Document 6502878

The Netherlands-Mongolia Trust Fund for the Environment
World Bank
GOVERNMENT ASSISTANCE PROGRAMME (GAP) - Component B.2:
Strengthening Public Disclosure of Environmental Impact Assessments and Other Information on
Environment and Natural Resources Management
Rapid Assessment of the EIA System and its Effectiveness in Mongolia
Present Situation and Recommendations for Future
(ENGLISH ONLY)
How to Conduct
Public Consultation
Guidance for EIA
Consultancies
11th November 2006
Submitted to the Ministry of Nature & Environment of Mongolia.
Prepared by Robin Grayson MSc from international sources
Acknowledgments
The following account is adapted for use in Mongolia but is based on international
experience embodied in two documents:
1: the ‘Consultation Charter’ as determined by the UK-based Consultation
Institute. The document is downloadable as a PDF file from the Consultation
Institute’s website: (www.consultationinstitute.org)
2: the ‘Guidelines on Effective Community Involvement and Consultation’,
RTPI Good Practice Note #1 of the Royal Town Planning Institute. The document is
downloadable as a PDF file from the RTPI website: (www.rtpi.org.uk)
1
Introductory Remarks
This document – ‘How to Conduct Public Consultation – Guidance for EIA
Consultancies’ – has been prepared at the request of the Ministry of Nature and
Environment of Mongolia (MNE) in order to give practical guidance to the EIA
Consultancies on how public consultation might be conducted.
The document is also intended for use by the Ministry of Nature & Environment of
Mongolia (MNE) and approved EIA Consultancies in serving as a vital check-list for
quality assurance of EIAs that have ‘Social Impact’ as a substantial component.
The goals of this document are to improve the standard and effectiveness of public
consultation in the EIA process:
;
to assist in the development of legislation and policy at the national level;
;
to increase the appeal of EIAs to a wider range of audiences;
;
to establish standards for public consultation in EIAs;
;
to be the ‘best practice’ for public consultation in EIAs;
;
to clarify the confused terminology about public consultation;
;
to be a ‘tool-kit’ for EIA consultancies to use to plan and implement public
consultation in the EIA process.
;
to serve as a standard for the public consultation component of EIAs in an
international context (transboundary projects, foreign investments,
banking etc).
In recent years the term ‘Public Consultation’ has become clarified by international
treaties, notably the Aarhus Convention and Espoo Convention, as well as by
national and local legislation in the USA, EU and other ‘western’ states.
During the evolution of the Public Consultation procedures, many FALSE definitions
have been demolished, but in Mongolia these FALSE definitions are still present,
notably:
:
informing the Public what we have decided – NO!
:
Public Meeting to explain what we are going to do – NO!
:
Publicity Campaign to raise Public Awareness – NO!
:
Newspaper Advertisement about what we are going to do – NO!
:
Distributing leaflets explaining what we are going to do and why – NO!
:
An Annex to an EIA listing meetings held – NO!
All these can be components of a Public Consultation process, but on their own are
INSUFFICIENT to justify the term ‘Public Consultation’.
All are just ways of “informing the public” (Public Information =Public Awareness),
often straying in a Public Relations Exercise to “convince or pacify the public”. Even if
absolutely neutral (and the author has never seen any to be truly neutral!) they are
a ONE-WAY PROCESS.
In contrast, Public Consultation is always a TWO-WAY PROCESS.
2
Filling in structured questionnaires I the Gobi Desert.
Women must be included in Public Consultation
3
Public Participation and Public Consultation
A Public Consultation Exercise (PCE) as part of the EIA process is only part of the
much wider topic of Public Participation, as shown diagrammatically below:
Core Values for the Practice of Public Participation
A Public Consultation Exercise (PCE) as part of the EIA process should conform to the
Core Values of Public Participation as stated by the Denver-based International
Association for Public Participation www.iap2.org:
;
The public have a say in decisions about actions that could affect their lives.
;
Public participation includes the promise that the public's contribution will influence
the decision.
;
Public participation promotes sustainable decisions by recognizing and
communicating the needs and interests of all participants, including decision
makers.
;
Public participation seeks out and facilitates the involvement of those potentially
affected by or interested in a decision.
;
Public participation seeks input from participants in designing how they participate.
;
Public participation provides participants with the information they need to
participate in a meaningful way.
;
Public participation communicates to participants how their input affected the
decision.
Brisbane Declaration on Community Engagement
The United Nations and the Queensland State Government worked together to plan
and deliver the International Conference on Engaging Communities, held in
Brisbane, Australia from 14-17 August 2005.
A key outcome from the conference was the Brisbane Declaration on Community
Engagement, downloadable from Internet:
www.getinvolved.qld.gov.au/share_your_knowledge/un_conference/documents/pdf/brisbane_declaration.pdf
4
This type of Public Consultation is effective in urban areas
Large meetings are possible in some rural areas - Bombugor
Public consultation should include all groups
5
Definitions – Use with Precision!
THE ISSUE
Translation of technical terms and concepts into Mongolian language is difficult.
Translation is especially difficult for sociological terms used in the EIA process,
because these terms are used imperfectly (‘sloppily’, ‘vaguely’) in the EU and North
America. Some international consultants, notably from the USA, World Bank and
UNDP use these terms wrongly by using them interchangeably, often in one
conversation! Therefore Mongolian translators and EIA Consultancies inevitably also
use blur these terms to an alarming extent.
