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Calabash Research and Compilation of Public Participation Templates for Terms of Reference Related to Environmental Assessment and

Public Participation (EA/PP) in the SADC Region

A Project of the Southern African Institute

for Environmental Assessment SAIEA

Photo: Helge Denker

http://www.saiea.com/calabash/images/html/tor_report.pdf

http://www.saiea.com/calabash/images/html/tor_report.pdf

Calabash Terms of Reference for PP

SCOPE

Title: Research and Compilation of Public Participation Templates for Terms of Reference Related to Environmental Assessment and Public Participation (EA/PP) in the SADC Region

Date: March 2005

Prepared by:

Address: Office No06, The Gables, Ezulwini, Swaziland P.O. Box 233, Siphofaneni, Swaziland Phone: +268 – 4163544 Fax: +268 – 4163493 e-mail: [email protected]

Scope: Develop 3 Terms of Reference templates for a public participation programme as part of an EA/SEA/EIS for use by a regulator, proponent or practitioner.

Ensure that the templates can be applied to a linear EA, a

point EA and a regional SEA.

Acknowledgments: The following people are gratefully acknowledged for assisting with this research.. SAIEA thanks you for your time, interest and knowledge contributed to this work. o Steve J. Woodburne for compiling this document and the research

he has undertaken in respect of it. o Themba Phakathi and Dr Marcus Wishart for their valuable

contribution towards the text of this document o Rex Brown for his contribution towards the environmental

assessment process aspects of this study.

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1 LIST OF ACRONYMS

APPA Appreciative Participatory Planning and Action

AfDB African Development Bank

CBNRM Community Based Natural Resource Management

CMP Comprehensive Mitigation Plan

DWAF Department of Water Affairs

EA Environmental Assessment

EIA Environmental Impact Assessment

EIS Environmental Impact Statement

EMP Environmental Mitigation Plan

EPPCA Environmental Protection and Pollution Control Act

EPA Environmental Protection Act

GIS Geographic Information Systems

IAIA International Association for Impact Assessment

IAPS Interested And Affected Parties

IAPP International Association for Public Participation

IFC International Finance Corporation

IMS Information Management Systems

PLA Participatory Learning and Action

PP Public Participation

PRA Participatory Rural Appraisal

SADC Southern African Development Community

SAIEA Southern African Institute for Environmental Assessment

SIA Social Impact Assessment

SEA Strategic Environmental Assessment

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TABLE OF CONTENTS

1 LIST OF ACRONYMS ............................................................................................................................... 2

TABLE OF CONTENTS ..................................................................................................................................... 3

2 INTRODUCTION ....................................................................................................................................... 6

2.1 BACKGROUND........................................................................................................................................ 6 2.2 TERMS OF REFERENCE ........................................................................................................................... 6

3 APPROACH AND METHODOLOGY ..................................................................................................... 7

4 BEST PRACTICE FOR DRAFTING TERMS OF REFERENCE FOR PUBLIC PARTICIPATION IN ENVIRONMENTAL ASSESSMENT ........................................................................................................... 9

4.1 INTRODUCTION ...................................................................................................................................... 9 4.2 USING THESE GUIDELINES..................................................................................................................... 9 4.3 WHAT ARE TERMS OF REFERENCE? ..................................................................................................... 10 4.4 PURPOSE .............................................................................................................................................. 10 4.5 HOW TO WRITE THE TERMS OF REFERENCE ......................................................................................... 10

4.5.1 What should Terms of Reference Say?............................................................................................ 10 4.5.2 Contents and format ....................................................................................................................... 10

4.5.2.1 Introduction and Project Background.....................................................................................................11 4.5.2.2 Project Participation Requirements ........................................................................................................12 4.5.2.3 Project Area of Influence .......................................................................................................................12 4.5.2.4 Scope of Work .......................................................................................................................................12 4.5.2.5 Qualifications of the Consultant.............................................................................................................13 4.5.2.6 Deliverables ...........................................................................................................................................14 4.5.2.7 Cost, Schedule and Payments ................................................................................................................14 4.5.2.8 Project Authorities .................................................................................................................................15

4.6 TERMS OF REFERENCE FOR SPECIALIST STUDIES ................................................................................ 15

5 PUBLIC PARTICIPATION TERMS OF REFERENCE TEMPLATES FOR AN EIA OF: A POINT PROJECT, A LINEAR PROJECT AND A REGIONAL SEA PROGRAMME.......................................... 16

5.1 INTRODUCTION .................................................................................................................................... 16 5.2 GENERIC TERMS OF REFERENCE FOR PUBLIC PARTICPATION OF LINEAR ENVIRONMENTAL

IMPACT ASSESSMENT PROJECTS .................................................................................................................... 18 5.2.1 Introduction .................................................................................................................................... 19 5.2.2 Project Background ........................................................................................................................ 19 5.2.3 Project Participation Requirements ............................................................................................... 20 5.2.4 Project Area of Influence................................................................................................................ 20 5.2.5 Scope of Work ................................................................................................................................. 20

5.2.5.1 Task 1: Undertake a Stakeholder Analysis.............................................................................................21 5.2.5.2 Task 2: Undertake a Social Resource Survey.........................................................................................21 5.2.5.3 Task 3: Prepare a Public Participation Plan ...........................................................................................22

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5.2.5.4 Task 4 Development of a Public Participation Plan ...............................................................................24 5.2.5.5 Task 5 Implement Public Participation Plan ..........................................................................................25 5.2.5.6 Task 6: Determination of the Potential Social Impacts of the Proposed Project ....................................25 5.2.5.7 Task 7: Identification of Institutional Needs to Implement the environmental mitigation

recommendations ......................................................................................................................................................26 5.2.5.8 Task 8 Monitoring and Evaluation of the PP Process ............................................................................26

5.2.6 Qualifications of the Consultant ..................................................................................................... 26 5.2.7 Deliverables.................................................................................................................................... 27 5.2.8 Cost, Schedule and Payments ......................................................................................................... 27 5.2.9 Project Authorities.......................................................................................................................... 27

5.3 GENERIC TERMS OF REFERENCE FOR POINT EIA PROJECTS.......................................................... 28 5.3.1 Introduction .................................................................................................................................... 28 5.3.2 Project Background ........................................................................................................................ 28 5.3.3 Project Participation Requirements ............................................................................................... 29 5.3.4 Project Area of Influence................................................................................................................ 29 5.3.5 Scope of Work ................................................................................................................................. 29

5.3.5.1 Task 1: Undertake a Stakeholder Analysis.............................................................................................30 5.3.5.2 Task 2: Undertake a Social Resource Survey.........................................................................................30 5.3.5.3 Task 3: Prepare a Public Participation Plan ...........................................................................................31 5.3.5.4 Task 4: Development of a Participation Plan .........................................................................................33 5.3.5.5 Task 5: Implement Public Participation Plan .........................................................................................34 5.3.5.6 Task 6: Determination of the Potential Social Impacts of the Proposed Project ....................................34 5.3.5.7 Task 7:Identification of Institutional Needs to Implement the environmental mitigation

recommendations ......................................................................................................................................................34 5.3.5.8 Task 8: Monitoring and Evaluation of the PP Process ...........................................................................35


5.4 GENERIC TERMS OF REFERENCE FOR REGIONAL SEA.................................................................... 36 5.4.1 Introduction .................................................................................................................................... 39 5.4.2 Background to Policy, Programme or Plan.................................................................................... 39 5.4.3 Participation Requirements ............................................................................................................ 39 5.4.4 Area of Influence............................................................................................................................. 40 5.4.5 Scope of Work ................................................................................................................................. 40

5.4.5.1 Task 1: Review of the policy, programme, or plan ................................................................................40 5.4.5.2 Task 2: Undertake a Stakeholder Analysis.............................................................................................41 5.4.5.3 Task 3: Deciding the scope of PP and developing alternatives ..............................................................41 5.4.5.4 Task 4: Prepare a Public Participation Plan ...........................................................................................41 5.4.5.5 Task 5: Implement Public Participation Plan: ........................................................................................44 5.4.5.6 Task 6: Determination of the Potential Impacts of the policy, programme, or plan...............................44 5.4.5.7 Task 7: Prepare a PP SEA Report ..........................................................................................................45 5.4.5.8 Task 8: Public review of the SEA report for the policy, programme or plan .........................................45 5.4.5.9 Task 9: Monitoring and Evaluation of the PP Process ...........................................................................45

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6 CONCLUSION: ......................................................................................................................................... 47

7 LIST OF REFERENCES......................................................................................................................... 48

ANNEXES........................................................................................................................................................... 50

ANNEX 1: EIA LEGISLATIVE REQUIREMENTS FOR SADC COUNTRIES .............................................................. 50 ANNEX 2: LITERATURE REVIEW........................................................................................................................ 50 ANNEX 3: MODEL FOR PUBLIC PARTICIPATION................................................................................................. 50 ANNEX 4: INSTRUCTIONS FOR THE COMPILATION OF TERMS OF REFERENCE.................................................... 50

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2 INTRODUCTION

2.1 BACKGROUND

The process of Environmental Impact Assessment (EIA) and Strategic Environmental Assessment (SEA) are recognised as two of the key tools in support of sustainable development. The ultimate objective of the EIA/SEA is to ensure that government decision-makers and/or private sector proponents are provided with information and indications as to the likely consequences of project activities (Wathena, 1988). In Africa, the introduction of requirements for projects (including policies, programmes and plans) to undertake an EIA or SEA has historically been driven by the international donor agency. Over the past decade however most of the Southern African Development Community (SADC) member states have made significant progress in the development of legislation and local tools introducing formal systems for the implementation of EIA and SEA.

The evolution of EIA and SEA has provided an avenue through which stakeholders are afforded the opportunity to engage a government and/or private sector proponents in the decision-making process. While some view such participation as a necessary moral responsibility of the decision-making process, effective participation has the added advantage of being able to impart a sense of project ownership and improve development outcomes as a result. Used effectively, Public Participation (PP) is able to harness the skills and enthusiasm of the public, leading to better decisions. The process of Public Participation does not itself guarantee that everyone will be happy with a decision, but can ensure that individuals are given the right to voice their grievances and needs so that these are considered during the decision-making process.

The extent of Public Participation required within an EIA or SEA in the SADC region varies from country to country. Some member states offer greater opportunities for engagement than others in an effort to promote democratic reform and good governance (SAIEA, 2003). Recognising this, the Southern African Institute for Environmental Assessment (SAIEA) is undertaking a project over two years to enhance civil society participation in decision-making in Southern Africa called the Calabash Project. The objective of the Calabash Project is:

The capacity of, and opportunity for, civil society in Southern Africa to effectively contribute to decision-making related to sustainable development in SADC through meaningful public participation in EA is recognized, respected, and enhanced.

2.2 TERMS OF REFERENCE

In order to develop a uniform approach to engaging communities based on best practice and conceptualised within the realities of the Southern African condition, the SAIEA commissioned Create Swaziland to undertake the Research and Compilation of Public Participation Templates for Terms of Reference Related to Environmental Assessment and Public Participation (EA/PP) in the SADC Region. The objectives of this assignment are to:

1. Develop 3 Terms of Reference templates for a public participation programme as part of an EIA for use by a regulator or proponent.

2. Ensure that the templates can be applied to a linear EIA, a point EIA and a regional SEA.

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The Terms of Reference for the assignment include the following tasks:

1. Prepare a SADC-wide distribution list (with names and addresses/email etc. of senior contacts) of government agencies, CBNRM organizations, conservancies, community based organizations, non-governmental organizations, industry and industry associations that should receive information about the Terms of Reference templates.

2. Develop a “model” of best practice for PP in EA from which the templates can be developed. The model should contain, but not be limited to, such PP topics as:

• Managing PP process

• Identifying issues

• Identifying interested and affected parties

• Identifying consultation area

• Identifying and addressing issues

• Managing PP communications

• Managing media relations

• Managing disputes and conflicts

• Managing cross cultural issues

• Working with proponent, regulator and public

• Reporting PP effectively

• Managing information availability

• Managing biodiversity issues for sustainable use

3. Prepare 3 Terms of Reference templates: one each for an EIA of a point project, a linear project and a regional SEA programme

4. Prepare set of recommendations of what would constitute best practice for drafting terms of reference for a public participation programme from the perspective of a regulator and a proponent

5. Prepare a list of key informants involved in the template development work who could be invited at a later date to a project review workshop.

3 APPROACH AND METHODOLOGY

The SAIEA has prepared a Situation Assessment of Participation of Civil Society in Environmental Assessment in Southern Africa (SAIEA, 2003). This provided the contextual framework for the development of the Terms of Reference templates. Relevant consideration was given to existing legislative requirements in each of the SADC member states. This was done through review and assessment of the country reviews published by the SAIEA. Contact was made with key individuals in

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some of these countries for more detailed information. Annex 1 provides an overview of EIA legislative requirements for the SADC member states.

