). Many community leaders and city administrators have attempted to clarify their roles in economic development by formulating plans, frequently using strategic planning methods for this critical new task.
Strategic planning generally consists of a set of analytical techniques that helps an organization position itself
advantageously in a competitive and changing
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PAQ SPRING 2004 103
environment. It provides a framework for an organization to examine its environment, establish missions and goals, identify stakeholders, analyze its strengths and weaknesses, and then develop action oriented implementation plans.
Beginning in the 1980s and continuing into the 1990s, many communities formulated local plans for economic development. As communities enter the 21st
Century local strategies increasingly focus on self-
development-strategies that emphasize self-sufficiency, local capacity and resources, and sustainability. In order to
identify these strategies and develop local plans communities often use a variety of strategic planning techniques and methodologies. Initially employed by the
private business sector as a tool for establishing market
position, the strategic planning process understandably required major adjustments before it could be adopted by the public sector. Research on strategic planning programs, for instance, notes the need to add citizen involvement to the private model. A study of Oregon's program suggests that local strategic planning can help communities adjust to social and economic transformations; however, planning approaches should also use "bottom-up" methods that increase public involvement (Kissler, et al. 1998). Gilat and Blair (1997) in their examination of six different strategic planning programs in Nebraska found that while "effective strategic planning is a function of the extent of local ownership and involvement in the planning and implementation processes," (p. 9) effective citizen involvement requires continuous and high levels of local commitment (p. 34).
Public participation, where local residents constitute an integral part of the planning and implementation processes, may include the assessment of current conditions, community visioning exercises, and the formulation and the execution of local action plans. Naturally, the level of citizen participation varies among
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104 PAQ SPRING 2004
communities, planning programs, and specific development initiatives. Some communities have been successful in
identifying and implementing local development and sustainable strategies and plans, others not so successful. What factors explain differences?
This paper examines action plan development and
implementation - key tasks that connect public participation to strategic planning. Since sustainability requires local resources and strategies, public participation in the planning process seems critical and essential.
Specifically, a case study approach evaluates participatory strategic planning initiatives for local economic
development. First, basic content analysis techniques and factor analysis methods describe the component parts of action plans formulated by citizens in the communities
taking part in a strategic planning program that operated in the early 1990s in one mid western rural state. Second, using archival and qualitative research methods, the outputs of a representative group of these plans are estimated by identifying related development activities that occurred in the mid to late 1990s.
This study explores links between local
development activities and community strategic action
plans laid several years earlier, and most importantly, determines the role of public participation in those connections. This paper also attempts to answer a series of basic questions. What do strategic plans developed by communities look like? How do these plans formulated by citizens compare to research on development strategies? Do
strategic plans facilitate community development? Does
participatory strategic planning increase local development and sustainable activities in a community? To answer these
questions we first take a quick look at research on planning and public participation.
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PAQ SPRING 2004 105
PUBLIC PARTICIPATION AND STRATEGIC PLANNING
Many public participation issues affect the practice of strategic planning. These issues often relate to process and may include the need to clarify the purpose and scope of public participation: to identify members of the public to
participate; to select the appropriate time for participation; to inform participants on the issues, problems, and
opportunities; to locate resources for the participation process itself; and, to develop the mechanisms required to
implement subsequent strategic planning decisions (Carter and Darlow 1997). Research provides insight into some of the issues regarding the mechanics of public participation in strategic planning and action plan implementation.
At the most basic level, engaging citizens in the
planning process and implementation activities requires care and forethought by planners and administrators. Research shows that local citizens want to play a critical role in the planning process (Gilat and Blair 1997), and
professional organizations such as the Community Development Society encourage public participation in
community decision-making activities through their "Principles of Good Practice" (2000). Accordingly, planning literature provides guidance on the practical (Forster 1999) and theoretical (Douglass and Friedmann 1998) issues connected to this phase of the deliberative planning process. However, the literature also reveals that a number of factors often render citizen participation ineffective.
Recent empirical research shows the importance of employing proper planning tools and instruments in engaging citizens. Julian and Reischl (1997) found that participation is often discouraged because planning and administrative mechanisms limit actual and perceived
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106 PAQ SPRING 2004
citizen input. Furthermore, authentic and effective
participation in program planning and implementation requires not only the correct tools to facilitate the process, but also a "rethinking of the underlying roles of, and
relationships between administrators and citizens" (King, Feltey and Susel 1998, p. 317), and the involvement of stakeholders in analyzing data and formulating courses of action (Burby 2000). Finally, participation strategies in the
planning process need to fit the needs and characteristics of
particular communities (Denhardt and Gray 1998.) Despite questions regarding the mechanics of public
participation, most intergovernmental program guidelines strongly encourage or require citizen involvement in
planning but, consistent with the above research, fail to include specific instructions on the participation process other than mandating the often poorly attended public hearing. Recent research shows that the specificity of
program instructions affects public participation. For
instance, two researchers (Want and Van Loo 1998) compared the level of public participation between two federal programs, the Empowerment Zones and Enterprise Communities program (EZ/EC) and the Community Development Block Grant Program (CDBG). EZ/EC, includes relatively specific instructions on participatory requirements, namely, involve community residents, citizen
groups, the private and non-profit sectors and local
government entities in the application process; and engage low-income citizens in the planning process to help empower them. CDBG program guidelines generally provide few specific instructions on how to gain citizen
participation in formulating local development. The researchers found differences in levels of participation between the two programs, and determined that a lack of
guidance on creative or innovative participatory mechanisms raises questions regarding the quality of public participation in the planning and implementation of public
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PAQ SPRING 2004 107
programs, especially in low-income and rural areas (Want and Van Loo 1998).