This chaos makes the introduction of the Public Participation Exercises (PCEs)
extraordinarily hazardous in Mongolia, as communication with international experts
is prone to confusion bordering on anarchy. Worse still, the blurring of concepts
means that attempts to introduce guidelines or regulations on Public Participation is
vulnerable to confusion and even legal challenge.
In the UK, the issue of imprecise usage of terms is now resolved by the introduction
of standard definitions by the Royal Town Planning Institute (RTPI), and it is strongly
advised that these definitions are also used RIGIDLY in Mongolia by the Ministry of
Environment (MNE), EIA Consultancies and Environmental NGOs.
PUBLIC INVOLVEMENT = COMMUNITY INVOLVEMENT
Definition: Effective interactions between planners, decision-makers, individual and
representative stakeholders to identify issues and exchange views on a continuous
basis.
PARTICIPATION
Definition: The extent and nature of activities undertaken by those who take part in
public or community involvement.
PUBLIC ENGAGEMENT = COMMUNITY ENGAGEMENT
Definition: Actions and processes taken or undertaken to establish effective
relationships with individuals or groups so that more specific interactions can then
take place;
CONSULTATION
Definition: The dynamic process of dialogue between individuals or groups, based
upon a genuine exchange of views, and normally with the objective of influencing
decisions (e.g. EIAs), policies or programmes of action.
6
Definitions - Major
Public Consultation - where the members of the general public are invited
to express their views and enter into a consultation dialogue.
Unfortunately the term ‘consultation’ has become over-used and its meaning overstretched such as has happed to the word ‘nice’. Here is the professional definition of
consultation:
Consultation - the dynamic process of dialogue between individuals or
groups, based upon a genuine exchange of views, and normally with the
objective of influencing decisions, policies or programmes of action.
The term ‘public’ is confused. In Mongolia, to a Government official, the ‘public’ tends
to mean “the people in the street”, and does not refer to Ministries, Agencies,
Government Officials, and usually does not refer to companies either! This was the
thinking in western democracies until the 1980s but now the term ‘public’ has been
defined by the Aarhus Convention to include EVERYONE and EVERY GROUP (even
including ‘other’ Ministries!):
Public - one or more natural or legal persons, and, in accordance with
national legislation or practice, their associations, organizations or groups Article 2 of the Aarhus Convention
Of course for most EIAs only a narrow fraction of the Mongolian public are either
affected or interested. The ‘public concerned’ relevant for a particular EIA, are rather
like a narrow ‘target group’ for a donor project. But whereas a target group tends to
be defined by the donor project, for a particular EIA the ‘public concerned’ select
themselves! This requires a difficult shift in understanding by EIA consultancies.
In Mongolia, the term ‘public concerned’ tends to be restricted to “people who are
likely to be directly affected by the EIA proposal” by virtue of the impacts on their
home, livestock, quality of life etc., and does not automatically refer to any other
persons or organizations such as wildlife NGOs. This was the thinking in western
democracies until the 1980s but now the term ‘public concerned’ has been defined
by the Aarhus Convention to include not only the AFFECTED PUBLIC but also
INTERESTED GROUPS (even if based elsewhere in the World!):
Public Concerned - the public affected or likely to be affected by, or
having an interest in, the environmental decision-making; for the purposes
of this definition, non-governmental organizations promoting environmental
protection and meeting any requirements under national law shall be
deemed to have an interest - Article 2 of the Aarhus Convention
In Mongolia, the term ‘stakeholders’ has become generally understood and effective
in donor projects. The term stakeholder is also very useful in the EIA process to
ensure Public Participation has included ALL STAKEHOLDERS. But EIA Consultancies
must not deny any persons or group to the Public Participation process on the
grounds that “they are not stakeholders” as this is a value-judgment. Here is the
professional definition of ‘stakeholder consultation’:
Stakeholder Consultation - where the consultation is targeted at
individuals or organisations who have a direct or indirect interest in
decisions, policies or programmes. This is CLOSE TO Public Participation but if
the stakeholders are defined too narrowly then if excludes the broader public.
7
Definitions - Other
Open Consultation - a consultation exercise without any restriction on
those who participate. This is FULL Public Participation.
Closed Consultation - a Consultation exercise which is restricted to a
range of individuals or organisations, determined by the consultor. This is
NOT Public Participation but is has some resemblance to it.
Internal Consultation - a Consultation exercise restricted to a particular
organisation or group of organizations. This is ABSOLUTELY NOT Public
Participation.
External Consultation - a Consultation exercise involving the participation
of individuals or organisations other than that of the Consultor. This MAY BE
Public Participation or MAY NOT.
Multi-level Consultation - a Consultation exercise mounted by an
organisation obliges a consulted body in turn to seek the views of its own
constituent members. This MAY BE PART OF Public Participation.
Consultor - an organisation in whose name or on whose behalf the
Consultation exercise is undertaken. This is synonymous with the EIA Project
Proposer.
Consultee - an individual or organisation who decides to participate in a
Consultation exercise.