In keeping with the international standards, the diagram in Figure 3.1 below was used as a generic format to guide the approach used in developing Public Participation methodologies as part of the EIA process.

Figure 3.1: An example of Public Involvement in an EIA engagement process

Other key documents from international agencies, such as the World Bank (WB), International Finance Corporation (IFC), the African Development Bank (AfDB) and the International Association for Impact Assessment (IAIA), and Public Participation Guidelines for Stakeholders in the Mining Industry(Golder 2002), United Nations Convention on Biological Diversity, were reviewed, along with existing conventions, such as the Aarhus Convention and the United Nations Convention on Biological Diversity and subsequent publications, to provide broader context. An overview of literature reviewed is provided in Annex 2.

From this review commonalities, requirements and best practices have been synthesised to assist in the development and definition of a generic template and formation of a model that can be used in

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SADC countries by desk officers and other persons tasked with the development of Terms of Reference for practitioners engaged in public participation as part of an EIA process.

4 BEST PRACTICE FOR DRAFTING TERMS OF REFERENCE FOR PUBLIC PARTICIPATION IN ENVIRONMENTAL ASSESSMENT

4.1 INTRODUCTION

As a result of a perceived lack of capacity in many SADC countries to prepare Terms of Reference (TORs) for Public Participation in Environmental Assessment, these guidelines have been prepared.

They are designed to assist you in the preparation of TORs for public participation related activities by providing best practice recommendations for drafting TORs.

By outlining the general principles surrounding the use of TORs, we hope you will have a clearer idea of “how-to” set about the task of writing them. You will be able to do the writing-up task more efficiently and effectively. In turn, the project team that uses your terms of reference should operate more productively.

There are two weaknesses in the practice of formulating the TORs. The first is lack of information about the proposed project or activities because the project proponent does not provide information about the project. The second is the perceived over-formality in the procedures employed in gathering the data and information.

By following these guidelines, the intention is that any Proponent tasked with preparing TORs for a public participation process linked to an EIA, will be able to confidently prepare TORs to enable consultants or other service providers to prepare sound and technically competent proposals.

4.2 USING THESE GUIDELINES

These guidelines are not prescriptive: they are written to assist those who may be given the task of drafting Terms of Reference for any participation project related to an EIA.

The guidelines are designed to assist people who are doing the work, not necessarily those who know what they want to get done.

There are three parts to these guidelines:

• the “how to” section for the people actually drafting the Terms of Reference;

• an evaluation section which is designed for the project team which will actually do the work of the assignment; and

• a sample Terms of Reference for three types of EIA projects: Point. Linear, SEA

Even if you are experienced in preparing or working with Terms of Reference, reading the guidelines will help you to frame Terms of Reference in the future.

While flexible, with enough detail, Terms of Reference can help define the project to be undertaken and as such become a pre-plan or indeed an initial project plan, ensuring an increasingly clear outcome that in turn enhances project productivity.

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4.3 WHAT ARE TERMS OF REFERENCE?

Terms of Reference are a phrase that has evolved to cover many things. Terms of Reference are the “Scope allowed to persons conducting an enquiry of any kind” (New Oxford Dictionary).

Thus, TORs articulate the extent of the proposed investigation, and a review of anomalies. Particularly in the public sector, TORs have come to be used in almost a generic sense to cover the base document used as a guide for a wide range of activities.

TORs are employed by a variety of groups including consultants, committees and researchers or reviewers.

4.4 PURPOSE

Terms of Reference are a contractual document against which contractors, consultants and proponents have to operate. They are the yardsticks against which the success of an assignment or mission will be measured. They form an attachment to the contract for the consultants and contractors selected to undertake the mission or assignment.

The purpose of the Terms of Reference document is to:

• Provide the rationale for the activities that will be undertaken by an individual or a team;

• Detail the activities required and the time-scale over which they are to be completed; and

• Detail the professional requirements of the individual or team.

4.5 HOW TO WRITE THE TERMS OF REFERENCE

4.5.1 What should Terms of Reference Say?

Terms of Reference need to state clearly and specifically the permitted and/or possible extent to which an investigation may reach. Thus, the TORs should enable a project team to:

• Set boundaries on the project;

• Know what is and isn’t within their jurisdiction;

• Understand the context in which the TORs have been framed;

• Have a clear idea of where they should begin; and,

• Have a clear idea of outcome/product.

4.5.2 Contents and format

These guidelines suggest a common format for terms of reference, regardless of the task, assignment or stage in the activity cycle to which they refer. The format may need to be amended for specific purposes and the Proponent should not feel constrained to do this.

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The content of a TOR document usually include the following sections:

1. Introduction

2. Project Background

3. Project Participation Requirements

4. Project Area of Influence

5. Scope of Work

6. Qualifications of the Consultant

7. Deliverables

8. Cost, Schedule and Payments

9. Project Authorities

4.5.2.1 Introduction and Project Background

This section provides a briefing on the history and rationale of the assignment and places it in the context of the sector, program or project to which it relates. It should start with a preliminary paragraph something like this:

‘This terms of reference document has been prepared for carrying out <assignment name> in relation to <activity name> in <location>.’

This section will vary in length from a few paragraphs to up to two pages. It should provide a brief history of the project to date. This should state in brief the stages that the project has already been through and should give key dates. It should clearly state the stage of the cycle that the project or activity is in and provide detailed background of recent achievements, opportunities and problems. The assignment should be placed within the context of these recent events.

This section should also present guiding principles and core values for participation. These will ensure that the project, its proponents and the responsible decision-makers along with stakeholders all have a common understanding of the “operating rules”. There are numerously defined principles or values within the literature and implemented in practice. These should be viewed as a point of departure from which projects should build upon in developing their own specific vision and guiding principle. Four cornerstone values upon which sound PP practice is founded are the following:

1. Public must be engaged and

2. Have access to and be presented with all information - transparency

3. Flexibility, adaptive management processes, responsive to stakeholders

4. Accountability

The International Association of Public Participation identifies the following “Core Values for the Practice of Public Participation” (IAPP, 2003):

1. The public should have a say in decisions about actions that affect their lives.

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2. Public participation includes the promise that the public’s contribution will influence the decision.

3. The public participation process communicates the interests and meets the process needs of all participants.

4. The public participation process involves participants in defining how they participate.

5. The public participation process provides participants with the information they need to participate in a meaningful way.

The public participation process communicates to participants how their input affected the decision.

4.5.2.2 Project Participation Requirements

The purpose of this section is to specify clearly and concisely the objectives and requirements of the assignment. In other sections of this document, guidance is given on the tools and methods of participation and the Proponent is urged to read these to gain a board understanding of how consultation and participation can be undertaken.

There is a wide range of objectives for public participation assignments depending on the sensitivity of the project being subjected to an EIA.

4.5.2.3 Project Area of Influence

The purpose of this section is to provide the recipient of the TORs a clear overview of the project’s area of influence. This may be a defined geographic area and or specified range of stakeholders to be consulted.

Maps and background information on the stakeholders will facilitate a better understanding of the required scope of work and conceptualise the project in terms of the participatory needs of the EIA.

4.5.2.4 Scope of Work

The purpose of this section is to provide a detailed description of the tasks required of the individual or team and the outputs required from the assignment.

This is the section that specifies in some detail just what the individual consultant or team is expected to do. As the scope of an assignment can be very variable, the Proponent may find it appropriate not to specify in too much detail the activities that are expected during the assignment, e.g. where there is a significant element of fact-finding.

In general terms, however, consultants and teams respond better to a more detailed definition of their assignments, bearing in mind that the more detailed a scope of services is the less flexibility an individual or team will have to respond to circumstances in the field.

The specification of assignment scope is probably the most difficult part of writing Terms of Reference. A number of suggestions are made in this regard:

• Use a chronological approach to specifying what must be done. For an EIA study this might include a preparatory stage, a stage of consultation at the national level, a field or data collection stage, a consolidation and wrap-up stage, a writing stage and a report finalisation

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stage. These stages could be further distilled into preparation, consultation, assessment and activity formulation stages.

• Identify specific technical tasks and assessments that are required during the assignment. Specific sectoral issues for exploration and assessment will need to be mentioned, as will the crosscutting issues gender, environment, human rights and governance. Institutional, financial, economic, cultural and social perspectives also should be mentioned. The scope should refer where relevant to the identification of risks and or the assessment of risk management strategies. Similarly, reference should be made to the identification and analysis of the factors that are likely to influence sustainability, and to an assessment of the sustainability strategy; and

• Specify the outputs required. For written outputs the scope should refer wherever possible to guidelines and formats provided by the Proponent. In some cases the output will be another terms of reference, in others a project design document or a review report.

4.5.2.5 Qualifications of the Consultant

The purpose of this section is to specify the professional requirements of the individual and/or team for the assignment including required experience, skills and qualifications. There are two broad approaches to establishing the requirements for an individual or team in terms of reference:

• A skills or attributes approach in which the skills and other qualities required of a team are specified but not either the number or composition of the team; and

• A duties approach in which individual team members are identified by title within the team, and specific duties laid out for them.

The attributes approach broadly corresponds to the use of outputs style contracts. In many cases, in theory at least, the Proponent is not as concerned with who is to undertake which tasks as long as a team can adequately demonstrate (through proposal or bidding) that it can produce the outputs required. The attributes approach is relevant to projects for which contractors are asked to put forward a whole team.

However, the Proponent might wish to make conditions on which professional area undertakes leadership of a team. It might also wish to specify that certain levels of seniority or academic qualification are present in certain professional areas. It might also wish to specify that young professionals are included in a team and may do that by indicating which professional tasks it would be appropriate for young professionals to undertake.

The Proponent, in writing the TORs, may wish to ensure adequate attention to gender balance in teams.

The duties approach, by contrast, will specify:

• The exact number of team members and their required qualifications, experience and other attributes;

• The period of time of engagement for each team member;

• The exact duties each member will be required to undertake; and

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• The relationship between the team member and other team members (e.g. in terms of who is to lead whom).

In many cases, the attributes approach is more appropriate as it leaves the exact composition of the team, and who does what up to the individual team leader or contractor. This can result in a more flexible team in which the team leader can get the best out of each team member. Conversely it can also result in mismatched teams if the scope of services is unclear or if the selection procedure results in a less than ideal team.

The duties approach is appropriate to cases where individuals are contracted separately to form a team. If a duties approach is utilised it is important to remember that the sum of all the duties required of different individuals must add up to the total scope of the mission. It is also important to clearly differentiate the duties required of different individuals and to ensure that overlap between team members is minimised.

A hybrid approach to establishing team requirements is also possible. This would see a varying degree of flexibility given to the team leader or contractor.

If partner government personnel are to be involved in the project or participation their roles should be specified. Ensure that crosscutting issue responsibilities are allocated if appropriate (gender, environment, population, poverty, governance).

4.5.2.6 Deliverables

The purpose of this section is to specify the written outputs of the assignment. This section is provided so that the reporting requirements are clearly stated in one place. Usually reporting requirements are referred to in the scope of assignment.

However it is useful to recapitulate these in one clear, concise section. In many cases the acceptance of reports is the trigger for payment of consultants. The TOR should state the need for clarity, brevity and usefulness in reports. It should also specify the dates when reports are due, the number of copies required and the team member responsible for coordination of the report preparation (usually the team leader).

4.5.2.7 Cost, Schedule and Payments

The purpose of this section is to specify the costs, timescale and proposed payment modalities for the assignment with a clear statement of deadlines and milestones to be achieved.

Good public participation costs money, but poor public consultation can cost a lot more. The cost of public participation is driven, for example, by:

• The level of effort that will be required, that is, a combination of the scale of anticipated impacts, the scale of sensitivity of the receiving environment and, most important, the scale of public sensitivity.

• The number of interested and affected parties who need to be consulted. Where a National Park, Ramsar Site or World Heritage Site is involved, the stakeholder base will be international; where the predicted impacts are small and the project to be established is in an already developed area and would not cause cumulative impacts, the stakeholder list would be much smaller; where the project is linear (e.g. a new long conveyor), more stakeholders would be involved.

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• The number of iterations or feedback loops that will be required for stakeholders to verify that their issues have been captured and addressed. Where there has been past lack of trust in government or in the proponent or recent negative press, more iterations will be required (i.e. more meetings or discussion documents).

• The degree of empowerment required. Where local stakeholders are not familiar with mining or industrial processes, changes in legislation and/or their environmental rights, more capacity-building efforts are required.

• Whether the process can be conducted in one language only, or whether more than on language can be used, thus incurring translation costs.