Several general propositions regarding participation and strategic planning can be extracted from the above research. People want to assist in planning for the
development of their community; however, planning processes often limit meaningful and effective public involvement. Mechanisms for public participation in
planning and implementation need to be described as
precisely as possible. Perhaps most importantly, these mechanisms need to establish cooperative relationships between public administrators, planners and the
participants, and include tasks that provide authentic and
meaningful public involvement in planning and
implementation activities. If strategic planning processes include mechanisms
to facilitate effective public participation, research should indicate some general trends. Community action plans formulated and executed by public participation likely would take a parochial approach and include more than conventional economic development strategies and would mix local, community-oriented strategies with "traditional" business development strategies. Because people participate in the execution of plans they help develop, development activities that occur in the community would likely connect to elements in the previously drafted local strategic plan. In other words, the level of public input in strategic planning helps determine the structure of local plans and affects planning outcomes. This paper tests these hypotheses by conducting a case study of a strategic planning program that uses similar public participation mechanisms, and by studying the structure and outcomes of representative plans assembled by citizens.
Citizens use a wide range of strategies when they develop their community plans for development. Since local strategies function as variables in this study, a brief
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108 PAQ SPRING 2004
description of the nature and scope of these strategies should be beneficial.
RESEARCH ON LOCAL DEVELOPMENT STRATEGIES
Many communities engage in economic
development by systematically using a variety of efforts to stimulate private investment in order to increase
employment, diversify the area economy, broaden the tax
base, and improve the quality of life. Historically, local economic development consisted primarily of organized efforts to attract major manufacturing plants to the area
(Moriarty 1980). This "first wave" of economic
development that began in the southern states after World War II in an attempt to diversify their agricultural economies, continues to be an important local development strategy.
Local economic development today reflects the
changing and competitive nature of the national and global economy, and the new industrial and business climate. Communities continue to focus on the "first wave"
approach of recruiting new business; but they also add "second wave" strategies such as retaining and assisting existing business, new business start-up, capturing transfer
payments, and developing service employment (Pulver 1987; Blakely 1994; Morse, 1990; Giloth 1998; Blair and Reese 1998; Liou 1998).
"Second wave" economic development can be characterized by several factors. The first factor involves the taking of a comprehensive or environmental approach to local economic development, identifying the forces that influence a community, examining the local impact of these
forces, and then delineating a range of development options (Malizia 1985; Shaffer, Pulver 1987; Eisinger 1988; Blakely 1994; Mehrhoff 1998.) The organizational
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development path is the second factor, addressing issues
relating to local organizational structures and relationships (Rubin 1986; Humphrey, Ericson, McCluskey 1989). The last factor is the "cafeteria" approach, where communities focus resources on a single or small number of
development strategies. Professional and research
publications discuss these strategies in detail. The Journal of the Community Development
Society, a research journal devoted to understanding purposive community change, shows the diversity and
scope of development strategies, including recreation
development (Thraen, Napier, McClaskie 1983), rural
housing (Meeks 1989), service sector employment (Hirschl, McReynolds 1989), infrastructure improvement (Steinnes 1990), attracting retirees (Cook 1990; Glasgow 1990), retail trade development (Harris, Smith, Mooney 1990), high tech entrepreneurial development (Barkley, Smith, Coupal 1991), and basic sector development (Leistritz 1991). Economic Development Quarterly, another
journal devoted to economic revitalization, contains many research articles on various development strategies (Blair and Reese 1998). In addition, the Economic Development Review, a publication aimed primarily at practitioners, often commits a series of articles to describing specific local development strategies: new business development (Fall 1990) and existing industry development (Winter 1991). Finally, complete books focus on specific strategies, such as the retention and expansion of existing business (Morse 1990) and industrial development (Moriarity 1980).
Research on local development strategies has tended to be case studies on a single development strategy, or anecdotal descriptions of development actions taken by a community or a group of communities. Of critical importance to this study, however, are the few studies that examined empirically the range of strategies or actions
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selected and implemented by a number of communities on the national or regional level.
A study by the National Governor's Association
(John, Batie, Norris 1988) included a model designed to
predict economic growth at the county level in the rural mid west in the 1979 to 1984 period. The dependent variable was the change in total wage and salary employment and a number of independent variables were selected. Various modifications of the model explained between 17 and 42 percent of the variance in the change in
employment. The study then recognized and closely examined those counties that exceeded the predicted change in employment. Field research identified "key" development strategies of successful counties:
1 Recruitment and entrepreneurship 2. Manufacturing and services 3. Progressive firms 4. Sustained local economic development efforts 5. A pro-growth attitude 6.Finance, sites and buildings, and infrastructure 7.Leadership: partnerships and sparkplugs 8. Support from outside
Another study on local development activities, conducted by the International City Management Association (Farr 1990), focused on the role of city governments. Farr surveyed 1000 city administrators in all cities between 10,000 and 24,999 in population and 50
percent of all cities over 25,000. Development strategies identified by city administrators in priority order included:
1. Business attraction, retention, and expansion 2. Strengthening the commercial sector 3. Broadening the industrial base 4. Small business development
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5. Office development 6. Service sector growth
Finally, a study of 105 non-metropolitan communities examined local strategies that focused on self- development (Green, Flora, Flora, and Schmidt 1990). These strategies emphasized efforts to increase income or employment for local residents, rather than facilitate job creation and investment by private business. In priority order they included:
1. Tourism/arts, craft fairs, or recreational/cultural activity 2.Business retention and expansion/downtown revitalization 3. Locally controlled industrial development 4.Historic renovation or preservation 5. Incubator/small business assistance 6. Community-owned enterprise 7. Value-added firm (processing local primary products)
The above research shows that communities selected a very wide range of local development strategies. Some focused on community development, others on business development. Apparently, community leaders devoted significant amounts of resources and energy to identifying and evaluating a variety of local strategies that hopefully will result in economic development for the area. As public resources continued to dwindle, and the responsibility for economic development shifted from state to local levels, the competition for private-sector jobs and investment intensified. Participatory planning approaches such as strategic planning supposedly enable communities to focus resources on the development options of their choice. This study examines the structures of plans and the successes of those planning choices in one state.