Statutory Consultee - an individual or organisation that has the right to be
automatically consulted as a legal requirement.
Definitions – Specific to EIAs in Mongolia
EIA Consultancy – an entity approved by the Ministry of Nature and
Environment of Mongolia for the purpose of conducting an Environmental
Impact Assessment (EIA) in accordance with the EIA Law of Mongolia and
the associated EIA Regulations.
Project Proposer – an entity that proposes a development project and has
commissioned an EIA Consultancy to carry out an EIA.
Project Proponent – same meaning (synonymous) as Project Proposer.
Public Consultation Exercise (PCE) – the process of public consultation
organized by the EIA Consultancy during the EIA process in accordance with
the Aarhuus Convention.
8
What are the key components of Public Participation?
Five key components of Public Participation are listed in the Aarhuus Convention:
1
timely and effective notification of the public concerned;
2
reasonable timeframes for participation, including provision for
participation at an early stage;
3
a right for the public concerned to inspect information which is relevant
to the decision-making free of charge;
4
an obligation on the decision-making body to take due account of the
outcome of the public participation; and
5
prompt public notification of the decision, with the text of the decision
and the reasons and considerations on which it is based being made
publicly accessible.
Role of MNE and EIA Consultancies in Public Consultation
Both the MNE and EIA Consultancies have roles in Public Consultation for EIAs:
#
0
component
overall
1
timely and effective
notification of the
public concerned
Role of MNE
Revise EIA Regulations.
Reject EIAs that fail to do Public
Consultation in accordance with
international norms (Aarhuus
Convention)
Guidelines and training.
Create list of Statutory
Consultees for all EIAs (e.g.
Health Ministry, key NGOs)
Checking compliance.
Role of EIA Consultancy
Adopt voluntary guidelines on
Public Consultation in accordance
with international norms (Aarhuus
Convention)
National media and internet
Local media and soum offices
2 reasonable timeframes
for consultation,
including provision for
consultation at an
early stage
3 a right for the ‘public
concerned’ to inspect
information which is
relevant to the
decision-making free
of charge
4 an obligation on the
decision-making body
to take due account of
the outcome of the
public consultation
5 prompt public
notification of the
decision, with the text
of the decision and the
reasons and
considerations on
which it is based being
made publicly
accessible
Guidelines and training.
Agreeing and checking
timetable.
Ensure realistic timetable, starting
public consultation as early as
possible.
Guidelines and training.
Checking full and free access.
Ensure full and free access to
information:
a) ‘directly affected ‘public
concerned’ to inspect locally
b) ‘other ‘public concerned’ to
have access via Internet
Checking EIA pays full attention
to results of public consultation
Ensure EIA pays full attention to
results of public consultation, not
just as an Annex
Require EIA consultancies to
publish.
Voluntary publication
9
Evolution of Public Consultation
Shown below, in grossly simplified cartoon fashion, is the evolution of Public
Consultation in Mongolia’s EIA system.
1st STAGE – Soviet System – ‘Ecological Expertise’
2nd STAGE – System-in-Early Transition – ‘Approved EIA Consultancies’
3rd STAGE – System-in-Late Transition – Limited Public Consultation
4th STAGE – System-in-Late Transition – Full Public Consultation
10
Best Practice – the 7 Principles
For consultation to yield its true benefits, and to assist in the process of evidencebased decision-making, it needs to take account of the SEVEN PRINCIPLES of the
Consultation Charter. These are set out below, but adapted to the specific needs of a
Public Consultation Exercise (PCE) in the EIA process.
To read the original text, the Consultation Charter is downloadable as a PDF file from
the Consultation Institute’s website: (www.consultationinstitute.org)
Principle 1 – INTEGRITY
Principle 2 – VISIBILITY
Principle 3 – ACCESSIBILITY
Principle 4 – CONFIDENTIALITY
Principle 5 – DISCLOSURE
Principle 6 – FAIR INTERPRETATION
Principle 7 – PUBLICATION
Principle 1 – INTEGRITY
The Public Consultation Exercise (PCE) must have an honest intention.
The EIA Consultancy must be willing to listen to the views advanced by consultees,
and be prepared to be influenced when making subsequent decisions.
If the decisions have already been taken, the PCE is a waste of consultees' time and
a fraud upon all participants to undertake a purposeless exercise.
Principle 2 – VISIBILITY
The EIA Consultancy must make aware all those who have a justifiable right to
participate in the EIA process – the ‘Public Concerned’. This includes not only people
likely to be directly impacted (‘Public Affected’) but also NGOs promoting
environmental protection - Article 2 of the Aarhus Convention
The EIA Consultancy must brief the decision-makers (MNE) before the start of the
Public Consultation Exercise (PCE).
The EIA Consultancy must brief the regional and local government (Aimag, Soum,
Bag etc) before the start of the Public Consultation Exercise (PCE).
Principle 3 – ACCESSIBILITY
The ‘Public Concerned’ must have access to the Public Consultation Exercise (PCE).
The EIA Consultancy must use PCE methods suitable for the intended audience.
The EIA Consultancy must use PCE methods to cater for the needs of hard-to-reach
groups (e.g. nomads) and others with special requirements (e.g. rural poor).