• Whether independent review is required. Apart from the actual cost of the review, the public participation process will require additional iterations.

The budget should allow for expenditures such as hiring consultants, conducting meetings and workshops and producing, translating, printing and distributing written material. As a very rough guide and depending on the number of stakeholders involved, the number of languages to be used and the rates of the consultants employed, the processes shown below, and could in 2002 terms and in South African Rand, cost:

VERY LOW sensitivity project: as little as R10 000.

LOW sensitivity project: between R20 000 and R35 000.

MEDIUM sensitivity project: between R70 000 and R150 000.

HIGH sensitivity project: between R250 000 and R370 000.

VERY HIGH sensitivity project: up to R1 million or more.

It is important to note that between 40 and 50% of the cost of a public participation process represents direct disbursements such as venue hire, catering, copying of documents, mailing, transport and accommodation costs etc.

4.5.2.8 Project Authorities

This section informs the Consultant where, when and to whom proposals should be delivered and the conditions associated with the proposal e.g. CVs of staff, official documentation relating to the company, statements of competence.

4.6 TERMS OF REFERENCE FOR SPECIALIST STUDIES

This section provides a summary of elements to be included in a Terms of Reference for Specialist Studies, which can be adapted for the Public Participation Process.

The specialist should be given:

The background to, and description of the proposal.

Maps (or map references) of the affected area.

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Parameters within which alternatives should be considered throughout the specialist study (to meet the proposal’s objectives, taking into account opportunities and constraints of the affected environment), and/or a range of reasonable alternatives already identified by the proponent.

Issues raised by IAPs during scoping (if appointed after scoping), of relevance to the specialist. A list of the IAPs should be given to the specialist, to ensure that key parties with responsibility for, and/or stake in biodiversity, have been given the opportunity to participate.

Terminology to be used by all specialists involved in the EIA, to ensure consistency and comparison of findings, as well as criteria to be used in the assessment and to determine potential significance of impacts. Criteria for assessment commonly include: spatial scale [e.g. site-specific, local, regional, national, global], time scale or duration [short term, medium term, long term, permanent/irreversible/ irreplaceable] and magnitude or severity of impacts [very low to very high at that spatial scale and for that duration]. These criteria must be clearly defined (e.g. ‘short term’ means during construction, ‘local’ means at the scale of the local community, etc). The probability of an impact occurring should also be recorded in the assessment methodology, as well as the degree of confidence that informed the specialists’ assessment of an impact. Assessment methodologies should provide for evaluation of impacts, expressed as “significance”.

Instructions about liaising with other specialists undertaking related studies which are either dependent on the findings of, or will provide essential information for, this study.

Instructions regarding the format, structure and timing of reporting.

The specialist, within his/her specific area of expertise, should be asked to consider impacts on all relevant levels of biodiversity, from landscape or ecosystem (with emphasis on threatened ecosystems or habitat), to communities, to species (with emphasis on endemics and known threatened species) to genetic variability (usefully measured in terms of numbers of different viable populations).

5 PUBLIC PARTICIPATION TERMS OF REFERENCE TEMPLATES FOR AN EIA OF: A POINT PROJECT, A LINEAR PROJECT AND A REGIONAL SEA PROGRAMME

5.1 INTRODUCTION

These generic guidelines have been prepared to assist a project proponent in the preparation of Terms of Reference to design and implement a participation process that itself is connected to an environmental assessment process. The TOR invites suitably qualified consultants to tender for the provision of services related to implementing a participation and consultation strategy.

Experience has shown that the Proponent will only get back information he has specifically called for. If the TORs are vague or unclear, the quality of proposal received will also be vague and unclear. It is therefore incumbent upon the author of the TORs to have a clear understanding of the EA process, the project and the PP process. The author should make every effort to have the TORs reviewed by technical specialists in PP prior to issuing the TORs to Consultants. This way, a better quality of proposal will be received and budgets (time and money) are better estimated to meet the needs of the project.

Proponent often misunderstands the cost of undertaking a PP process within the ambit of an EA. In some cases, the TORs issued for a PP result in proposals being way over the budget allocated by the

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Proponent. It is therefore very important that the author can associate costs for activities called for to ensure proposals received (or work called for) match the available resources of the Proponent.

A sound public participation process requires a clear definition of the activities, an objective and a series of public activities connected with the several phases of the EIA and project development process. Annex 4 provides a Model for Public Participation, outlining important aspects to be taken into consideration when developing a PP Process.

The objective of a public participation process is to develop informed, visible, majority public understanding, acceptance and support for a valid project proposal. Without a good information base, citizens cannot arrive at sound and lasting views on an issue. Their views need to be expressed, or others will claim the support of the silent majority. After an effective participation process, most people should understand the issues and the alternative solutions; while some may disagree with a proposal, others will accept it (perhaps reluctantly), and others will actively support it.

These TOR in section 5.2 do not address the technical requirements of the wider environmental assessment but focus solely on engaging stakeholders in the decision-making process for the environmental assessment. However, it is important that the Proponent is familiar with the activities called for by the regulator of the environmental consultants to ensure close integration of all assessment related activities.

The stakeholder participation process usually starts at the very beginning of the environmental assessment process and its aim is the identification of environmental issues and concerns likely to be significant and their inclusion in the overall environmental assessment process. The coordination of both groups of actors (the participation team on the one hand and the environmental team on the other) is essential to share information and provide data that feeds into the final project outcome to the satisfaction of all concerned.

The key to a successful participation strategy is the experience of the personnel who conduct it and the framework in which this is carried out. With careful consideration and prioritisation of the key issues, a participation strategy can be cost effective and provide both valuable local information about the impacts or issues surrounding a project as well as engaging the support of those affected.

Following is a framework that is suggested as forming the basis for the drafting of TOR for a participation strategy for the three types of projects (linear, point and regional strategic assessment). It is not, nor can it be, inclusive of all issues that may arise for a particular project as these can be varied (e.g. a road though an open and rural area will have different issues and range of stakeholders than a similar road in an urban setting).

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The basic TOR consists of the following sections:

1. Introduction




5. Scope of Work


7. Deliverables


9. Project Authorities

Using these generic TOR headings, the following templates attempt to identify the broad content of the TOR. Being generic it is not possible to be fully inclusive of all possible participation scenarios or activities as these depend to a large extent on the location and size of the project and the sensitivity of the project in the eyes of the affected parties. The TORS templates should be used as a guide and model, and modified as needed to suit the respective activity requiring a PP programme.

Under each TOR heading, the template attempts to inform the author of the content requirement whilst at the same time providing some common statements usually found in TORs and advice on how to construct a well thought-out statement that will be understood by a Consultant familiar with PP.

5.2 GENERIC TERMS OF REFERENCE FOR PUBLIC PARTICPATION OF LINEAR ENVIRONMENTAL IMPACT ASSESSMENT PROJECTS

A linear project is a project that has a sphere of impact often limited to a corridor along the entire length of the project. Typical linear projects include roads, railways, pipelines, power lines etc.

Participation requirements for a linear project are often more diverse than a point project but similar to an SEA as the range and numbers of stakeholders can vary considerably along the length of the project. In a linear EIA, the project will cross many socio-political boundaries perhaps, cultural boundaries, ecosystems, land-use and settlement patterns. This will require a PP that reflects this situation.

Due to the nature of linear projects, the impact of such projects on, for example, biodiversity, water resources, cultural resources, protected areas, protection-worthy areas, existing infrastructure (e.g. roads, railways, canals, urban areas, villages) and cultural heritage can be quite diverse, extensive and important. A consultant undertaking the EIA commonly covers investigating the impact of the project on these types of issues or resources. Though public participation is important for identifying these resources or issues, individual specialists falling under the EIA usually carry out the actual technical investigations. It is beyond the remit of a PP process to investigate these issues or impacts but it is important that the PP process initially identifies or highlights issues requiring further investigation by the technical specialists during the EIA process.

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As a result of this diversity, the PP process needs to reflect the varied environment through which the project passes by specifically identifying stakeholders along the entire length of the project and being aware or sensitive to the varied social composition of the affected areas. On a big project, for example a road of several hundred kilometres, the range and composition of stakeholders will be different along the entire length. Any PP process needs to recognise this diversity and ensure methods are developed to identify and engage stakeholders.

Technical and financial proposals are sought from qualified and experienced Consultants to design and implement a wide-ranging public participation process to support a parallel environmental assessment process. Often the qualifications for the team leader should have at least have a Masters Degree in one of the socials disciplines and a Company should have National and/or International experience in the field of PP relating to that type of project. The number of experts that form the PP team will vary depending on the size of the project though commonly a team undertaking a PP process will have at least 10 people including field workers and junior participation officers. An experienced PP Consultant will rapidly decide on a suitable team size and composition in the preparation of the proposal.

The Sections below provide the basic elements to be covered in a TOR for Public Participation. Also refer to relevant sections under Section 4.5.2 above for more detail on the specific elements to be addressed. A summary providing a concise set of instructions for the compilation of Terms of Reference is included in Box 1 in Annex 4. The information below indicates specific aspects that need to be considered with regards to Public Participation Processes. Also see Annex 3 for more detail on important matters to be considered in Public Participation.

These generic TORs are to be used to assist in the development of a more complete set of TORs for a specific PP programme. More importantly though the TORs are used to assist the Proponent in getting back essential information about the approach and methodology the Consultant proposes to implement to ensure PP. The TORs commonly call for a single proposal, or multi bid proposal that will ensure highest possible quality in the selection of the Consultant. Well-crafted TORs that provide all relevant information about the project and the expected participation requirements will ensure that proposals received are comprehensive and relevant.

5.2.1 Introduction

The introduction usually begins with articulating the overall objective for the TORs, e.g. “Technical and financial proposals are sought from qualified and experienced Consultants to design and implement a wide-ranging public participation process to support a parallel environmental assessment process.”

This section should state the purpose of the Terms of Reference, identify the project to be assessed and explain the executing arrangement for the participation assessment.

It should also outline the key objectives of the participation strategy and provide the reader with a sense of the proponent’s commitment and approach to engaging stakeholders in the decision-making process that underpins an environmental assessment that this PP process will support.

Section 4.5.2.1 above provides more detail on aspects to be covered in the Introduction to the TOR.

5.2.2 Project Background

This section presents the reader with pertinent background information about the project and the environmental assessment process. Particular attention must be paid to highlighting the potential

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social impacts and issues as known at the time of writing. Withholding relevant information will result in a deficient proposal.

The background information must be as concise as possible to enable the reader have a clear sense of the project’s objectives and benefits.

Describe the major components of the proposed project together with a statement of the need for the project and the objectives it is intended to meet. Identify the implementing agency and give a brief history of the project (identify any supporting studies or reports and any/or associated projects).

Also see Section 4.5.2.1 above for more detail on information to be provided with regards to the Project Background.

5.2.3 Project Participation Requirements

This section will summarise the general scope of participation anticipated and the likely range of stakeholders to be involved (government agencies, NGOs, community groups, civil society representatives, etc.). It should state the proponents’ vision for participation and any legislative or policy requirements.

Pre project information gathering, e.g. from a feasibility report, will have identified broad areas of possible concern to stakeholders and thus the level and intensity of participation needed.

If the project is being funded by an external donor or agency, specific participation requirements maybe obligatory to support that donor’s environmental and social commitment. Consult the donor directly to solicit their specific participation requirements or visit their website for guidelines or further information.

Section 4.5.2.2 provides more detail as to what Project Participation Requirements need to be stipulated in the TOR.

5.2.4 Project Area of Influence

This section presents relevant information about the area likely to be affected by the project, including all its ancillary aspects, such as power transmission corridors, pipelines, canals, tunnels, relocation and access roads, borrow and disposal areas, and construction camps, as well as unplanned developments induced by the project (e.g., spontaneous settlement, logging, or shifting agriculture along access roads).

A good map illustrating key project features and potential impact areas can usually provide a greater range of information than text. See Section 4.5.2.3 for more detail regarding Project Area of Influence.

5.2.5 Scope of Work

Section 4.5.2.4 discusses some important aspects to be addressed in the description of the proposed Scope of Work for a Public Participation process to be outlined in the TOR.

As participation is usually one of the first activities in an environmental assessment process, it is critical to identify the full range of stakeholders likely to be affected by the project or those that have an interest in the project. This is then followed by a review of the institutional strengths and weaknesses of the stakeholders and interested and affected parties to constructively engage the project

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proponent in the decision making process and the physical assets likely to be affected by the implementation of the project. A stakeholder analysis therefore, forms the start of any participation strategy. The sections below describe the tasks that need to be undertaken in conducting a PP process.

Although the tasks indicted below are generic in nature, the author of the TORs may need to adapt them to the circumstances of the project.