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THE STRUCTURE OF LOCAL ACTION PLANS IN NEBRASKA
Like many states, a number of local strategic planning initiatives began in Nebraska in the 1980s. Using a multiple case study approach, this study examines the nature of local plans and the development outputs of communities that participated in a specific strategic planning program, Strategic Training and Resource
Targeting (START), delivered by the University of Nebraska at Omaha to communities from 1988 to 1991. START required that task forces comprised of local citizens develop the action plans based on issues identified
through strategic planning processes. University consultants and state economic development officials
provided technical support to local planning efforts (Blair and Reed 1995).
Only Nebraska communities participated in START. The 62 communities that completed 39 strategic planning projects constitute the units of analysis for this
study. Twenty-nine of the projects resulted from the formal START program, while 10 were part of pilot strategic planning projects coordinated by the University or
cooperatively with the Nebraska Department of Economic
Development. The 39 planning projects originated in all areas of the state, and community populations ranged from 125 to almost 24,000. Many of these communities can be characterized as rural and agricultural based, with
populations between 1,000 and 3,000. However, a number of urban communities, located in or adjacent to
metropolitan counties, also participated. Single communities formulated most of the action plans, but six were either county wide, or multiple community strategic action planning projects. On average, about 20 local citizens took part in each of the local projects.
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These local plans showed a wide range and complex mix of development strategies. A close inspection of the
plans revealed some obvious commonalities in local
development strategies; however, formal methodological methods can identify the underlying factors that influence the selection of strategies by citizen planners. Content
analysis and factor analysis can provide a statistical picture of the underlying structure of these plans.
Basic content analysis methods identified the various categories for the activities included in the action
plans developed by the communities that participated in START from 1988 to 1991 (Blair, Deichert, Smith 1991). However, instead of studying the development objectives listed in the local plans, content analysis focused on the
specific action steps (or development actions) the
community chose to pursue by aggregating them into
general development categories based on the objective of the action step. For example, several communities listed "business attraction" as the title of one of their
development objectives, but the specific actions included in this objective focused on activities that resulted in
community image enhancement, not the attraction of new business. Development actions, rather than the
development objectives listed in the plan, then, became the research items, or key words, of the content analysis.
Examination of the 39 action plans identified 633 individual "action steps," or specific development actions to be undertaken in pursuit of a specific development objective. Next, using key words in the action steps, the authors selected 69 separate categories according to the commonality of the tasks in the action steps. Finally, the action step categories were aggregated into 19 general development strategies, categorized according to the intent or the broad objective of the action steps. Table 1 lists the 19 development strategies and 69 action step categories that describe the range of activities included in the 39 action
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114 PAQ SPRING 2004
plans adopted by the communities in START. For each
development strategy and action step Table 1 also includes the total number of local plans that contained that specific step and strategy.
Since local plans often contain more than one action
step in pursuit of a strategy, the number of plans containing that action step, as listed in Table 1, will not add up to the number of plans that contain that general development strategy. The researchers considered action steps to be taken in pursuit of the 19 different general development strategies a more accurate measure of what the community was planning to do (Blair, Deichert, Smith 1991.)
Table 1 Local Development Strategies and Action Steps General Development Strategy/ Specific Action Step No. of Plans No. of Plans
w/strategy w/ action step Recreation Development 24 Develop/improve community 10
recreation center/community center Develop/improve fitness/wellness facility/program 3 Better meet recreation need of various 6
segments of population Inventory/survey/assess recreation needs/resources 8 Develop/improve recreation 18
facilities/programs/activities Expand resources available for recreation 7
Improve Community and Public Service 25 Assess alternative public service delivery 15
approaches Assess/work to broaden/shift tax base 5 Assess alternative forms of local government 3
(offices) Improve citizen-government 10
communication/understanding Increase accessibility/visibility of local services 5 Review/revise/adopt city ordinances regarding 4
physical dilapidation
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Table 1, continued General Development Strategy/ Specific Action Step No. of Plans No. of Plans
w/strategy w/ action step Community Image/Attitude/Appearance 33 Establish identifiable theme/symbol/signage/boundaries 1 9
for community Reduce/ameliorate community "eyesores" 1 5 Improve internal communication and 22
understanding of community Undertake recognition activities for community 8
volunteers/contributions
Community Promotion and Marketing 24 Develop marketing program/promotional 24
materials for community Develop and distribute marketing materials 22
to prospective firms
Business Attraction 26 Identify business "targets" for recruitment by 14
industry/geographic location/community strengths Compile/assess/maintain information on area 7
business/community for recruiting Compile information/develop/promote 10
industrial sites/buildings Recruit new businesses to fill retail/service gaps 8
Development Finances and Resources 24 Establish community foundation 7 Assess need/expand availability of venture capital 6 Identify/distribute information on available 1 9
financing resources Develop/assess financing options/vehicles 7
for new business
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Table 1, continued General Development Strategy/ Specific Action Step No. of Plans No. of Plans
w/strategy w/ action step Local Development Organization 33 Improve community understanding, inform of 9
role/process of economic development organization Improve communication among economic 12
development organizations in community and area Establish new economic development organization 1 1 Revitalize/rework existing development organization 12 Develop specifics/detailed plan and or funding 3
for local development organization Establish organization to support/focus/coordinate 1 3
business recruitment efforts locally/regionally/statewide
Housing 21 Compile/assess/maintain information on 11
housing stock/availability Compile/assess/maintain information on 12
housing needs Establish/form organization/task force to 6