The EIA Consultancy must include 2 electronic methods for rapid, low-cost effective
PCE of those ‘Public Concerned’ that are regular email/internet users:
1 UNTARGETED e-PCE - posting PCE announcements and PCE documents on
the EIA Consultancy website, and ensuring search engines find them.
2 TARGETED e-PCE – circulating E-mail messages to
a) email list of NGOs promoting environmental protection,
b) email list of Government agencies.
The EIA Consultancy must ensure that the Digital Divide does not disenfranchise
citizens or stakeholders.
11
Principle 4 – CONFIDENTIALITY
The EIA Consultancy must ensure, on grounds of TRANSPARENCY and DISPLAY OF
THOROUGHNESS that in the EIA is an Annex of the Public Consultation Exercise
(PCE) that includes stakeholder invitation lists, consultee responses and PCE results.
The EIA Consultancy must ensure that all participants realize that such lists and
information are to be published as part of the EIA.
The EIA Consultancy must ensure that its information gathering, processing and
storing complies with Data Protection legislation of Mongolia.
Principle 5 – DISCLOSURE
For a Public Consultation Exercise (PCE) to succeed, and to encourage a measure of
trust between the parties, it is important for the EIA Consultancy to ensure
reasonable disclosure of relevant information about the proposed development.
The EIA Consultancy has a duty during the Public Consultation Exercise (PCE) to
disclose information which could materially influence the nature and extent of
consultees' responses.
The EIA Consultancy has a duty during the Public Consultation Exercise (PCE) to
disclose areas where decisions have effectively been taken already.
The EIA Consultancy has a duty to disclose during the Public Consultation Exercise
(PCE) when and where consultee views cannot influence the situation.
Consultees are also under a duty to disclose certain information during a PCE.
If a representative body (e.g. NGO or Agency) expresses a view on behalf of its
members, it should inform the EIA Consultancy of the presence of any significant
minority opinion within its membership, and be prepared to estimate the extent to
which it is held.
Principle 6 – FAIR INTERPRETATION
Information and viewpoints gathered through the Public Consultation Exercise (PCE)
have to be collated and assessed by the EIA Consultancy, and this task must be
undertaken objectively
Only in exceptional circumstances should the decision-makers themselves be
involved with primary assessment of the data, and the use of the EIA Consultancy as
external assessors has many advantages.
Where the EIA Consultancy uses weighting methods to assist in the assessment of
the Consultation exercise, this must be disclosed to participants and to decisionmakers relying on consultation findings.
Principle 7 – PUBLICATION
Participants in a Public Consultation Exercise (PCE) have a proper expectation that
they will see the outcome of the process. The EIA Consultancy should publish a
document - ‘Results of Public Consultation Exercise’ as quickly as possible in a form
accessible to the consultees. Later this document becomes an Annex to the EIA.
12
Principle 1 – INTEGRITY – recommendations
INTRODUCTION
The Public Consultation Exercise (PCE) must have an honest intention.
The EIA Consultancy must be willing to listen to the views advanced by consultees,
and be prepared to be influenced when making subsequent decisions.
If the decisions have already been taken, the PCE is a waste of consultees' time and
a fraud upon all participants to undertake a purposeless exercise.
THE ISSUE
Integrity means ensuring that the consultation has an honest intent. Whilst it is
always open for the MNE and EIA Consultancies to dialogue with stakeholders at any
stage in the development of plans and policies, a formal consultation should not be
undertaken if the decision has already been taken.
Great care is needed in scoping consultations properly and in providing the clearest
possible indication of those matters where the consultor has discretion and is open to
be influenced by the submissions and contributions made by those who respond.
The MNE needs to be vigilant that ALL developments that have commenced
WITHOUT an EIA are liable to be fined, suspended or stopped by the
Professional Inspectorate for lack of an EIA.
The MNE needs to ensure that ANY development that has commenced
without an EIA is MORE LIKELY to have its EIA rejected or tougher EIA
conditions imposed.
RECOMMENDATIONS FOR EIA CONSULTANCIES
These recommendations are based on those of the RTPI:
; the MNE, Professional Association of EIA Consultancies and each EIA
Consultancy should emphasise their commitment to this principle in their
Statements of Community Involvement (SCIs) put on their websites.
; avoid spurious consultation exercises where there is no scope to act
upon consultee responses;
; develop strong relationships with stakeholder organisations, based upon
trust that their time and commitment will not be wasted on unnecessary
consultations;
; demonstrate how public and stakeholder views have been taken into
account in previous engagement exercises;
; use pre-consultation dialogues to discuss fully with potential consultees,
how forthcoming involvement can be best used.
13
Principle 2 – VISIBILITY – recommendations
INTRODUCTION
The EIA Consultancy must make aware all those who have a justifiable right to
participate in the EIA process – the ‘Public Concerned’. This includes not only people
likely to be directly impacted (‘Public Affected’) but also NGOs promoting
environmental protection - Article 2 of the Aarhus Convention
The EIA Consultancy must brief the decision-makers (MNE) before the start of the
Public Consultation Exercise (PCE).
The EIA Consultancy must brief the regional and local government (Aimag, Soum,
Bag etc) before the start of the Public Consultation Exercise (PCE).
THE ISSUE
Visibility means that those most directly affected by plans and decisions have a
reasonable awareness of such community involvement processes as will take place.