5.2.5.1 Task 1: Undertake a Stakeholder Analysis

A Stakeholder Analysis must be carried out to identify interested stakeholders and/or those potentially affected by the project.

The Stakeholder Analysis should involve all levels of government, from Ministers to those involved in the project management process of the project, through to those tasked with the responsibility of implementing or collecting information pertinent to the project. This should include Permanent Secretaries, quasi government agencies, institutions and development agencies.

The Stakeholder Analysis shall also examine private enterprises, CBOs, NGOs and individuals as custodians of and dependents upon the environment.

For the analysis, stakeholders will be categorised according to various criteria, including stakeholder position, level of interest, role and potential influence over processes relating to the project.

5.2.5.2 Task 2: Undertake a Social Resource Survey

Most linear projects will directly affect what is broadly termed social assets or resources. At a physical level these could be grazing and arable areas, water supplies, graveyards, structures or biophysical resources. At the human level these include the capacity of the stakeholder to constructively engage in the decision-making process. Particular attention must be paid to local knowledge in the use and preservation of the biophysical recourse base.

The extent to which these assets are likely to be affected needs to be identified to enable the PP process to focus on significant issues and impacts or institutional capacity building.

A social resource survey will seek to identify, describe and map key assets and constraints through a process of consultation with the institutions and users of such assets. Using a variety of techniques, a skilled participation team will identify these assets and constraints whilst at the same time inform and engage stakeholders.

Through a variety of techniques, the Consultant will obtain information and data pertaining to the following:

• The location of the project in relation to interested and affected parties;

• The range of assets likely to be affected, e.g. area of arable land to be affected;

• The range of natural assets to be affected, e.g. biodiversity (both floral and faunal) and water resources (both surface and sub-surface water bodies);

• The number of people likely to be involved/affected;

• The socio-economic status of affected communities;

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• The level of organisation within the community;

• The capacity or key institutional structures to engage and mobilise constituents and

• History of any previous conflict or lack of consultation.

5.2.5.3 Task 3: Prepare a Public Participation Plan

Following the identification of the key stakeholders and the social and natural assets likely to be affected, the Consultant will prepare a strategy to constructively engage the stakeholders in the project. Consultation, as described in earlier chapters, is critical in contributing to a sense of ownership of the project and or its outcomes by the stakeholders. The level and intensity of consultation will vary from project to project depending to some extent on the numbers involved, the capacity of the stakeholders and the sensitivity of the project to the stakeholder.

Mechanisms must be devised and maintained for participation by stakeholders in decision-making throughout project planning, implementation, and evaluation. Many stakeholders have their own representative organisations that provide effective channels for communicating local preferences. Traditional leaders occupy pivotal positions for mobilising people and should be brought into the planning process, with due concern for ensuring genuine representation of the affected parties. In many cases, capacity building of stakeholders will be needed to ensure the stakeholder is well equipped to constructively engage in the process.

Many tried and tested methods exist to engage stakeholders. Many of these methods are described in ANNEX 2 Literature Review.

Stakeholder engagement could take the form of:

• Community Meetings

• Focus Group Discussions

• Story with a Gap Analysis Sessions

• Key Informant Interviews

Other consultation methods are acceptable and should be articulated in the proposal.

The Proponent prior to its implementation must approve the Participation Plan, as one of the key deliverables.

The Participation Plan should be presented using the following headings. Under each heading the Consultant is to introduce his/her methodology and approach in performing these activities.

Activity 1: Managing the PP process - In order to streamline the PP process and make sure that there is effective PP, there is a need to ensure from the very beginning that information collated and presented is comprehensive and more importantly, relevant to the stakeholders being engaged. There is a need to identify the appropriate level of detail for the collection of information and its dissemination.

Activity 2: Identifying the issues – One of the first activities designed and implemented in an EIA/PP process is to identify the significant issues that could affect the sustainability of the project or

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its acceptance amongst the IAPs. Various methods exist where this information can be gathered and the Consultant is required to describe the methodology to be implemented.

Activity 3: Identifying the consultation area – A linear project has a pre-defined physical area of impact but its wider impact must also be taken into consideration when soliciting information. The Consultant is required to describe the methodology to be implemented in determining the area of consultation.

Activity 4: Identifying and addressing issues - Identification of the potential environmental, social and physical impacts resulting from implementation of the project and suggestions from stakeholders of any possible mitigation measures is a key stage in making informed decisions on the project. It is also important to the stakeholders to appreciate at the earliest possible time, the range and types of impact that the project may impose on them. The Consultant is required to describe the methodology to be implemented in identifying and addressing issues that may be raised by stakeholders.

Activity 5: Managing PP communications - The management of PP communications is best carried out through the development of a communication strategy and network that ensures access of all relevant information by the IAPS and facilitates the free flow of information back and forth along communication pathways, using communication media that accurately informs and capacitates the IAPs and ensures equity during the PP decision making process. The Consultant is required to describe the methodology to be implemented in managing the flow of information with all stakeholders.

Activity 6: Managing media relations – Utilisation of public media to inform stakeholders about project progress and or PP a process requires careful planning. Media mobilization should be seen as another tool in assisting the dissemination of information both to the affected IAPs and society in general. The Consultant is required to describe the methodology to be implemented in managing media relations that suits both the project as well as the PP process.

Activity 7: Managing disputes and conflicts - Disputes and conflicts are a reality of project implementation especially where change is concerned, therefore how change is managed will determine the type of conflict and disputes that will emerge during that change. The Consultant is required to describe the methodology to be implemented in managing disputes and conflict that conforms to local legislation and best practice in the project area.

Activity 8: Managing cross-cultural issues - The importance of cross-cultural issues that could affect the project should never be underestimated. The Consultant is required to describe the methodology to be implemented to ensure that cultural protocols are developed and a framework and process is designed before entering the field. Inputs from experts and community leaders should be sought and a cultural protocol checklist created for all project staff.

Activity 9: Working with proponent, regulator and public – The PP process is not usually carried out in isolation from other project activities or project authorities. It is extremely important that a framework is developed to ensure the free flow of information in different directions between the public, the PP team and the project proponent as well as relevant regulator. The Consultant is required to describe the methodology to be implemented in ensuring effective communications between the public the proponent and the relevant regulator and the PP team.

Activity 10: Reporting PP effectively - Effective reporting is a statute requirement of countries during the EIA and PP processes. It is essential that the process of reporting effectively reflect the project cycle and how the PP process has progressed. The Consultant is required to describe the

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methodology to be implemented in ensuring effective reporting of PP outcomes to relevant authorities and stakeholders.

Activity 11: Managing information availability – The creation of a Information Management System (IMS) for the, collection, analysis, storage, dissemination and reproduction of information in the form of maps, meeting minutes, schedules and media materials, such as poster and fliers, is of particular importance in capturing and integrating information. The system further enhances the orderly and effectiveness and reporting of PP processes because most, if not all, information is centralised and can easily be networked. The Consultant is required to describe the methodology to be implemented in managing information and making it available to relevant authorities and stakeholders.

Activity 12: Managing Biological Diversity issues during PP

The SADC member states are signatories to the United Nation Convention on Biological Diversity and as such have obligations towards protecting the countries biodiversity for the sustainable use of its peoples. The management of biodiversity issues are integral to the PP process as society’s dependence on, use of, and cohabitation with this aspect of the environment is at the very core of human sustainability. Thus any intervention that may change or alter that relationship should feature as an important component of the PP engagement plan. Communities and individuals have over time built up a base of Indigenous Knowledge and have developed Innovative Practices to use biological diversity in a sustainable manner, furthermore onsite communities normally have extensive knowledge of local environments, therefore traditional knowledge can make significant contributions to aiding the PP process and ensuring future use and sustainability. The Consultant is required to describe the methodology to be implemented in managing biodiversity issues during the PP process and making it available to relevant authorities and stakeholders. For further guidance on the use of Indigenous Knowledge in development, the Consultant can refer to the Handbook called. Integrating Indigenous Knowledge into Project, planning and Implementation. Developed by the World Bank; ‘CIDA’ and the International Labour Organisation. Site information can be found in the reference section of this document 5.2.5.4 Task 4 Development of a Public Participation Plan

The development of a PP plan is part of the overall management of the process and should include the following activities:

1. The views on the potential for various segments of the stakeholders to participate in economic and or social opportunities that may arise from the project, and the actions required in facilitating this.

2. Identification of the potential environmental, social and physical impacts resulting from implementation of the project and suggestions from stakeholders of any possible mitigation measures

3. Where resettlement is expected, categorise the people likely to be affected by resettlement in terms of male, female, vulnerable groups, aged, etc.

4. Where resettlement is expected determine, through comprehensive surveys using approved and appropriate methods, the numbers of people likely to be affected.

5. Where possible use locally appropriate criteria for determining who should be eligible for “resettlement” assistance where this is necessary.

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6. Identification of Chiefdoms or traditional authorities affected by the project

7. Description of the existing (traditional and legal) mechanisms for dispute resolution on land and resource access and use with recommendations for strengthening such mechanisms.

8. Description of existing resource use patterns (types and quantities of resources utilised, location of users and the degree of exclusivity of this resource use in and around the stakeholder area of influence.

9. Obtain basic socio-economic information of the affected parties (sources of livelihoods, income etc.).

10. Obtain the views of NGO’s and or CBO’s operating in the area on the project and its participation requirements.

11. The Consultant must demonstrate in his/her proposal how commonly disadvantaged groups (women, youth, disabled, illiterate and victims of the HIV/AIDS pandemic) will be brought into the PP process.

5.2.5.5 Task 5 Implement Public Participation Plan

Based on the approved Participation Plan, the consultant will begin to implement the plan. Proposed modalities and key activities closely associated with this must be made clear.

Where capacity building is identified as being important to meet the participation strategy envisaged by the Proponent, the Consultant needs to propose strategies to build such capacity and in consultation with the Proponent, implement such capacity building.

Of particular importance in PP are methods to ensure the effective participation of affected parties above all those individuals or communities that are considered poor and marginalized groups with relatively few resources to actively engage with the Consultants and participate in the EIA process. The Consultant must, where appropriate, demonstrate the flexibility of his/her proposal to accommodate such people taking account of language, literacy and culture issues.

5.2.5.6 Task 6: Determination of the Potential Social Impacts of the Proposed Project

The people related impacts that may materialise during the implementation of the project, will have been identified during the preceding tasks. From the participation point of view, these people impacts have to be communicated to the team preparing the overall project mitigation plan to ensure they’re proven concerns are addressed in the overall mitigation plan for the project.

In this analysis the Consultant will be required to distinguish between positive and negative impacts, direct and indirect impacts and immediate and long-term impacts.

Of particular importance is the identification of impacts that are unavoidable or irreversible. Wherever possible, the impacts are to be described quantitatively in terms of social costs and benefits and where possible, economic values assigned.

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5.2.5.7 Task 7: Identification of Institutional Needs to Implement the environmental mitigation recommendations

An environmental assessment concludes with the preparation of a mitigation plan that presents the recommended activities or actions required to maximise the environmental and social benefits of the project whilst managing the undesirable impacts.

The implementation of these mitigation measures is assigned to relevant stakeholders. In many cases, the capacity (both technically and financially) of the stakeholder to undertake specific mitigation actions is a limiting factor that has seen many projects fail.

It is critical to the environmental assessment process that the institutional capacity of stakeholders is assessed and measures taken to provide support where it is needed. During the consultation planning, capacity issues need to be identified and described to enable the environmental assessment process to design mitigation to suit the local conditions or requirements.

The Consultant will be required to undertake a review of the authority and capability of institutions at local, provincial/regional and national levels and recommend steps to strengthen or expand them so that the mitigation recommendations can be implemented successfully.

The Consultant will provide data or information on the following: (i) availability of funds for mitigation investments and associated field operations; (ii) adequacy of the stakeholder (whether experienced professional staff or grassroots level) to implement the recommendations; (iii) ability of stakeholder organisations, local administration authorities, and local NGOs to interact with specialised government institutions to implement the recommendations; (iv) ability of the executing agency to mobilise other agencies involved in the mitigation plan's implementation; and (v) adequacy of field presence.

5.2.5.8 Task 8 Monitoring and Evaluation of the PP Process

The Consultant must prepare and describe methodologies by which he can monitor the effectiveness of the PP process continuously throughout the lifetime of the implementation of the project. A well constructed monitoring and evaluation plan will assist project managers, including the Proponent, in identifying stakeholders, for example, that have not be effectively engaged in the PP process. This plan would form one of the key deliverables.

5.2.6 Qualifications of the Consultant

The composition, qualification and experience of the participation team are very dependent on the location, scale and size of the project and the anticipated impacts.