examine house Facilitate the building various types of 11
new housing units Support the improvement of existing housing stock 9
or rehabilitation of deteriorated units
Area Cooperation 8 Compile information on area organizations, resources, 4
etc. that relate to economic development Organize/facilitate communication among 6
area-wide leaders Sponsor regional activities/events 3 Develop area-wide marketing materials 2
Health Care 5 Improve understanding of role of health care 2 Recruit new/improve existing health care providers 5 Establish leadership focus on health care 2
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Table 1, continued General Development Strategy/ Specific Action Step No. of Plans No. of Plans
w/strategy w/ action step Tourism Development 16 Identify/compile/assess tourism 5
resources/activities/support services Develop informational materials/facilities/promote 9
events that attract tourists/visitors Improve existing/develop new tourism sites/activities 9
Retail/Main Street Development 26 Improve downtown/retail atmosphere/environment 1 1 Improve marketing/promotion/information on 17
retailers/downtown area Sponsor trade/business shows/special events and attractions 5 Prepare plan/study or retail needs/shopping patterns 6
Work Force Development 13 Identify/compile/assess human resource/labor needs in area 4 Compile/make available/improve access to jobs/employment 6
information Train/retrain/improve skills of easting work force 4 Improve/develop child care facilities/services/resources 7
Leadership Development 6 Develop/enhance leadership skills/resources in area 6
Education Improvement 13 Improve access to/expand use of general 13
educational resources
New Business Development 18 Compile/analyze/pull together information on 14 retail/service/business Encourage entrepreneurial activity/business starts 7
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Table 1, continued General Development Strategy/ Specific Action Step No. of Plans No. of Plans
w/strategy w/ action step Existing Business Assistance 30
Provide training/organizational support/technical 14 assistance to retail/service businesses
Form visitation team to identify problems/stimulate 14 growth of existing businesses
Develop business assistance group/organization/planning team 9 Encourage local purchasing/subcontracting/joint buying of 1
supplies/services by businesses Prepare directory/encourage purchase of local 1 1
goods and services
Transportation Improvement 9 Compile information/assess traffic patterns/uses/systems 7 Pave/upgrade/plan improvement in roads/streets 5
Infrastructure Development 19 Work with other organizations/improve communication to 4
state/federal government regarding improvement of infrastructure Better utilization/improvement of existing area 1 1
infrastructure/transportation/communication facilities/resources Undertake planning studies/create planning organizations 1 3
to examine infrastructure issues
The next step to developing a picture of the structure of local action plans involved factor analysis of
the 19 general community economic development strategies contained in the plans. Factor analysis induces
underlying variables, or factors, from a pre-existing set of items having similar characteristics (in this case the
different strategies in the 39 local plans) by taking this set of items and coding their presence or absence in the plans, computing the degree of relationship between each pair, and then statistically analyzing this set of intercorrelations
(or correlation matrix) in order to ascertain how many empirically distinct dimensions or factors underlie the
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items. In other words, factor analysis studies patterns of
relationships among a set of variables, hoping to uncover
something about the nature of the variables without
measuring them directly (Darlington 2000). A set of
empirically derived factors that influence the structure of local strategic action plans resulted. These factors, or
underlying variables that cluster various development strategies together, can be contrasted with the strategies promoted by community economic development researcher
(as described in the previous section) and can be the basis for differentiating the 39 community plans.
Table 2 shows the standardized coefficients for the 19 development strategies resulting from factor analysis and identifies seven factors that affect the structure of the
development strategies in local action plans (Blair, Deichert, Smith 1991.) For each of the factors underlying the structure of local plans, positive numbers for a specific development strategy indicate presence in plans, negative show absence. Factors can be interpreted by examining the variables (development strategies) with high absolute correlation values, 0.4 or above (Darlington 2000), that "load" for each of the seven factors determined by analysis to affect the composition of local action plans.
Factor 1 can be labeled "Building on Local Assets and Keeping What We Have." The strategies include
improvements to health care, tourism, recreation, and
existing business. Infrastructure improvements also load
positively. This factor emphasizes internal community development strategies, especially those that accentuate existing and sustainable community physical assets and facilities. Strategies that focus on development finance (more of a business attraction device) and improving community and public services (apparently omitted because it does not focus on physical assets) negatively load for this factor.
Factor 2 can be labeled "Selling to Ourselves-
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Plugging Leakages." In this factor there is the presence of
strategies that focus on retail and main street development, and transportation improvement (so people can get to the
community to shop). The development strategies in this factor concentrate on keeping dollars in the community and
region or attracting retail dollars. But at the same time and there is a definite absence of strategies that address less business-related development, such as community image, attitude and appearance enhancement, or housing development.
"Stimulating Local Development-Growing Our Own" can be a label for Factor 3. This factor shows the
presence of new business development and community and
public service improvement strategies. In addition, there are lower, but positive loadings for workforce and education strategies. Factor 3 appears to focus on a set of
strategies designed to create entrepreneurial energy and activities, or develop local businesses from within.
Factor 4, on the other hand, indicates high, positive loadings for strategies that focus on leadership development. This factor, "Building Capacity for
Developing New Leaders," takes more of a community, rather than a business, development approach. However, there is also the presence of strategies to assist existing businesses. Apparently, local businesses often provide community leadership.
The next factor, number 5, shows positive loadings for the strategies of attracting new business, and developing the local development organization. This factor, then, can be titled, "Traditional Approach to Economic
Development." Since this approach emphasizes the capture of new firms, a highly competitive and uniquely local
undertaking, there are understandably negative loadings for
strategies designed to improve area wide cooperation.