The onus is on consultors to ensure that this visibility is achieved, and that
communications with identified stakeholders are such as to create a high level of
awareness, particularly of formal consultations, highlighting the ways in which
citizens and others can participate.
The MNE needs to be alert to the value of visibility in ensuring that the EIA
consultation process is fully inclusive of all interested parties and should
push EIA Consultancies to ensure this is done.
RECOMMENDATIONS FOR EIA CONSULTANCIES
These recommendations are based on those of the RTPI:
; identify the best methods of communicating with each stakeholder type;
; ensure maximum promotion for each individual consultation as well as
the overall programme of community engagement and involvement;
; engage with key stakeholders and/or their representative groups in
advance of specific consultations to give them adequate advance
warning, and to seek their views on the most effective means of
publicity;
; publish a comprehensive consultation calendar;
; liaise with other agencies or other EIA Consultancies undertaking PCE in
the vicinity to reduce the likelihood of overlapping or duplicated
exercises and thereby eliminate confusion.
14
Principle 3 – ACCESSIBILITY – recommendations
INTRODUCTION
The ‘Public Concerned’ must have access to the Public Consultation Exercise (PCE).
The EIA Consultancy must use PCE methods suitable for the intended audience.
The EIA Consultancy must use PCE methods to cater for the special needs of hardto-reach groups (e.g. nomads) and others with special requirements (e.g. rural
poor).
The EIA Consultancy must include 2 electronic methods for rapid, low-cost effective
PCE of those ‘Public Concerned’ that are regular email/internet users:
1 UNTARGETED e-PCE - posting PCE announcements and PCE documents
on the EIA Consultancy website, and ensuring search engines find them.
2 TARGETED e-PCE – circulating E-mail messages to
a. email list of NGOs promoting environmental protection,
b. email list of Government agencies.
The EIA Consultancy must ensure that the Digital Divide does not disenfranchise
citizens or stakeholders.
THE ISSUE
Accessibility and this refers to the ease with which potential participants can avail
themselves of the opportunity. It means being aware of the greater propensity of
some groups to respond to particular methods, and the barriers facing others.
Engaging with the disabled, racial, ethnic, linguistic or religious minorities all require
special facilities. It is essential to ensure equal access to the process for such groups.
The MNE needs to be alert to the value of accessibility by all interest groups
and should push EIA Consultancies to ensure this is done.
RECOMMENDATIONS FOR EIA CONSULTANCIES
These recommendations are based on those of the RTPI:
; test all consultation plans to verify if the proposed methods will be
accessible to the target audiences;
; train all those involved with public engagement processes in best
practice for meeting the needs of identified groups with difficulties;
; ensure the MNE is aware of Disability Equality Schemes;
; discuss proposed involvement methods with key stakeholders at the preconsultation stage to identify unforeseen difficulties;
; avoid jargon in meetings and documents for non-professionals;
; use precise terminology, if necessary with English or Russian synonym in
brackets in order to more closely define the Mongolian;
; translate documents into other languages if needed to fully engage other
linguistic communities, after dialogue with their representative groups.
15
Principle 4 – CONFIDENTIALITY – recommendations
INTRODUCTION
The EIA Consultancy must ensure, on grounds of TRANSPARENCY and DISPLAY OF
THOROUGHNESS that in the EIA is an Annex of the Public Consultation Exercise
(PCE) that includes stakeholder invitation lists, consultee responses and PCE results.
The EIA Consultancy must ensure that all participants realize that such lists and
information are to be published as part of the EIA.
The EIA Consultancy must ensure that its information gathering, processing and
storing complies with Data Protection legislation of Mongolia.
THE ISSUE
The issue is Confidentiality, but the real issue is Transparency!
Sometimes but rarely, stakeholder views correctly remain Confidential. However this
is rarely possible for Government or Government Agencies if international best
practice is adhered to.
Commercial undertakings and private individuals may be able to agree with the MNE
and local government that aspects of their discussions may be confidential, but all
parties need to be aware of the need to satisfy a public interest test.
The MNE needs to be aware of the need to minimize or disallow
confidentiality of information or opinions submitted to an EIA Consultancy
by participants in a Public Consultation Exercise.
RECOMMENDATIONS FOR EIA CONSULTANCIES
These recommendations are based on those of the RTPI:
; encourage a culture of maximum transparency, whilst observing the
spirit and letter of data protection and freedom of information;
; advise participants in the Public Consultation Exercise (PCE) on the
presumption of transparency;
; with MNE assistance, encourage Government bodies to make documents
and information held by them available to the Public if requested, along
the lines of the Aarhus Convention (to which Mongolia is not a
signatory);
; make a clear reference to transparency in surveys, questionnaires,
documents and other materials used as dialogue methods to elicit the
views of stakeholders;
; draft consultation documents and other materials used in the Public
Consultation Exercise (PCE) with the citizen’s right to know in mind;
providing specific authority for statements and assumptions made with
clear signposts for citizens to consult referenced sources;
; create a clear audit trail of analyses and recommendations so that the
influence of consultations upon decisions can be followed.
16
Principle 5 – DISCLOSURE – recommendations
INTRODUCTION
For a Public Consultation Exercise (PCE) to succeed, and to encourage a measure of
trust between the parties, it is important for the EIA Consultancy to ensure
reasonable disclosure of relevant information about the proposed development.