For example for a linear road project that traverses a rural area, the team should emphasise community participation and the engagement of traditional authorities. For a similar project in a more urban setting, the team would need to engage specialists with experience in managing a more informed and strategically aware stakeholder.

Typically, however, a team is likely to be composed of a team leader supported by several other specialists.

Team Leader: Sociologist with previous experience in participation related to the project.

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Other specialists would include generic participation specialists, workshop facilitators, translators, social anthropologists, field survey staff, and clerical support staff. Where resettlement is likely, resettlement specialists will be required. Where natural resource losses are expected, resource managers and trainers maybe needed to improve resource management in light of the project impacts.

Section 4.5.2.5 above provides more detail on aspects to be addressed in the TOR regarding the qualifications of consultants.

5.2.7 Deliverables

A Public Participation Plan

An Institutional Needs Plan

A Monitoring and Evaluation Plan

A final report describing the process followed, stakeholders identified, issues or concerns raised, minutes of all meetings (including workshops) conducted and the presentation of all relevant data and information collected during the participation process.

Also see Section 4.5.2.6 for information regarding deliverables to be included in the TOR.

5.2.8 Cost, Schedule and Payments

Cost and timeline estimates are critical in the proposal evaluation process. Under most circumstances, a project will have a fixed amount of money and time allocated to it and this money and time needs to be invested wisely and strategically to obtain the best possible product from the participation process.

The Consultant bidding for the participation component of the environmental assessment needs to present his best estimate for undertaking the scope of work called for. The better the scope of work is described, the more accurate the Consultant can assign resources to achieve the final outcome.

Generically, the following should be called for:

• An implementation schedule that identifies key stages in the participation process and dates for key deliverables.

• A detailed cost estimate to undertake all appropriate participation activities as described in the implementation schedule or in the technical proposal.

• A proposed schedule for payments, and milestones for such payments.

• Specific dates for progress reviews, interim and final reports and any other significant events.

Section 4.5.2.7 provides more detail on important matters regarding cost schedules to be covered in the TOR.

5.2.9 Project Authorities

This section informs the Consultant where, when and to whom proposals should be delivered and the conditions associated with the proposal (e.g. CVs of staff, official documentation relating to the company, statements of competence, etc.). Also see Section 4.5.2.8.

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5.3 GENERIC TERMS OF REFERENCE FOR POINT EIA PROJECTS

A point project is a project that has a sphere of impact limited to a defined spatial area surrounding the main project feature. Typical point projects include factory developments, townships, protected areas, wastewater treatment facilities, irrigation projects, mines, logging. Although these TORs describe PP requirements for a point project, in reality, a point project is often associated with linear developments, e.g. a road to connect the mine with the outside world. However the focus of the project is a point, e.g. the mine, and all other related infrastructure requirements are additional to the key project. The PP process must be designed to also include stakeholders that may fall along linear routes to the project.

Due to the nature of point projects, the impact of such projects on, for example, biodiversity, water resources, cultural resources, protected areas, protection-worthy areas, existing infrastructure (e.g. roads, railways, canals, urban areas, villages) and cultural heritage can be quite diverse. Unlike linear projects, the sphere of influence is often limited but is still important. The Consultant undertaking the EIA commonly covers investigating the impact of the project on these types of issues or resources. Though public participation is important for identifying these resources or issues, individual specialists falling under the EIA usually carry out the actual technical investigations.

It is beyond the remit of a PP process to investigate these issues or impacts but it is important that the PP process initially identifies or highlights issues requiring further investigation by the technical specialists during the EIA process.


5.3.1 Introduction

The introduction begins with articulating the overall objective for the TORs, e.g. “Technical and financial proposals are sought from qualified and experienced Consultants to design and implement a wide-ranging public participation process to support a parallel environmental assessment process.”

This section should state the purpose of the Terms of Reference, identify the project to be assessed and explain the executing arrangement for the participation assessment.

It should also outline the key objectives of the participation strategy and provide the reader with a sense of the proponents’ commitment and approach to engaging stakeholders in the decision-making process that underpins and environmental assessment.


5.3.2 Project Background

In this section the Proponent presents the reader with pertinent background information about the project and the environmental assessment process that this PP process will support. Particular

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attention must be paid to highlighting the potential social impacts and issues as known at the time of writing.

The background information must be as concise as possible to enable the reader with a clear sense of the project’s objectives and benefits. Withholding relevant information will result in a deficient proposal.

Describe the major components of the proposed project together with a statement of the need for the project and the objectives it is intended to meet. Identify the implementing agency and give a brief history of the project (identify any supporting studies or reports and any associated projects).

Also see Section 4.5.2.1 above for more detail on information to be provided with regards to the Project Background.

5.3.3 Project Participation Requirements

This section will summarise the general scope of participation anticipated and the likely range of stakeholders to be involved (government agencies, NGOs, community groups, civil society representatives, etc.). It should state the Proponents vision for participation and any legislative or policy requirements.

Pre project information gathering, e.g. from a feasibility report, will have identified broad areas of possible concern to stakeholders and thus the level and intensity of participation needed.

If the project is being funded by an external donor or agency, specific participation requirements maybe obligatory to support that donor’s environmental and social commitment. Consult the donor directly to solicit their specific participation requirements or visit their website for guidelines or further information.

Section 4.5.2.2 provides more detail as to what Project Participation Requirements need to be stipulated in the TOR.

5.3.4 Project Area of Influence

This section presents relevant information about the area likely to be affected by the project, including all its ancillary aspects, such as power transmission corridors, pipelines, canals, tunnels, relocation and access roads, borrow and disposal areas, and construction camps, as well as unplanned developments induced by the project (e.g., spontaneous settlement, logging, or shifting agriculture along access roads).

A good map illustrating key project features and potential impact areas can usually provide a greater range of information than text. See Section 4.5.2.3 for more detail regarding Project Area of Influence.

5.3.5 Scope of Work


As participation is usually one of the first activities in an environmental assessment process, it is critical to identify the full range of stakeholders likely to be affected by the project or those that have an interest in the project. This is then followed by a review of the institutional strengths and

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weaknesses of the stakeholders and interested and affected parties to constructively engage the project proponent in the decision making process and the physical assets likely to be affected by the implementation of the project.

A stakeholder analysis therefore, forms the start of any participation strategy.



A Stakeholder Analysis must be carried out to identify interested stakeholders and/or those potentially affected by the project.

The Stakeholder Analysis should involve all levels of government, from Ministers to those involved in the project management process of the project, through to those tasked with the responsibility of implementing or collecting information pertinent to the project. This should include Permanent Secretaries, quasi government agencies, institutions and development agencies.

The Stakeholder Analysis shall also examine private enterprises, CBOs, NGOs and individuals as custodians of and dependents upon the environment.


5.3.5.2 Task 2: Undertake a Social Resource Survey

Most point projects, depending on size and scale, will directly affect what is broadly termed social assets or resources. At a physical level these could be grazing and arable areas, water supplies, graveyards, structures or biophysical resources. At the human level these include the capacity of the stakeholder to constructively engage in the decision-making process. Particular attention must be paid to local knowledge in the use and preservation of the biophysical recourse base.

The extent to which these assets are likely to be affected needs to be identified to enable the PP process to focus on significant issues and impacts or institutional capacity building.

A social resource survey will seek to identify, describe and map key assets and constraints through a process of consultation with the institutions and users of such assets. Using a variety of techniques, a skilled participation team will identify these assets and constraints whilst at the same time inform and engage stakeholders.

Through a variety of techniques, the Consultant will obtain information and data pertaining to the following:

• The location of the project in relation to interested and affected parties;

• The range of assets likely to be affected, e.g. area of arable land to be affected;

• The number of people likely to be involved/affected;

• The socio-economic status of affected communities;

• The level of organisation within the community;

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• The capacity or key institutional structures to engage and mobilise constituents and

• History of any previous conflict or lack of consultation.


Following the identification of the key stakeholders and the social assets likely to be affected, the Consultant will usually prepare a strategy to constructively engage the stakeholders in the project. Consultation, as described in earlier chapters, is critical in contributing to a sense of ownership of the project and or its outcomes by the stakeholders. The level and intensity of consultation will vary from project to project depending to some extent on the numbers involved, the capacity of the stakeholders and the sensitivity of the project to the stakeholder.

Mechanisms should be devised and maintained for participation by stakeholders in decision making throughout project planning, implementation, and evaluation. Many stakeholders have their own representative organisations that provide effective channels for communicating local preferences. Traditional leaders occupy pivotal positions for mobilising people and should be brought into the planning process, with due concern for ensuring genuine representation of the affected parties. In many cases, capacity building of stakeholders will be needed to ensure the stakeholder is well equipped to constructively engage in the process.

Many tried and tested methods exist to engage stakeholders. Many of these methods have been described in Annex 2,3,4.

Stakeholder engagement could take the form of:

• Community meetings

• Focus group discussions

• Gap analysis sessions



The Proponent prior to its implementation must approve the Participation Plan, as one of the key deliverables.


Activity 1: Managing the PP process - In order to streamline the PP process and make sure that there is effective PP, there is a need to ensure from the very beginning that information collated and presented is comprehensive and more importantly, relevant to the stakeholders being engaged. There is a need to identify the appropriate level of detail for the collection of information and its dissemination.

Activity 2: Identifying the issues – One of the first activities designed and implemented in an EIA/PP process is to identify the significant issues that could affect the sustainability of the project or its acceptance amongst the IAPs. Various methods exist where this information can be gathered and the Consultant is required to describe the methodology to be implemented.

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Activity 3: Identifying the consultation area – A point project has a pre-defined physical area of impact but its wider impact must also be taken into consideration when soliciting information. The Consultant is required to describe the methodology to be implemented in determining the area of consultation.

Activity 4: Identifying and addressing issues - Identification of the potential environmental, social and physical impacts resulting from implementation of the project and suggestions from stakeholders of any possible mitigation measures is a key stage in making informed decisions on the project. It is also important to the stakeholders to appreciate at the earliest possible time, the range and types of impact that the project may impose on them. The Consultant is required to describe the methodology to be implemented in identifying and addressing issues that may be raised by stakeholders.

Activity 5: Managing PP communications - The management of PP communications is best carried out through the development of a communication strategy and network that ensures access of all relevant information by the IAPS and facilitates the free flow of information back and forth along communication pathways, using communication media that accurately informs and capacitates the IAPs and ensures equity during the PP decision making process. The Consultant is required to describe the methodology to be implemented in managing the flow of information with all stakeholders.

Activity 6: Managing media relations – Utilisation of public media to inform stakeholders about project progress and or PP processes require careful planning. Media mobilization should be seen as another tool in assisting the dissemination of information both to the affected IAPs and society in general. The Consultant is required to describe the methodology to be implemented in managing media relations that suits both the project as well as the PP process.

Activity 7: Managing disputes and conflicts - Disputes and conflicts are a reality of project implementation especially where change is concerned; therefore how change is managed will determine the type of conflict and disputes that will emerge during that change. The Consultant is required to describe the methodology to be implemented in managing disputes and conflict that conforms to local legislation and best practice in the project area.

Activity 8: Managing cross- cultural issues - The importance of cross-cultural issues that could affect the project should never be underestimated. The Consultant is required to describe the methodology to be implemented to ensure that cultural protocols are developed and a framework and process is designed before entering the field. Inputs from experts and community leaders should be sought and a cultural protocol checklist created for all project staff.

Activity 9: Working with proponent, regulator and public – The PP process is not usually carried out in isolation from other project activities or project authorities. It is extremely important that a framework is developed to ensure the free flow of information in both directions between the public, the PP team and the project proponent and where relevant the regulator. The Consultant is required to describe the methodology to be implemented in ensuring effective communications between the proponent and the regulator and the PP team.

Activity 10: Reporting PP effectively - Effective reporting is often a statute requirement of countries during the EIA and PP processes. It is essential that the process of reporting effectively reflects the project cycle and how the PP process has progressed. The Consultant is required to describe the methodology to be implemented in ensuring effective reporting of PP outcomes to relevant authorities and stakeholders.