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Table 2
Rotated Factor Matrix for Development Strategies Adopted by Nebraska Communities
Development Strategy Factor 1 Factor 2
Recreation Development .59543 -.30625 Public Service -.46515 -.17773
Image/attitude/appearance -.16186 -.64674 Promotion and Marketing .12182 .35909
Business Attraction .08565 -.28107
Development finances -.58118 .22605 Area Cooperation -.19575 .24078 HealthCare .61925 .25777 Tourism Development .60230 .19714 Retail/Main Street .15027 .54515 Work Force Development -.07211 -.11634
Transportation .37601 .56297 Infrastructure .39155 -.01337
Existing Business Asst. .50867 -.38849 Local Development Org. -.33180 .09844
Housing .29528 -.41892 Leadership Development -.19171 .27849 Education Improvement .01093 -.08003 New Business Development .04877 -.23684
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Table 2 (Continued)
Development Strategy Factor 3 Factor 4
Recreation Development -.16909 .14975 Public Service .50180 -.22025
Image/attitude/appearance -.38729 .00519 Promotion and Marketing .043 17 -. 16836 Business Attraction . 1 5770 -. 1 1285
Development finances -.18247 .37037 Area Cooperation -.05574 -.30938 HealthCare .07999 -.19612 Tourism Development .23020 .13925 Retail/Main Street .14631 .37528 Work Force Development. .45765 -.33474
Transportation -.17515 -.11718 Infrastructure .27758 -.36890
Existing Business Asst. .07963 .43560 Local Development Org. .28309 .14653
Housing -.09333 .33422
Leadership Development .27849 .68647 Education Improvement .48748 .37963 New Business Development .76841 -.01778
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Table 2 (Continued)
Development Strategy Factor 5 Factor 6
Recreation Development -.11 552 .08742 Public Service -.21796 -.15833
Image/attitude/appearance -.23727 .11792/ Promotion and Marketing .35322 .53649 Business Attraction .52247 .33038 Development finances .22449 .29993 Area Cooperation -.57666 .22963 Health Care .38407 -.09852 Tourism Development -.19184 .42573 Retail/Main Street -.04061 -.52987 Work Force Development .304408 -.17909 Transportation .00915 .07593 Infrastructure -.30878 .27358 Existing Business Asst. .27445 -.07123 Local Development Org. .43495 .55602 Housing -.08828 .00872 Leadership Development .09134 -.00402 Education Improvement -.33311 -.01133 New Business Development -.12714 -.09733
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Table 2 (Continued)
Development StrategyFactor 7
Recreation Development . 09 1 54 Public Service 1 5833
Image/attitude/appearance .11792 Promotion and Marketing . 5 3 649 Business Attraction -.26855
Development finances .22742 Area Cooperation . 1 4294 Health Care -.00084 T ouri sm Development .26462 Retail/Main Street -.07856 Work Force Development .39386
Transportation -.35103 Infrastructure .04386
Existing Business Asst. -.08135 Local Development Org. . 1 0292
Housing .18036
Leadership Development -.19795 Education Improvement . 42 1 90 New Business Development -.33726
*Factor loading derived using principal components analysis with an orthogonal rotation. The Varimax method was selected because it attempts to minimize the number of variables that have high loadings on a factor, thus enhancing the interpretability of the factors.
Factors 6 and 7, explain less of the variance in the structure of local action plans than the other 5 factors.
Interpretation of these factors is less concise, but loadings do give some indication of the general nature of the factors. Factor 6, in general, can be called "Getting Ready for Economic Development." Factor analysis shows the
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strongest positive loading for strategies that focus on
improving the local development organization. However, less strong but still positive loadings for tourism
development, and negative loadings for retail and main street development make interpretation less clear. Apparently, participants in the strategic planning consider tourism a natural or given asset that precedes the
organization of a development program, while retail and main street development occurs after organizational efforts. Therefore, these strategies share that common factor.
Factor 7, because of the strong presence of community marketing and promotion strategies, can be labeled, "Community Promotion-Telling Our Story To Others." Factor analysis, however, also indicates positive loadings for education improvement and work force
development. The focus on enhancing human capital appears to be a common bond between these two strategies. Apparently, a factor in local development plans connects community promotion and human capital development, maybe because it involves attracting workers to an area. Also, in smaller communities a strong link exists between the educational system and the community, so promotional efforts often involve both entities.
Table 3 EIGENVALUES FOR DEVELOPMENT STRATEGIES FACTORS Factor Eigenvalue Variance Percent 1 2.56144 13l 13l 2 2.06998 10.9 24.4 3 1.86955 9.8 34.2 4 1.74408 9.2 43.4 5 1.59276 8.4 51.8 6 1.39637 7.3 59.1 7 1.21661 6.4 65.5
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126 PAQ SPRING 2004
Factor analysis also estimates the amount of variance for each factor, its Eigenvalue, in explaining the mix of strategies in the 39 plans. The higher the
Eigenvalue, the greater the amount of variance explained. Table 3 shows the Eigenvalues, and percent of variance for each factor, and the total amount for all factors in
descending order. The seven underlying factors as a group explain almost 70 percent of the variance in the
composition of strategies in the action plans in Nebraska, with the first five factors combined accounting for almost 52 percent of the total variance. As described above, the first five factors contain a mix of community and economic
development strategies. It is interesting to note that business recruitment, a traditional "first wave" strategy does not even appear until Factor 5, and Factor 1, with the
highest Eigenvalue, focuses on existing local assets, business and community.
And finally, factor analysis calculates
communality values for each variable, the proportion of variance in that variable due to common factors (Darlington 2000). In other words, communality values show the
strength of the factor matrix in explaining the variation of each variable (the development strategies) in the mix of the
plans, or how often a particular variable cluster, or shares with other variables to form a factor. Table 4 lists
communality values for each general development strategy selected by Nebraska communities. Business-related
strategies tend to be the variables with the highest communality values; community-oriented strategies lean toward lower values. How does this correspond to the factor analysis that shows the emphasis on community development variables in the structure of local strategic plans? One explanation may be that economic or business
development strategies, which tend to be more specific in nature (e.g. job creation), mix with a wider range of less
specific community development variables (e.g. improve
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PAQ SPRING 2004 127
quality of life) to form the structure of community plans. Community development strategies may be the emphasis of
many of local action plans, but business development strategies still form the backbone because of their specific and critical nature.