The EIA Consultancy has a duty during the Public Consultation Exercise (PCE) to
disclose information which could materially influence the nature and extent of
consultees' responses.
The EIA Consultancy has a duty during the Public Consultation Exercise (PCE) to
disclose areas where decisions have effectively been taken already.
The EIA Consultancy has a duty to disclose during the Public Consultation Exercise
(PCE) when and where consultee views cannot influence the situation.
Consultees are also under a duty to disclose certain information during a PCE.
If a representative body (e.g. NGO or Agency) expresses a view on behalf of its
members, it should inform the EIA Consultancy of the presence of any significant
minority opinion within its membership, and be prepared to estimate the extent to
which it is held.
THE ISSUE
Disclosure and requires both the EIA Consultancy and consultees to be totally open
with each other and not to conceal or withhold information which might be relevant
to the dialogue. Relevance is a difficult concept! If a stakeholder organisation feels
that particular information being withheld by the EIA Consultancy might have
significantly affected the view it had of proposal, then disclosure seems necessary.
The MNE needs to be aware that to achieve reasonable disclosure in
accordance with the Aarhuus Convention then the Professional Inspectorate
to allow publication of its inspections and penalties imposed, and that all
pollutant emission information will have to be accessible to the Public.
RECOMMENDATIONS FOR EIA CONSULTANCIES
These recommendations are based on those of the RTPI:
; publish raw output data (e.g. public meeting minutes, focus group
reports, survey results etc) whenever appropriate; Scoping a
consultation to address those aspects which stakeholders have a
reasonable expectation will be covered in the exercise;
; use pre-consultation discussions with key stakeholders to establish their
expectations of the nature and scope of information to be released in the
course of a formal consultation exercise;
; anticipate the most likely questions arising in a public involvement
exercise, preparing and publishing comprehensive Q’s and A’s;
; advise stakeholder organisations that they will be expected to disclose
their membership involvement, decision-making and governance as
relevant to an evaluation of their submissions to a consultation.
17
Principle 6 – FAIR INTERPRETATION – recommendations
INTRODUCTION
Information and viewpoints gathered through the Public Consultation Exercise (PCE)
have to be collated and assessed by the EIA Consultancy, and this task must be
undertaken objectively
Only in exceptional circumstances should the decision-makers themselves be
involved with primary assessment of the data, and the use of the EIA Consultancy as
external assessors has many advantages.
Where the EIA Consultancy uses weighting methods to assist in the assessment of
the Consultation exercise, this must be disclosed to participants and to decisionmakers relying on consultation findings.
THE ISSUE
Fair Interpretation places a strict burden on the EIA Consultancy to analyse and
interpret consultation output data objectively.
Clearly there are circumstances where the level of trust between the EIA Consultancy
and consultees is high, and where good relations exist between all parties. On
occasions, however, controversial proposals or a history of poor relationships can
result in considerable scepticism and, in extreme cases, a clear lack of confidence in
the impartiality of the consultor.
The MNE needs to be alert to these different scenarios and respond to this
standard by taking steps to ensure not only that data is fairly interpreted,
but that it is seen to be so interpreted.
RECOMMENDATIONS FOR EIA CONSULTANCIES
These recommendations are based on those of the RTPI:
; publish raw output data (e.g. public meeting minutes, focus group
reports, survey results etc) whenever appropriate;
; explain how the data will be analysed, and clarify the distinction between
analysis and interpretation;
; use established methods of analysis and statistically sound procedures;
; consider the involvement of trusted third parties, either to advise on the
analysis, to undertake the analysis, or to provide independent oversight
of the interpretation;
; discuss the need for independent verification with key stakeholders.
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Principle 7 – PUBLICATION – recommendations
INTRODUCTION
Participants in a Public Consultation Exercise (PCE) have a proper expectation that
they will see the outcome of the process. The EIA Consultancy should publish a
document - ‘Results of Public Consultation Exercise’ as quickly as possible in a form
accessible to the consultees. Later this document becomes an Annex to the EIA.
THE ISSUE
Publication and this refers both to the output of consultation as well as the eventual
outcome. This is the practical application of the over riding requirement of
transparency and is intended to ensure that everyone who takes part in community
involvement activities can see what happened as a result of their consultation.
The MNE should insist that it is not enough just to publish; the method
chosen must be such that those with a significant interest can easily access
the relevant information.
RECOMMENDATIONS FOR EIA CONSULTANCIES
These recommendations are based on those of the RTPI:
; decide upon a publication plan at the outset;
; publicise the publication plan as soon as the Public Consultation Exercise
(PCE) begins;
; select methods of publication which are appropriate for the participating
consultees and also for others with an interest in the issue;
; draw a clear distinction between the publication of the output and the
publication of the outcome. For output, it is helpful to indicate precisely
how the data was gathered, and to use consultees’ own submissions
whenever possible;
; avoid crude summaries of complex arguments advanced by
stakeholders;
; publish qualitative and quantitative analyses with explanations of the
methods used;
; show how the outcome of Public Consultation Exercise (PCE) has taken
account of the contributions made by stakeholders and others;
; post the publication of the PCE output and the publication of the PCE
outcome on the website of the EIA Consultancy
; also provide a facility for non-digital organisations and individuals to
obtain equivalent information.