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Activity 11: Managing information availability - The creation of a IMS for the collection, analysis, storage, dissemination and reproduction of information in the form of maps, meeting minutes, schedules and media materials, such as poster and fliers, is of particular importance in capturing and integrating information. The system further enhances the orderly and effectiveness and reporting of PP processes because most, if not all, information is centralised and can easily be networked. The consultant is required to describe the methodology to be implemented in managing information and making it available to relevant authorities and stakeholders. Activity 12: Managing Biological Diversity during PP The SADC countries are signatories to the United Nation Convention on Biological Diversity and as such have obligations towards protecting the countries biodiversity for the sustainable use of its peoples. The management of biodiversity issues are integral to the PP process as society’s dependence on, use of, and cohabitation with this aspect of the environment is at the very core of human sustainability. Thus any intervention that may change or alter that relationship should feature as important component of the PP engagement plan. Communities and individuals have over time built up a base of Traditional Knowledge and have developed Innovative Practices to use biological diversity in a sustainable manner; furthermore onsite communities normally have extensive knowledge of local environments. The Consultant is required to describe the methodology to be implemented in managing biodiversity issues during the PP process and making it available to relevant authorities and stakeholders. For further guidance on the use of Indigenous Knowledge in development, the Consultant can refer to the Handbook called. Integrating Indigenous Knowledge into Project, planning and Implementation. Developed by the World Bank; ‘CIDA’ and the International Labour Organisation. Site information can be found in the reference section of this document 5.3.5.4 Task 4: Development of a Participation Plan

The development of a PP plan is part of the overall management of the process and should include the following activities:

1) The views on the potential for various segments of the stakeholders to participate in economic and or social opportunities that may arise from the project, and the actions required to facilitate this

2) Identification of the potential environmental, social and physical impacts resulting from implementation of the project and suggestions from stakeholders of any possible mitigation measures

3) Where resettlement is expected, categorise the people likely to be affected by resettlement in terms of male, female, vulnerable groups, such as the aged, illiterate and victims of HIV/AIDS pandemic.

4) Where resettlement is expected determine, through comprehensive surveys using approved and appropriate methods, the numbers of people likely to be affected

5) Where possible use locally appropriate criteria for determining who should be eligible or “resettlement” assistance where this is necessary

6) Identification of Chiefdoms or traditional authorities affected by the project

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7) Description of the existing (traditional and legal) mechanisms for dispute resolution on land and resource access and use with recommendations for strengthening such mechanisms

8) Description of existing resource use patterns (types and quantities of resources utilised, location of users and the degree of exclusivity of this resource use in and around the stakeholder area of influence.

9) Obtain basic socio-economic information of the affected parties (sources of livelihoods, income, and levels of employment.)

10) Obtain the views of NGO’s and or CBO’s operating in the area on the project and its participation requirements

11) The Consultant must demonstrate in his/her proposal how commonly disadvantaged groups (women, youth, disabled, illiterate and victims of the HIV/AIDS pandemic) can be brought into the PP process

5.3.5.5 Task 5: Implement Public Participation Plan


Where capacity building is identified as being important to meet the participation strategy envisaged by the Proponent, the Consultant needs to propose strategies to build such capacity and in consultation with the Proponent, implement such capacity building.

Of particular importance in PP is a method to ensure the effective participation of affected parties above all those individuals or communities that are considered poor with relatively few resources to actively engage with the Consultants and participate in the EIA process. The Consultant must, where appropriate, demonstrate the flexibility of his/her proposal to accommodate such people.

5.3.5.6 Task 6: Determination of the Potential Social Impacts of the Proposed Project

The people related impacts that may materialise during the implementation of the project, will have been identified during the preceding tasks. From the participation point of view, these people impacts have to be communicated to the team preparing the overall project mitigation plan to ensure they’re proven concerns are addressed in the overall mitigation plan for the project.

In this analysis the Consultant will be required to distinguish between positive and negative impacts, direct and indirect impacts and immediate and long-term impacts.

Of particular importance is the identification of impacts that are unavoidable or irreversible. Wherever possible, the impacts are to be described quantitatively in terms of social costs and benefits and where possible, economic values assigned.

5.3.5.7 Task 7:Identification of Institutional Needs to Implement the environmental mitigation recommendations

An environmental assessment concludes with the preparation of a mitigation plan that presents the recommended activities or actions required to maximise the environmental and social benefits of the project whilst managing the undesirable impacts.

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The implementation of these mitigation measures is assigned to relevant stakeholders. In many cases, the capacity (both technically and financially) of the stakeholder to undertake specific mitigation actions is a limiting factor that has seen many projects fail.

It is critical to the environmental assessment process that the capacity of stakeholders is assessed and measures taken to provide support where it is needed. During the consultation planning, capacity issues need to be identified and described to enable the environmental assessment process to design mitigation to suit the local conditions or requirements.

The Consultant will be required to undertake a review of the authority and capability of institutions at local, provincial/regional and national levels and recommend steps to strengthen or expand them so that the mitigation recommendations can be implemented successfully.

The Consultant will provide data or information on the following: (i) availability of funds for mitigation investments and associated field operations; (ii) adequacy of the stakeholder (whether experienced professional staff or grassroots level) to implement the recommendations; (iii) ability of stakeholder organisations, local administration authorities, and local NGOs to interact with specialised government institutions to implement the recommendations; (iv) ability of the executing agency to mobilise other agencies involved in the mitigation plan's implementation; and (v) adequacy of field presence.

5.3.5.8 Task 8: Monitoring and Evaluation of the PP Process

The Consultant must prepare or describe methodologies by which he can monitor the effectiveness of the PP process continuously throughout the lifetime of the implementation of the project. A well constructed monitoring and evaluation plan will assist project managers, including the Proponent, in identifying stakeholders, for example, that have not be effectively engaged in the PP process. This plan would form one of the key deliverables.


The composition and qualifications of the participation team is very dependent on the location, scale and size of the project and the anticipated impacts.

For example a mine project that is to be established in a rural area will require the Consultant to identify and engage local communities and traditional leaders in identifying key concerns. The Consultant’s team should also be familiar with mine related impacts to ensure the relevant team member(s) can address technical questions raised. For a factory development within a formal administrative setting, the Consultant will need to engage technically more adept stakeholders who are likely to be for informed about potential impacts and thus the team needs to be prepared for engaging such stakeholders.

Typically, however, a team is likely to be composed of a team leader supported by several specialists the Consultant considers essential to engage stakeholders.

Team Leader: Sociologist with previous experience in participation-related projects. Other specialists would include generic participation specialists, workshop facilitators, translators, social anthropologists, field survey staff, and clerical support staff. Where resettlement is likely, resettlement specialists will be required. Where natural resource losses are expected, resource managers and trainers maybe needed to improve resource management in light of the project impacts.

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Section 4.5.2.5 above provides more detail on aspects to be addressed in the TOR regarding the qualifications of consultants.

5.3.7 Deliverables


An Institutional Needs Plan










• A proposed schedule for payments and milestones for such payments.

• Specific dates for progress reviews, interim and final reports and other significant events.

Section 4.5.2.7 provides more detail on important matters regarding cost schedules to be covered in the TOR.



5.4 GENERIC TERMS OF REFERENCE FOR REGIONAL SEA.

Strategic Environmental Assessment (SEA) is becoming an accepted and widely used instrument for integrating environmental issues into the formulation of plans and programmes. SEA has been described as "a process of anticipating and addressing the potential environmental consequences of

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proposed initiatives at higher levels of decision-making. It aims at integrating environmental considerations into the earliest phase of policy, plan or programme development, on a par with economic and social considerations" (Sadler, 1995). SEA differs from EIA in a number of key respects. Most notably, SEA is a pro-active tool for environmental management whereas EIA is used reactively to assess specific development proposals. An SEA is conducted at a strategic level, which contrasts with an EIA that is carried out for a specific development or activity.

SEA is an issues driven and participative approach to the environmental assessment of plans and policies. Sustainable development is promoted by assessing the strengths, weaknesses and environmental resources that can support development. Whereas EIA focuses on the effects of development on the environment, SEA looks at the effect of the environment on development opportunities. SEA therefore has considerable potential as a tool for planning and policy-making (CSIR, 1996).

A SEA is often described as an assessment of the positive and adverse effects that implementation of legislation or of a public policy, programme, or plan is likely to have an impact on the enhancement, protection, and conservation of the environment and on the sustainable management of natural resources. An SEA often has a large sphere of influence and thus a wide range of potential stakeholders. As SEA’s are carried out on policies, plan, legislation etc. participation arrangements can be complicated due to the wide range of stakeholders and geographic area.

SEA aims particularly at (i) strengthening project-level EIA (by making EIAs more consequential and reducing the time and effort involved in their preparation), (ii) addressing cumulative and large scale effects, and (iii) incorporating sustainability considerations throughout the project cycle, in order to address the fundamental causes of environmental problems.

The primary objective of an SEA is to provide for a high level of protection of the environment and to contribute to the integration of environmental considerations into the preparation and adoption of plans and programmes with a view to promoting sustainable development.

Many national environmental authorities require that an SEA is carried out of certain plans and programmes which are likely to have significant effects on the environment. Environmental assessment can be defined as “the preparation of an environmental report, the carrying out of consultation, the taking into account of the environmental report and the results of the consultation in decision-making and the provision of information on the decision”.

The issues raised by communities stakeholders and Authorities, as with any good EIA, drive SEA. However, SEA differs from EIA in that the SEA process is itself defined by the issues.

Public involvement should be a fundamental element in the process of SEA, consistent with the potential degree of concern and controversy of proposals. It is imperative that the SEA process is transparent in that the process should have clear, easily understood information requirements including provision for public reporting.

A strategic environmental assessment generally addresses the following five questions:

1. What are the potential direct and indirect outcomes of the proposal?

2. How do these outcomes interact with the environment?

3. What is the scope and nature of these environmental interactions?

4. Can the adverse environmental effects be mitigated?

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5. What is the overall potential environmental effect of the proposal after opportunities for mitigation have been incorporated?

Aims and objectives of a SEA To help achieve environmental protection and sustainable development:

• Consideration of environmental effects of proposed strategic actions

• Identification of the best practicable environmental option

• Early warning of cumulative effects and large-scale changes

• To strengthen and streamline project EIA

• Prior identification of scope of potential impacts and information needs

• Clearance of strategic issues and concerns related to justification of proposals

• Reducing the time and effort necessary to conduct individual reviews

• To integrate the environment into sector-specific decision-making

• Promoting environmentally sound and sustainable proposals

• Changing the way decisions are made

Principles of SEA application • SEA should cover all proposed policies, plans and programmes likely to have significant

environmental effects. It should have a scope proportionate to the importance of the issues, recognising the potential for addressing them at other tiers in the decision-making hierarchy.

• Proponents of a policy, plan or programme should undertake SEA. It should provide relevant information for formulation of proposals and for decision-making.

• SEA should be integrated into the policy, plan and programme making process at key procedural stages. It should start as early as possible as an objectives-led evaluation and provide input into all key stages of policy, plan or programme outlining the elements of process that can assist informed decision-making in support of sustainable development.

• SEA should evaluate the environmental effects of a reasonable range of alternatives to the proposed initiative, recognising the scope of consideration will vary with the level of decision-making. It should identify the best practical environmental option, wherever possible and appropriate.

• SEA should focus on the right issues at the right stages of the policy, plan and programme making process. It should be carried out as a systematic, iterative approach, consistent with the logic and structure of the policy plan and programme making.

• SEA should facilitate early involvement of key stakeholders. It should apply appropriate, easy-to-use consultation techniques that are suitable for the target groups.

• SEA should use appropriate and cost-effective methods and techniques of analysis. It should gather information only in the amount and detail necessary for sound decision-making.

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5.4.1 Introduction

The introduction begins with articulating the overall objective for the TORs, e.g. “Technical and financial proposals are sought from qualified and experienced Consultants to design and implement a wide-ranging public participation process to support a parallel SEA process.”

This section should state the purpose of the SEA and describe the policy, programme or plan that is to be subjected to an SEA. The draft policy, programme or plan should be appended to the TOR. It should also outline the key objectives of the participation strategy and provide the reader with a sense of the proponents’ commitment to engaging stakeholders in the decision-making process that underpins and environmental assessment


5.4.2 Background to Policy, Programme or Plan

This section presents pertinent background information about the policy, programme or plan, its objectives and scope. It must also present relevant information pertinent to the wider regional setting of the SEA.

Identify the implementing agency and give a brief history of the policy, programme or plan (identify any supporting studies or reports).

It is important that the strategic issues for detailed investigation during the SEA are initially identified, e.g. maintenance of marine ecosystem functions and habitats for a port development.

Also see Section 4.5.2.1 above for more detail on information to be provided with regards to the Project Background, in this case background to the proposed Policy, Programme or Plan.

5.4.3 Participation Requirements

This section will summarise the general scope of participation anticipated and the likely range of stakeholders (national and international) to be involved (government agencies, NGOs, community groups, civil society representatives, etc.).

During the policy, programme or plan formulation, a number of stakeholders will have been involved and some of the key impacts that may result once the policy, programme or plan are implemented may have been identified. Where such information exists, this should be presented in these TOR.

Some policy, programme or plans can be transboundary in their impact so it is important to ensure stakeholders from these areas are identified and consulted during the SEA.