Table 4
Communality Values for Development Strategies Selected Communities
Development Strategy Community Values* New business development 0.78863 Retail/main street development 0.77061 Tourism development 0.76209 Development finances and resources 0.75 142 Local development organization 0.73032 Community promotion and marketing 0.71981 Existing business assistance 0.69277 Leadership development 0.68996 Education improvement 0.67737 Community image/attitude/appearance 0.66820 Health care 0.65 1 99 Transportation improvement 0.63180 Improve community and public service 0.62599 Workforce development 0.61989 Area cooperation 0.60082 Business attraction 0.57819 Infrastructure development 0.53874 Recreation development 0.52871 Housing 0.42350
*Proportion of variance explained by factor matrix
In general, then, factor analysis of local action plans in Nebraska shows community and economic (or business) development strategies critical to the mix of strategies. When citizens participate in local development planning they do not just consider "traditional" business development strategies in their planning. Community- oriented and sustainable development strategies appear to
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128 PAQ SPRING 2004
result from participatory strategic planning.
NEBRASKA PLANS AND EMPIRICAL RESEARCH
Development strategies incorporated in Nebraska
strategic action plans can be compared to empirical and national level studies to answer several questions. Do the citizen plans in Nebraska include strategies identified by research? How does the Nebraska experience with citizen initiated economic development plans compare to this research?
Table 5 Nebraska Strategies and National Research
Nebraska Local Action Plan Rank* Local develop organization (tie) Image/attitude/appearance (tie) Existing business assistance Business attraction (tie) Retail/Main Street development (tie) Improve community and public service Recreation development (tie) Developing finances and resources (tie) Promotion and marketing (tie) Housing Infrastructure development New business development Tourism development Education improvement (tie) Workforce development (tie) Area cooperation Transportation improvement Leadership development Health care
*Number of times communities included action step strategy in plans
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PAQ SPRING 2004 129
Table 5 (Continued) National Governors Association Study**
Recruitment and entrepreneurs Manufacturing and services Progressive firms Sustained local efforts Pro growth attitude Finance, sites infrastructure Leadership, partners Outside support**
John, Dewitt, Sandra S. Batie, and Kim Norris. (1988). A BRIGHTER FUTURE FOR RURAL AMERICA? STRATEGIES
FOR COMMUNITIES AND STATES. Washington, DC: National Governor's Association.
International City Self-Development Management Association Study Rank**** Study Rank***
Business attraction and Tourism, recreation Retention Business retention on Strong commerce Main Street Broaden industrial base Local industrial Small business development development Office development Historic renovation Service sector growth Small businesses
Community owned Businesses
Value added industry
***Farr, Cheryl. (1990). "Encouraging Local Economic Development: The State of the Practice." In, THE MUNICIPAL YEARBOOK 1990. Washington, DC: International City Management Association
****Green, Gary P., Jan L. Flora, Cornelia Flora, and Frederick E. Schmidt. (1990). "Local Self Development Strategies: National Survey Results. JOURNAL OF THE COMMUNITY DEVELOPMENT SOCIETY 21 (2):55-73.
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130 PAQ SPRING 2004
Table 5 shows the "popularity" of particular development strategies in local plans adopted by Nebraska communities. Using information from Table 1, this table ranks Nebraska strategies according to the number of times
specific action steps have been included in community plans. Table 5 also compares Nebraska rankings of
strategies in local plans with three regional or national
empirical studies (described in the previous section, "Research on Local Development Strategies") conducted
during the same time period. While differences in the research methodologies of
the studies muddy precise comparisons, nonetheless, four
general observations can be made regarding the nature of the strategies incorporated by communities in local
development plans. First, there is general consistency among the communities in the research studies in the selection of traditional, primarily "first wave" economic
development activities. Business attraction, existing business assistance, and manufacturing and industrial
development strategies rank high in all four studies. These
development strategies emphasizing community efforts to
expand the existing business community appear to constitute the foundation of local development plans. Second, communities also identify economic development strategies that focus on small business growth, assisting value-added service businesses, and facilitating development of entrepreneurs and new business. This "second wave" approach to local economic development appears in strategies identified in all four studies.
Communality values calculated by factor analysis (discussed above) for the Nebraska study confirm these first two observations regarding the critical nature of "traditional" business strategies in local development plans.
A third observation can be extracted from Table 5. Nebraska and "local development" communities focus on a
range of development strategies aimed at improving area
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facilities or community-based assets. Historic preservation, main street development, infrastructure improvement, tourism enhancement, and regional attraction constitute the
objectives of these locally oriented strategies. Improving self-sufficiency appears to a driving force behind these
strategies in local development planning. And lastly, communities in Nebraska and the National Governors' Study also selected development strategies that enhanced the local development structure and organizational effort, such as increasing community marketing, organizational and leadership development, expanding resources, and improving and sustaining community attitudes and local support. This is a critical observation because it connects Nebraska communities' selection of local capacity building strategies with those in the National Governors' Study that included communities that exceeded expected figures for economic growth.
THE OUTPUTS OF LOCAL ACTION PLANS
In this final part of the study the author attempts to answer some basic questions regarding the results of local economic development planning efforts. Do strategic plans facilitate community development? Does participatory strategic planning increase development activities in a community? Are community improvement projects linked to earlier strategic planning efforts?
The methodology for answering these questions consists of tracking the development activities and actions of representative communities that adopted strategic action plans. Newspaper articles, state reports and inventories on community development activities, public awards and recognitions, site visits and tours, technical assistance activities, participation in state programs, Community Development Block Grant awards, and personal interviews and observations provide the archival data for selected case
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132 PAQ SPRING 2004
studies. Local development activities undertaken from 1994 to 2000 are identified and compared to their local action
plan to determine the nature of their connection to
strategies contained in the action plans drafted in the early 1990s.
The representative case study communities come from the 29 projects that participated in the formal START
program, as opposed to the 10 that were in the program development stage, in order to have consistency in terms of
program format, especially in terms of the mechanics of
public participation. All the case studies went through an identical strategic planning program in order to control for differences in program approaches and material.
Four community-planning projects constitute the case studies. Two criteria determined selection of these local projects. Most importantly, the cases need to represent the range of factors identified in the factor analysis research that describe the structure of the 39 Nebraska community action plans. Because factor analysis uncovers the structure of a wide range of plans, it is unlikely that a single plan will
only include strategies identified by a single factor.