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ANNEX – Downloadable Forms for Public Consultation
Here is a collection of useful resources which are available in a number of formats:
PCE – STRATEGY PLANNING FORM
For planning an overall community planning strategy incorporating varied methods.
Completed sample document (pdf) www.communityplanning.net/useful/docs/strategy_nopg_1000.pdf
Blank document (pdf)
www.communityplanning.net/useful/docs/strategy_planner.pdf
Blank editable document (rtf)
www.communityplanning.net/useful/docs/Strategy%20planner.rtf
PCE – WORKSHOP PLANNING FORM
To help plan a workshop. Suitable for most types of workshop.
Completed sample document (pdf)
www.communityplanning.net/useful/docs/workshop_test.pdf
Blank document (pdf)
www.communityplanning.net/useful/docs/workshop_planner.rtf
Blank editable document (rtf)
www.communityplanning.net/useful/docs/workshop_planner.rtf
PCE – EVENT PLANNING FORM
To help start shaping any kind of action planning event (or thinking through whether
one would be useful at all). Can be used in a workshop session after a presentation,
or as part of a training exercise.
Blank document (pdf)
www.communityplanning.net/useful/docs/action_planning_event_planner.pdf
Blank editable document (rtf)
www.communityplanning.net/useful/docs/Action%20planning%20event%20planner.rtf
PCE – ACTION PLANNING FORM
For use at workshops or meetings:
Completed sample document (pdf)
www.communityplanning.net/useful/docs/progress_monitor_ex.pdf
Blank document (pdf)
www.communityplanning.net/useful/docs/progress_monitor.pdf
Blank editable document (rtf)
www.communityplanning.net/useful/docs/Progress%20monitor%20ex.rtf
PCE – PROGRESS MONITORING FORM
For summarising the outcome of community activity and planning the next steps:
Completed sample document (pdf)
www.communityplanning.net/useful/docs/progress_monitor_ex.pdf
Blank document (pdf)
www.communityplanning.net/useful/docs/progress_monitor.pdf
Blank editable document (rtf)
www.communityplanning.net/useful/docs/Progress%20monitor%20ex.rtf
PCE – EVALUATION FORM
For evaluating most kinds of community planning activity. Can provide insights on
impacts, participants' perceptions and improvements needed. Customise to suit.
Circulate to a range of participants or use as a basis for an interview or workshop
agenda. Repeating the exercise at intervals may be worthwhile as the impact of
activity will often not become clear for many years.
Blank document (pdf)
www.communityplanning.net/useful/docs/evaluation_form.pdf
Blank editable document (rtf)
www.communityplanning.net/useful/docs/Evaluation%20form.rtf
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ANNEX – Downloadable Checklists for Public Consultation
These checklists can be downloaded as Rich Text documents which you can edit.
PCE – Checklist of EQUIPMENT AND SUPPLIES
An overall checklist of items which may be helpful for planning activities.
www.communityplanning.net/useful/docs/Equipment%20and%20supplies.rtf
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Banners and directional signs with fixings
Base maps and plans of the area at different scales
Base model with movable parts
Bell or whistle (to announce meetings etc)
Blackboard and chalk
Blackout curtains
Blu-tack
Blackout curtains
Box files
Digital camera with wide-angle, telephoto, flash and close-up facility
Cardboard or polystyrene (for model making)
Catering (cups, plates, cutlery, napkins, urn, kettle etc.)
Chairs (stackable?) and stools
Chalk (different colours)
Clipboards
Clock with alarm (for timing speakers)
Cocktail sticks (for use with model)
Compasses
GPS
Laptop + battery charger
Computer projector and screen
CDs and CD writer
Flashsticks
laser printer and toner
Correction fluid
Cutting knives, mats, metal edge and spare blades
Desks
Dictating and transcribing equipment
Drawing boards or drawing tables
Easels and pads (24”x 30”)
Erasers
Exhibition facilities
Extension cables
Filing trays
Flipcharts (with non-squeaky pens)
Food and drink
Hole punches
Layout pads (grid marked with non-repro blue ink)
Lighting, including desk lighting
Lock-up for valuable equipment
Name badges (or blank sticky labels)
Overhead or opaque projectors with transparency film and markers
A4 & A2 sketch pads
A4 writing pads (lined)
tracing (white and yellow)
A5 note pads
flipchart pads
Paperclips
Paper trimmer or guillotine
Pencils: normal; coloured
felt-tips in bright colours and grey tones (different sizes);
fibre-tipped with medium and fine tips
ball points (black and red)
highlighters
Photocopier with enlarging/reducing facility (with rapid repair service)
Photocopier paper, toner etc
Pin board or pin-up wall
Pins - different colours:
drawing pins
stick pins
Pocket notebooks (for shirt pockets)
Pointer stick for presentations (1 metre)
Post-its (different sizes and colours)
Power outlets
Pritt-sticks
Public address system with microphones on stands and roving
Ring binders (A4)
Rubber bands
Rubbish bags
Rulers and scale rulers
Scissors
Shelving and filing space
Staples and staple extractors
Sticky dots (many colours)
masking tape
magic tape
heavy duty tape
Tape recorder and cassettes
Mobile phone and normal phone access
Toilet paper
Waste bins and garbage bags
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PCE – Checklist of WHO TO INVOLVE
Who to involve
A checklist of people and organisations who might need to be involved in any
community planning initiative.