If the SEA is being funded by an external donor or agency, specific participation requirements maybe obligatory to support that donor’s environmental and social commitment. Consult the donor directly

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to solicit their specific participation requirements or visit their website for guidelines or further information.

Section 4.5.2.2 provides more detail as to what Participation Requirements need to be stipulated in the TOR.

5.4.4 Area of Influence

This section presents relevant information about the area likely to be affected by the policy, programme or plan. The area of influence maybe national, regional or international depending on the specifics of the policy, programme or plan.

The author of these TORs should, where practically possible, identify any collaborating regional partners that may have already been consulted, e.g. stakeholders for a transboundary protected area may already be known following pre-SEA studies and feasibility studies. If these people and institutions are known, they should be cited.

See Section 4.5.2.3 for more detail regarding Area of Influence.

5.4.5 Scope of Work



5.4.5.1 Task 1: Review of the policy, programme, or plan

A good-quality SEA process informs planners, decision makers and affected public on the sustainability of strategic decisions, facilitates the search for the best alternative and ensures a democratic decision making process. This enhances the credibility of decisions and leads to more cost- and time-effective PP at the project level.

It is thus the responsibility of the Consultant to describe in lay-mans terms the major objectives of the policy, programme, or plan and make such information easily available to IAPS in a format suited to the recipient of such information. Where the SEA crosses regional or international boundaries, the same information must also be made available in an acceptable language and format.

Carry out a desktop assessment to identify the positive and adverse effects that implementation of the proposed policy, programme or plan is likely to have on the environment, people and on the other related structures and institutions. Where the SEA is transboundary, assessments on those effects in the other affected countries or regions also need to be identified.

Identify, describe and assess the likely effects of alternative means to achieve the objectives of the policy, programme, or plan.

Identify, describe and assess the range of practicable measures that could be taken to avoid, mitigate or remedy any adverse effect that may occur as a result of the implementation of the policy, programme, or plan.

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A Stakeholder Analysis must be carried out to identify interested stakeholders and/or those potentially affected by the policy, programme or plan. Stakeholders may reside in other countries and regions and thus the analysis must be international taking into account country or region specific protocol, sensitivities and engagement processes.

The Stakeholder Analysis should involve all levels of government, from top officials in the affected ministries to those involved in the administration of the policy, programme or plan.

The Stakeholder Analysis shall also examine the impact of the policy, programme or plan on private enterprises, CBOs, NGOs and individuals as custodians of and dependents upon the environment.


5.4.5.3 Task 3: Deciding the scope of PP and developing alternatives

The Consultant must undertake the following key activities:

• Identify strategic PP alternatives (keep options open and flexible, so that further measures or other strategies can be put in place in the future)

• Choose preferred PP alternatives

• Consult authorities with environmental (or PP) responsibilities

• Predict and evaluate the effects of the policy, programme or plan on people, organisations or institutions

• Propose methods to identify the scope of PP

From the initial identification of potential impacts, further define the main problems/issues that could be affected by the policy, plan or programme, either negatively or positively.

Review relevant environmental policy plans to list the relevant environmental protection objectives for these impacts.

The Consultant is to undertake ‘horizon scanning’ to identify emerging issues on the horizon to better deliver both adaptive and preventative policies, and to identify opportunities. The use of horizon scanning as a tool for SEA should help ensure that a more long-term perspective underlies plans, and more effectively address potential futures.


There has been little emphasis to-date on the participation of communities or other stakeholders in the SEA planning process. As a relatively new process, few guidelines are available on how to engage stakeholders. It is of critical importance that communities and stakeholders are identified and brought into the SEA PP process to ensure project transparency, integrity and acceptance (ownership).

As a regional SEA, the range of stakeholders will be larger than for point or linear projects, so it is critical that the Consultant has previous experience in identifying and contacting international stakeholders and builds in sufficient time and other resources to undertake this.

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Levels of participation may vary from country to country or region to region due to cultural or political protocols. The Consultant must attempt to overcome these types of restrictions whilst not compromising the integrity of the PP process.

Mechanisms should be devised and subsequently maintained for participation by stakeholders in decision-making throughout planning, implementation and evaluation. Many stakeholders have their own representative organisations that provide effective channels for communicating local preferences. Traditional leaders occupy pivotal positions for mobilising people and should be brought into the planning process, with due concern for ensuring genuine representation of the affected parties.

Consultation could take the form of:

• Regional Workshops

• Community Meetings

• Focus Group Discussions


• Focus Group Gap analysis sessions


Submit to the Proponent the Participation Plan for review and approval prior to implementation.


Activity 1: Managing the PP process - In order to streamline the PP process and make sure that there is effective PP, there is a need to ensure from the very beginning that information collated and presented is comprehensive and more importantly, relevant to the stakeholders being engaged. There is a need to identify the appropriate level of detail for the collection of information and its dissemination. Due to the regional focus of the SEA, language differences need to be taken into account and the Consultant is able to present information in different languages, unless English is the de facto medium for all communications.

Activity 2: Identifying the issues – One of the first activities designed and implemented in an SEA/PP process is to identify the significant issues that could affect the sustainability of the policy, programme or plan or its acceptance amongst the IAPs. Various methods exist where this information can be gathered and the Consultant is required to describe the methodology to be implemented. The Consultant must develop methods for involving key stakeholders, authorities, role players and project beneficiaries in identifying a vision and priority issues for the project. The vision function in SEA is crucial for a good SEA planning. It must ensure the understanding of the strategy being assessed, the need for a SEA and also the policy framework within which the SEA will be performed. One interesting approach to the establishment of a community vision, and understanding of the perception of stakeholders regarding a certain policy, plan or programme is through a visioning process whereby those interested can contribute to identifying priorities for future strategic development.

Activity 3: Identifying the consultation area – A project undergoing an SEA usually has no pre-defined physical area of impact so a wider focus must be considered when soliciting information. The Consultant is required to describe the methodology to be implemented in determining the area of consultation.

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Activity 4: Identifying and addressing issues - Identification of the potential environmental, social and physical impacts resulting from implementation of the policy, programme or plan and suggestions from stakeholders of any possible mitigation measures is a key stage in making informed decisions on the policy, programme or plan. It is also important to the stakeholders to appreciate at the earliest possible time, the range and types of impact that the policy, programme or plan may impose on them. The Consultant is required to describe the methodology to be implemented in identifying and addressing issues that may be raised by stakeholders.

Activity 5: Managing PP communications - The management of PP communications is best carried out through the development of a communication strategy and network that ensures access of all relevant information by the IAPS and facilitates the free flow of information back and forth along communication pathways, using communication media that accurately informs and capacitates the IAPs and ensures equity during the PP decision making process. The Consultant is required to describe the methodology to be implemented in managing the flow of information with all stakeholders (national and international).

Activity 6: Managing media relations – Utilisation of public media to inform stakeholders about progress and or PP is a process requiring careful planning. Media mobilization should be seen as another tool in assisting the dissemination of information both to the affected IAPs and society in general. The Consultant is required to describe the methodology to be implemented in managing media relations that suits both the policy, programme or plan under assessment as well as the PP process.

Activity 7: Managing disputes and conflicts - Disputes and conflicts are a reality of policy, programme or plan implementation especially where change is concerned, therefore how change is managed will determine the type of conflict and disputes that will emerge during that change. The Consultant is required to describe the methodology to be implemented in managing disputes and conflict that conforms to local legislation and best practice in the project area.

Activity 8: Managing cross-cultural issues - The importance of cross-cultural issues that could affect the policy, programme or plan should never be underestimated. The Consultant is required to describe the methodology to be implemented to ensure that cultural protocols (that are likely to differ internationally) are developed and a framework and process is designed before entering the field. Inputs from experts and community leaders should be sought and a cultural protocol checklist created for all project staff.

Activity 9: Working with proponent, regulator and public – The PP process is not usually carried out in isolation from other project activities or project authorities. It is extremely important that a framework is developed to ensure the free flow of information in both directions between the PP team and the policy, programme or plan proponent and where relevant the regulator and the public. The Consultant is required to describe the methodology to be implemented in ensuring effective communications between the proponent and where relevant the regulator and the PP team.

Activity 10: Reporting PP effectively - Effective reporting is normally a statute requirement of countries during the SEA and PP processes. It is essential that the process of reporting effectively reflects the project cycle and how the PP process has progressed. The Consultant is required to describe the methodology to be implemented in ensuring effective reporting of PP outcomes to relevant authorities and stakeholders.

Activity 11: Managing information availability – The creation of a IMS system for the collection, analysis, storage, dissemination and reproduction of information in the form of maps, meeting minutes, schedules and media materials, such as poster and fliers, is of particular importance in

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capturing and integrating information. The system further enhances the orderly and effectiveness of and reporting of PP processes as most, if not all, information is centralised and can easily be networked. The Consultant is required to describe the methodology to be implemented in managing information and making it available to relevant authorities and stakeholders.

Activity 12: Managing biodiversity issues during PP The SADC member states are signatories to the United Nation Convention on Biological Diversity, and as such have obligations towards protecting the countries biodiversity for the sustainable use of its peoples. The management of biodiversity issues is integral to the PP process as society’s dependence on, use of, and cohabitation with this aspect of the environment is the very core of human sustainability. Thus any intervention that may change or alter that relationship should feature as important component of the PP engagement plan. Communities and individuals have over time built up a base of Traditional Knowledge and have developed Innovative Practices to use biological diversity in a sustainable manner, furthermore onsite communities normally have extensive knowledge of local environments, therefore traditional knowledge can make significant contributions to aiding the PP process and ensuring future use and sustainability. The Consultant is required to describe the methodology to be implemented in managing biodiversity issues during the PP process and making it available to relevant authorities and stakeholders. For further guidance on the use of Indigenous Knowledge in development, the Consultant can refer to the Handbook called. Integrating Indigenous Knowledge into Project, planning and Implementation. Developed by the World Bank; ‘CIDA’ and the International Labour Organisation. Site information can be found in the reference section of this document

5.4.5.5 Task 5: Implement Public Participation Plan:


Of particular importance in PP are methods to ensure the effective participation of affected parties above all those individuals or communities that are considered poor with relatively few resources to actively engage with the Consultants and participate in the SEA process. The Consultant must, where appropriate, demonstrate the flexibility of his/her proposal to accommodate such people particularly if they reside in different regions or countries.

The Consultant must also demonstrate in his/her proposal how commonly disadvantaged groups (women, youth, disabled) can be brought into the PP process.

5.4.5.6 Task 6: Determination of the Potential Impacts of the policy, programme, or plan

In this analysis distinguish between positive and negative impacts, direct and indirect impacts and immediate and long-term impacts. Identify impacts that are unavoidable or irreversible. Identify key impacts and their boundaries. Establish indicators and targets. Describe current and likely future. Wherever possible, describe impacts quantitatively in terms of social costs and benefits. Assign economic values when feasible.

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5.4.5.7 Task 7: Prepare a PP SEA Report

The PP SEA Report should:

• Contain a description of the policy, programme or plan under the SEA scrutiny and the affected environment extending beyond the physical boundaries of the area of influence of the policy, programme or plan, focusing on stakeholder identification, outcomes of stakeholder consultation, key assets affected, sensitive areas and threats;

• Review environmental and sustainability objectives of the policy, programme or plan and propose a set of criteria, targets or indicators for evaluating the effects of the policy, programme or plan’s objectives and alternatives Particular attention must be paid to local knowledge in the use and preservation of the biophysical recourse base;

• Contain a systematic identification, prediction and evaluation of potential impacts, including indirect and cumulative ones, with a level of detail appropriate for appraising the plan and the information needs of decision-makers and stakeholders;

• Include recommendations on preferred alternatives and a description of suggested monitoring and mitigation measures;

• Clearly delineate and explain the methodology by which its findings have been obtained and report on findings from public consultation;

5.4.5.8 Task 8: Public review of the SEA report for the policy, programme or plan

The Consultant is required to ensure early, timely and effective public participation in the SEA. To achieve this goal the Consultant must:

• Make the draft plan or programme available for public comment timely, using electronic and other appropriate tools suited to the regional needs;

• Give the public the opportunity to express its opinion on the draft within a reasonable time frame;

• Ensure that all arrangements for informing the public and consulting the public concern are publicly available.

• The Proponent in consultation with the Consultant must take into account comments received from public and environmental and health authorities in the decision to adopt a plan or program.

5.4.5.9 Task 9: Monitoring and Evaluation of the PP Process

The Consultant must prepare or describe methodologies by which he can monitor the effectiveness of the PP process continuously throughout the lifetime of the implementation of the project. A well constructed monitoring and evaluation plan will assist project managers, including the Proponent, in identifying stakeholders, for example, that have not be effectively engaged in the PP process. This plan would form one of the key deliverables.