Community case studies, then, approximate a factor or
range of factors. And finally, the case study communities should reflect the general location characteristics of many communities in Nebraska and the American heartland: rural
farm, adjacent to metropolitan areas, or within metropolitan statistical areas.
The following briefly describes the case study communities in Nebraska, outlines their strategic action
plans, summarizes their development activities, and discusses the links between development actions and
respective local action plans. Superior. This regional trade center provides goods
and services to area farmers. It contains a small and
struggling industrial base. In 1986 Superior lost a 200
employee cement plant, and in 1991 the dairy plant shut
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PAQ SPRING 2004 133
down, putting 135 people out of work. The 1990 census listed the population at 2397, down from 2502 in 1980 (a 4.1 percent loss). The 1998 estimate of 2060 indicates continued population decline. Superior's development plan, adopted in July 1990, consisted of tourism expansion, internal communications and community relations, infrastructure, recreation development, and community appearance. This plan's strategies, in general, followed a Factor 1 approach "Building on Local Assets and Keeping What We Have" except Superior also included strategies for improving community image and appearance. While
Superior's plan contained an economic development and
job creation strategy, most of action steps focused on
improving existing community assets. Overall, this locality adopted a community-oriented development plan.
Archival research shows that in the years since the formulation of its development plan Superior has been
quite successful in implementing a significant number of the 30 specific action steps included in their plan. Evidence indicates that 20 of the activities were either completed or
major progress made. The community accomplished a number of strategic planning objectives, including a $1.4 million remodeling of an historic hotel, the development of a major tourist attraction, the purchase of an industrial site, the designation of downtown as an historic district, and the renovation of several community facilities for business and public use. Superior enacted a sales tax, received private foundation and state grant funds, and raised community donations for local development. The success of this community in implementing community and economic development projects has earned it state and national recognition.
Wahoo. This traditional farm community, with a 1990 population of 3681, up almost 7 percent from 1980, is adjacent to two metropolitan statistical areas with the state's two largest cities, Omaha and Lincoln. Wahoo
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134 PAQ SPRING 2004
claims a broad and solid industrial base, but it is also
transforming to a bedroom location for commuters. The 1998 population estimate indicates a growing community. Wahoo's development plan adopted in 1990 consisted of action steps for the strategies of housing, community image, health care, industrial attraction, and tourism
development. This community employed primary strategies included in Factor 5 "Traditional Approach" and Factor 6
"Getting Ready" and strategies that negative load from Factor 1 and Factor 2 "Selling to Ourselves" in their plan. In general, Wahoo' plan followed a traditional business recruitment and organizational improvement path toward economic development, one that emphasized business attraction and development activities, except it also included activities to improve community image. This can be labeled an economic and business development plan.
Research into the development activities of Wahoo shows a number of accomplishments, but only a few can be
directly traced to the 17 distinct activities contained in the
plan adopted earlier. While the data show that the
community either completed or made significant progress on 10 of the plan's action steps, projects tended to be small or done with minimal community participation. For
example, since the START plan, Wahoo completed 2 additional planning projects, both by consultants, and many subsequent development activities only weakly link to these plans. Several planning objectives do not appear to be
actively pursued. A 1998 follow-up planning visit revealed that most of the major development activities completed or in progress were not included in the original START plan. To its credit though, Wahoo did accomplish several
objectives in the original plan, including the development of a successful holiday festival, improving the housing stock, attracting a motel from a national chain, and
obtaining grant funds in support of local business. Red Cloud. This small regional trade center, with a
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1990 population of 1204, located in central Nebraska, provides goods and services to area farmers. Population declined 7.3 percent from 1980, and the 1998 estimate of 1098 shows continued loss of people. Red Cloud includes a museum and foundation devoted to Willa Cather, an author with a large international following. The local development plan, formulated in 1991, consisted of action steps for business attraction and retention, tourism, and enhancement of education. This plan's strategies represented a mix of Factor 4 "Developing New Leaders," Factor 6 "Getting Ready" and Factor 7 "Community Promotion." Red Cloud's plan combined community and economic
development strategies, but focused on community-related activities.
Data acquired through archival methods show that Red Cloud completed or worked on 6 of the 13
development activities included in their plan, including a $1.1 million fund raising project in collaboration with the Cather Foundation for an historic building renovation that will impact tourism. The community also received grant funds for housing and business development, and worked on community education, and recreation development projects. Many major local projects, however, did not link to their 1991 strategic plan. For instance, while local business assistance was not included in the original strategic plan, Red Cloud has worked extensively on this
strategy. Specifically, the local bank received recognition from the U. S. Small Business Administration for its
support of local business expansion, and the community received a state grant for a business incubator. Also, the
community successfully raised money for a community center, and participated in a main street improvement program, neither of which were included in their START plan. Granted Red Cloud worked on several important community projects critical to the future of the community, but it appears that their strategic plan only provided
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136 PAQ SPRING 2004
minimal guidance to their efforts. Blair. This traditional farm community, population
6860 in 1990, located on the edge of a major metropolitan statistical area (Omaha), contains a growing industrial base and is becoming home base for a growing number of urban commuters. Blair is a growing community, up almost 6
percent from 1980, and the 1998 population of 7566 shows increased growth. The development plan for this
community, adopted in January 1991, consisted of housing, business recruitment and retention, recreation
improvement, retail development, and communication. Blair's strategies reflected a mix of Factors 1 "Building on Local Assets" and 2 "Selling to Ourselves," with the
exception of housing which loaded negatively. This local
plan combined community and economic development strategies, but focused on economic and business-related activities.