Customise your own checklist.
Checklist
www.communityplanning.net/useful/docs/Who%20to%20involve.rtf
PCE – Checklist of NEIGHBOURHOOD SKILLS
A checklist of skills for finding out what talent exists in a community.
Use it to compile your own survey form. Illustrate it if you want.
Then distribute it round the neighbourhood and help people fill it in.
Checklist
www.communityplanning.net/useful/docs/Neighbourhood%20skills%20survey.rtf
PCE – Checklist of COMMUNITY PLAN
A checklist of items that might be considered in a community plan or master plan.
Customise and structure your own checklist.
Checklist
www.communityplanning.net/useful/docs/Community%20plan%20content.rtf
PCE – Checklist of INITIATIVES NEEDED
A checklist of general policy initiatives that may help make community planning
more effective.
Customise to suit Mongolia, place and circumstances.
Checklist
www.communityplanning.net/useful/docs/Initiatives%20needed.rtf
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ANNEX – Downloadable Public Consultation Requirements
Internet links are given below to examples of international donors’ requirements for
Public Consultation for donor projects for which EIAs are required by the donor.
However it should be noted that in most cases an EIA should still be conducted by an
Approved EIA Consultancy and submitted to the MNE for decision-making. This is
because the requirements of international donors are quite different from those of
Mongolian legislation and regulations at present. Furthermore an issue of sovereignty
is involved and clarification is desirable.
ADB GUIDELINES
The Asian Development Bank (ADB) has guidelines for Public Consultation for those
categories of ADB projects that require an EIA:
www.adb.org/Documents/Guidelines/Environmental_Assessment/Public_Consultation_Information_Disclosure.pdf
EBRD GUIDELINES
The European Bank of Reconstruction and Development (EBRD) has guidelines for
Public Consultation for those categories of EBRD projects that require an EIA:
www.ebrd.com/enviro/tools/scoping.pdf
IFC GUIDELINES
The International Finance Corporation (IFC) of the World Bank Group has guidelines
for Public Consultation for those categories of IFC private sector development
projects that require an EIA:
www.ifc.org/ifcext/enviro.nsf/AttachmentsByTitle/pol_ESRP2006/$FILE/ESRP2006.pdf
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ANNEX – Techniques to Obtain Opinions
The following techniques are based on case studies in Public Consultation Exercises
(PCEs) in many countries. Those marked
;
seem most relevant to Mongolia.
EXAMPLE OF TECHIQUES USED
;
;
;
;
;
;
;
;
;
;
;
Focus Groups (small representative groups of the public)
Exhibitions in public places (markets, sports centre)
Public meetings
Media involvement to raise awareness
An information office with trained staff to explain proposals to the public
Training in environmental issues to help the public form an opinion
Visits to similar sites or installations
Leaflets to distribute in public places
Sending out summary documents in simple language
Participating in local events such as carnivals by having an exhibition
Using community groups
One to one meetings
;
;
;
;
Send a questionnaire to interest groups
Going to local meeting places
‘Brainstorming’ sessions with the public (ideas are shouted out one by one and
analysed more slowly afterwards)
Brochures with questions in the back that the public can send by post
Write up case studies in newsletters to encourage best practice
;
;
;
Independent experts offer advice to the public so they can form an opinion
Use people trained in public consultation techniques
Internet websites to provide information and allow comments to be made
Special theme days to raise awareness
;
Hold a slide show with questions and answers afterwards
Open Parliamentary meetings to generate trust
Use games to encourage public consultation
;
Hold introductory talks about the proposal
Use workshops to get opinions
Competitions with prizes to raise interest
Use local people to get the public’s opinions
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ANNEX – Common Problems in Public Consultation
The following problems are commonly encountered in Public Consultation Exercises
(PCEs) in many countries. Those marked
:
seem most relevant to Mongolia.
EXAMPLE OF PROBLEMS
:
:
:
:
:
:
PCEs do not automatically lead to consensus
People can be cynical about PCEs
People may only be interested in PCEs if they feel threatened
PCEs may slow down the decision
PCEs costs money
Agencies can be cynical about PCEs
ANNEX – Common Errors in Public Consultation
The following errors are commonly encountered in Public Consultation Exercises
(PCEs) in many countries. Those marked
:
seem most relevant to Mongolia.
EXAMPLE OF ERRORS
:
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PCEs hijacked by politicians – low response, skewed and distrust
Sending out summary documents in complicated language – no response
Incomplete disclosure of information – skewed response and distrust
Poorly designed questionnaires – garbage in = garbage out!
PCEs failed to take account of needs of the disabled – excluded
PCEs failed to take account of needs of low literacy groups – excluded
PCEs failed to take account of needs of women – excluded
Staff not trained in public consultation techniques – chaos and uncertainty
Internet websites too ‘smooth’ – public assume decision already taken
Untrained presenter of slide shows and meetings – increases distrust
Poor maps of area of the proposal – confusion and distrust
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