Archival research shows that Blair completed most of the 14 development activities included in their plan, including a number of research and development tasks in
housing and recreation, but its major accomplishments relate to business development strategies, the focus of their
plan. The community participated in a local business assistance program for a few years and relations among the retail establishments improved, but its most noteworthy deeds were in industrial development and business recruitment. A large agricultural processing facility located in Blair in 1995, creating several hundred jobs and resulting in millions of dollars in capital investment. Three related
joint venture plant expansions followed, creating more jobs and additional private investment. Local leaders credit the formation of a local development corporation, and the enactment of local sales tax for helping facilitate the
community's large development projects. Blair received state recognition for its efforts in mobilizing its population for economic development. Improving internal
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PAQ SPRING 2004 137
communications and working relations was an action step included in the original strategic plan.
PARTICIPATION, ASSISTANCE, FUNDING AND COMMUNITY DEVELOPMENT
This paper attempts to answer several basic
questions concerning the role of citizen participation in
strategic planning for local economic development. What do plans developed by communities look like? How do these plans formulated by citizens compare to research on
development strategies? Do strategic plans facilitate community development? Does participatory strategic planning increase development activities in a community? The author hypothesizes that community action plans formulated with high levels of public participation likely will include a mix of community-oriented strategies and "traditional" economic and business development strategies. And, because people participate in the execution of plans they help create, development activities in the community will link to the strategic plan.
Content and factor analysis show that levels of participation influence the composition of plans. As predicted, local action plans formulated with strategic planning methods include a mix of community and economic development strategies. The first five factors show an emphasis on improving community assets and assisting existing business. Business recruitment, a traditional "first wave" strategy does appear until Factor 5, and Factor 1, with the highest Eigenvalue, focuses on existing local assets, both business and community.
When compared to national and regional research on local development strategies, the strategies selected by Nebraska communities, that used public participation in strategic planning, differ somewhat. While traditional economic and business development strategies rank high in
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138 PAQ SPRING 2004
all studies, Nebraska communities and those that take a
self-development approach or show above average development growth (John, Batie, and Norris 1988), also focus on strategies to develop existing community facilities and assets. In addition, Nebraska and rural communities studied in the National Governors' study (John, Batie, and Norris 1988) selected development strategies that enhance the local development structure and organizational effort. In general, from the Nebraska case study it appears that
public input in local development planning projects results in an emphasis on community development and local
capacity building strategies, while retaining an attachment to "traditional" economic and business development strategies.
The case study of four communities reveals that levels of participation affect the likelihood of successful
implementation of local strategic plans, as well as their structure. Participation levels varied among the case study communities, as did the number of activities implemented from their plans. Superior, in particular, provides strong evidence that high levels of citizen participation affect the structure of plans and their likely implementation. This
community focused on internal and sustainable community development strategies, in particular existing community physical assets and facilities. Follow-up research showed
Superior with a high success rate in implementing elements of its plan. While Superior, a rural and agricultural community, continues to struggle economically, its
participatory approach to strategic planning equipped it with the skills and strategies to face an uncertain future with hope.
Surveys of participants in several strategic planning programs by Gilat and Blair (1997), confirm the finding that the level of public involvement affects planning outputs. The other communities in the case study trail
Superior in terms of implementing the components of their
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PAQ SPRING 2004 139
local plans, and part of the explanation for this difference lies in the nature of their plans: fewer community and sustainable development strategies and therefore, less
participatory involvement in the planning stage. In addition to determining the critical role of public
participation in local development planning and
implementation, case study data analysis also identifies other factors critical to the successful implementation of
community-based plans and sustainable strategies. These include external technical assistance or program support, and funding from local and non-local sources. As noted by Gilat and Blair (1997), effective implementation of
strategic plans by the local citizenry requires follow-up by economic development specialists (p. 41). The National Governors' Association study (John, Batie, and Norris
1988) also identified outside support as a critical
development factor. While high levels of public participation in plan development significantly contributes to the implementation of strategies included in local plans, plan execution requires outside assistance.
Follow-up or technical assistance can take many forms. Superior, for example, participated in the state
community improvement program; a state program providing an organizational framework and recognition for locally implemented development projects and activities. Case study communities participated in one or more of the
following sources of assistance: national main street improvement program, follow-up planning help from a
university graduate class community outreach program, various types of technical assistance from public or private planning or development consultants, or a business visitation and assistance program. These programs supplied critical external support to ongoing local efforts in economic development strategic planning and
implementation. Successful strategic plan implementation also
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140 PAQ SPRING 2004
requires funding. Case study information shows the
importance of external funding support to local projects. In
particular, the Community Development Block Grant
program, funded by the U.S. Department of Housing and Urban Development and delivered by the state department of economic development, played a critical role in plan implementation. Also, local sources provided needed financial support for development projects, including the local option sales taxes for economic development, the local not-for-profit development corporations that partner the resources of public and private organizations, and
private donations. This study showed that mechanisms for public
participation included in the strategic planning process need to be described precisely. This helps establish
cooperative relationships among planning participants: public administrators, planning consultants and local citizens. Tasks providing authentic and meaningful public involvement results from this cooperation, helping facilitate successful planning and implementation activities and
outputs. Additional research should focus on identifying and improving these strategic planning mechanisms for
public participation. Most importantly, however, while this research
shows strategic planning increases public participation, the number of development activities, and the number of
projects and outputs in a community, it fails to confirm that
strategic planning effectively influences development outcomes, or that strategic planning efforts result in better, stronger, and self-sufficient communities. This finding, of
course, should be disturbing to community developers and advocates of strategic planning. A true test of the value of
strategic planning would require a research design that
compares experimental with control communities; measuring differences in growth and development between the two groups. Nonetheless, many environmental factors
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PAQ SPRING 2004 141
affect the economic development of a community, both
positively and negatively, and strategic planning methods consider those factors in its process. And as this study showed, strategic planning will most likely increase the number of development activities and improve the chances that the community achieves sustainability, self-
sufficiency, and a better quality of life.
NOTES
The author wants to recognize Jerry Deichert for assistance with the factor analysis and Veronika Pinkerton for assistance with the section on public participation and the case study information. This is a revision of a
presentation at the annual conference of the Urban Affairs Association, Los Angeles, May 2000.
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