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The composition and qualifications of the participation team is very dependent on the policy, programme or plan focus, location, scale and size of the policy, programme or plan and the resulting impacts.

For example a programme that seeks to manage transboundary water resources will require a PP team that are familiar with water related issues in addition to skills in PP.

Typically, however, a team is likely to be composed of a team leader supported by various specialists often originating from the different regions affected. Technical the following:

Team Leader: Sociologist with previous experience in participation related to SEA.

Other specialists would include generic national/regional participation specialists, national/regional workshop facilitators, translators, social anthropologists, field survey staff, and clerical support staff.

Section 4.5.2.5 above provides more detail on aspects to be addressed in the TOR regarding the qualifications of Consultants.

5.4.7 Deliverables


An SEA Participation Report










• Specific dates for progress reviews, interim and final reports and other significant events.

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6 CONCLUSION:

There are volumes of published information on the subject of EIA and Public Participation. The information contained in the Public Participation Templates is a synthesis of some of this large body of excellent research and publications. The authors of PP TORs are urged to consult this information base that can be found on web sites and other media sources, see annex 2 for more information. Further the authors of PP TORs are urged to reflect the reality of the conditions on the ground and the situation in the particular SADC country where the project is been implemented, the sometimes sternly correct and often sterile nature of TORs used in developed countries are not always realistic and indusive to innovative and creative Public Participation Processes in less developed countries.

S.J.WOODBURNE

SWAZILAND

27/2/2005.

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7 LIST OF REFERENCES

Aarhus Convention, Good Practice Handbook, Public Participation in Making Local Environmental Decisions: The Aarhus Convention Newcastle Workshop. UK: Department of Forestry, Environment and Regions. 2000

Boer A., O’Beirne, S., and Greyling, T., Vegetable Soup for the EIA Practitioner Spirit, SE Solution (PTY) LTD.2005

Botanical Society, Conservation Unit, Biodiversity boxes 2004

Common Ground Public Participation In Environmental Assessment in the SADC Region, Calabash Studies Report, September 2004,

Cownie, D (Dr.) Social Impact Assessment and Policy Analysis Corporation (PTY) LTD, Submission of Revised Article for the Calabash, 2004

CSIR Strategic Environmental Assessment (SEA): A Primer. CSIR report ENV/S-RR 96001. 1996

Republic of South Africa, Department of Water Affairs and Forestry 2001,Generic Public Participation Guidelines, Pretoria (2001:6)

Greyling, T., Achieving Sustainability: The Role of Impact Assessment IAIA’04 Vancouver, April 2004

http://governance.wri.org/pubs_content_text.cfm World Resource Institute

http://www.iaP2.org/spectrum.htm International Association for Public Participation –Helps organization and Communities around the world improve their decisions by involving those people are affected by those decisions.

http://www.nzaia.org.nz/iaia/iaia_eia_guidelines.htm

http://www.uneptie.org/pc/pc/tools/eia.htmUnited Nation Environment Programme Division of Technology, Industry and Economics- providing an Integrated response to Environmental Issues.

http://www.worldbank.org/wbi/sourcebook/sb0100.htm The World Bank Group: IBRD,IDA ,IFC ,MIGA,ICSID

IAIA “Principle of Best EIA document”, which can be viewed at (http://www.nzaia.org.nz/iaia/iaia_eia_guidelines.htm) New Zealand Association for Impact Assessment Promote the use and better practice of Impact Assessment

IAP2 Public Participation Toolbox, 2000 International Association for Public Participation

Jaarsveld R. V, Generic Public Participation Guidelines, Pretoria: Department of Water affairs and Forestry (2001)

McDaid, L, The Environmentally F.A.I.R. Process, Wessa:WC, August 2000

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Golder, Public Participation Guidelines for Stakeholders in the Mining Industry, August 2002

Sadler, B. Towards the improved effectiveness of environmental assessment. Executive Summary of Interim Report Prepared for IAIA'95. Durban, South Africa. 1995

Southern African Institute of Environmental Assessment Situation Assessment of Participation of Civil Society in Environmental Assessment in Southern Africa (SAIEA, 2003)

Verheem, R., Appendix 2,Nine-Step and Four phrase approach of SEA, Netherlands EIA Commission

United Nations Environment Program, CBD 2001-2004,Secretariat of the Convention on Biological Diversity

World Bank, CIDA and the International Labour Organization, Integrating Indigenous Knowledge into Project Planning and implementation. http://www.acdi-cida.gc.ca/ea

World Bank. World Bank Participation source book. Practice Pointers: learning from the poor. http://www.worldbank.org/wbi/sourcebook/sb0401t.htm

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ANNEXES

ANNEX 1: EIA LEGISLATIVE REQUIREMENTS FOR SADC COUNTRIES

ANNEX 2: LITERATURE REVIEW

ANNEX 3: MODEL FOR PUBLIC PARTICIPATION

ANNEX 4: INSTRUCTIONS FOR THE COMPILATION OF TERMS OF REFERENCE

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ENVIRONMENTAL IMPACT ASSESSMENT (EIA) LEGISLATIVE

REQUIREMENTS FOR SADC MEMBER STATES

ANNEXURE 1

- 2 -

TABLE OF CONTENT

EIA legislative requirements for the SADC member states ..........................................3 Republic of South Africa ...........................................................................................3 Kingdom of Lesotho ..................................................................................................3 Mozambique ..............................................................................................................3 Angola........................................................................................................................3 Kingdom of Swaziland ..............................................................................................3 Malawi .......................................................................................................................4 Botswana....................................................................................................................4 Zambia .......................................................................................................................4 Zimbabwe ..................................................................................................................4 Democratic Republic of Congo .................................................................................4 Seychelles ..................................................................................................................5 Tanzania.....................................................................................................................5 Mauritius ....................................................................................................................5 Namibia......................................................................................................................5

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EIA LEGISLATIVE REQUIREMENTS FOR THE SADC MEMBER STATES

In most countries, EIAs have important legal requirements. A summary of existing legislative requirements for the SADC member states is given below:

REPUBLIC OF SOUTH AFRICA

In South Africa, the Environment Conservation Act No. 73 of 1989 makes provisions for the identification of activities that require EIA (section 21) and for promulgation of EIA regulations (section 26 and 28). The Minerals Act No. 50 of 1991 also deals with environmental impact assessment for mining activities. Another act is the National Environmental Management Act No. 107 of 1998, which also makes provisions for EIA.

KINGDOM OF LESOTHO

After the Earth Summit in 1992 it was decided to develop a new, comprehensive environmental legislation framework. This resulted in a new policy, approved by the Cabinet in 1996. The Environment act (No. 15) was passed in 2001. Section 122 (2) (g) provides regulations for EIA. Though some regulations are already in use, they have not yet been officially published. Complementary assessment instruments have not yet been developed.

MOZAMBIQUE

The Environmental Framework Law (EFL) no. 20, approved by Parliament in 1997, contains a chapter (4) “Prevention of Environmental Damage”, where EIA is included as one of the principal tools. Regulations for implementation and sectoral guidelines

The Council of the Ministers approved the EIA Regulation Decree no. 76, in the late 1998. EIA for oil and gas exploration and exploitation and mining activities will be governed by specific regulations (not yet available). The Investment Law no. 3/93 requires that projects with major environmental impacts be subject to an EIA. Some sectoral guidelines (e.g. for the road sector) are in draft since 2001 but have not been finalized.

ANGOLA

In the early 1990s, a new State Secretariat for the Environment was established. The secretariat developed the Environmental Framework Act, No. 5 (Lei de Bases do Ambiente), which was approved in 1998. At present a decree is under preparation on EIA by the Ministry of Urban Planning and Environment. Environment still has to be mainstreamed and integrated in the main social and economic sectors. Several laws are still contradictory.

KINGDOM OF SWAZILAND

Environmental legislation has been promulgated under the Ministry of Tourism, Environment and Communications. The Swaziland Environment Act (No. 15 of 1992) and the Environmental Audit, Assessment and Review Regulations (adopted by Legal Notice No. 30 of 2000) regulate the use of EIA.

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MALAWI

The Environmental Management act (Nr. 23 of 1996) gives the Environmental Affairs Department (EAD) the responsibility of administering the EIA process and granting approval of EIAs. At the same time, the Forestry Act of 1997 gives the Forestry Management Board the responsibility to approve EIAs for projects within protected areas.

BOTSWANA

A legal basis for EIA (and SEA) does not exist. A draft law on EIA for project plans and programmes is in preparation (December 2003). Under this law SEA is mandatory for programmes and plans. One to five EIAs are executed annually. SEA has been applied for the eighth National Development Plan and various programmes. For details see

ZAMBIA

EIA has a legal basis in Zambia and is practiced since 1997. On average 20 - 40 EIAs are executed annually. SEA is not yet practiced in Zambia (situation in 2003). In 1985 the Zambian government adopted the National Conservation Strategy (NCS) as a principal policy document for conservation and better management of natural resources. The Environmental Protection and Pollution Control Act No. 12 (EPPCA) was enacted in 1990, which established the Environmental Council of Zambia (ECZ) to implement the Act. The EPPCA came into effect in 1992 and the Council was constituted in the same year. The EPPCA provides for the protection of the environment through provisions on natural resources management as well as for pollution control under the powers of the Environmental Council. In 1994 the Government adopted the National Environmental Action Plan (NEAP) as the basis for Zambia's environmental policy framework. Zambia’s second state of environment report was prepared by ECZ in 2001 as part of the Industrial Pollution Prevention Programme. The ECZ is responsible for pollution control and environ mental quality, including regulation of EIA. The ECZ is also mandated to develop and enforce regulations in terms of the Act.

ZIMBABWE

In 2003, the Environmental Management Act (EMA) was passed; EIA requirements are dealt with under part XI. So far, 30 – 40 EIAs are executed annually on average. SEA has no legal basis and is not practiced up till now.

DEMOCRATIC REPUBLIC OF CONGO

The DRC has no legislation governing the practice of EIAs and normally uses the World Banks practices and procedures.

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SEYCHELLES

The Seychelles uses the Environmental Protection Act 1994 to guide the EIA process requirements in the country. TANZANIA

There is no formal EIA legislation. The Environmental Management Bill is currently under review by Cabinet and seeks to legalize the current policy (including EIA requirements). But a national policy on environment and a proposed national framework on EIA exist. MAURITIUS

The Environmental Protection Act (EPA) no. 19, 2002 provides a licensing regime, which requires preliminary environmental approval or an EIA license for various activities ranging from minor activities to strategic developments. Schedule 1 of the act lists activities, which require SEA, and these include major plans and programmes.

NAMIBIA

At Independence, Namibia inherited environmental legislation that was outdated, fragmented and incomplete. As a result, it became necessary to revise and review the existing environmental legislation and this project was established within the MET to review and revise existing legislation and to facilitate the establishment of an appropriate environmental legislation framework for Namibia. The following draft legislation has been prepared:

• Environmental Management Act • Parks and Wildlife Management Act • Pollution Control and Waste Management Act • Bio safety Act • Access to Biological Resources and Associated Traditional Knowledge Act

The emphasis in the development of new legislation is on consultation with stakeholders at all stages to ensure that the end product is appropriate to serve Namibia's long and short term needs.

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Conclusion: A more comprehensive book and site for information on SADC member states EIA legislation requirements can be found at SAIEA (www.saiea.com) And the authors of Public Participation TOR are urged to consult this site, and any other sites that may be relevant on projects funded by external agencies such as the World Bank.

LITERATURE REVIEW IN SUPPORT OF

PUBLIC PARTICIPATION DURING A (EIA) For Use In

SADC Member States

ANNEXURE 2

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TABLE OF CONTENTS

TABLE OF CONTENTs ...............................................................................................2 Literature Review...........................................................................................................3 1 Environmental Assessment & Environment Impact assessment ...........................3

1.1.1 Environmental assessment .....................................................................3 1.1.2 Environmental Impact Assessment (EIA) .............................................3

1.2 Public Participation........................................................................................9 1.2.1 Principles of Public participation.........................................................11 1.2.2 Strategies/ Process for Public Participation and Associated Underpinnings......................................................................................................15 1.2.3 Creating a participation strategy ..........................................................15 1.2.4 Participation techniques .......................................................................22 1.2.5 Techniques to compile input and provide feedback ............................24 1.2.6 Techniques to bring people together....................................................25 1.2.7 Consensus building techniques ............................................................25

1.3 Crucial Elements in developing a PP Process..............................................28 1.3.1 Communication....................................................................................28 1.3.2 Managing disputes and conflicts..........................................................29 1.3.3 Reporting PP effectively ......................................................................29

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LITERATURE REVIEW

The point of departure in the review of this literature is to define the operational terms; Environmental Assessment (EA) and Public Participation (PP). These definitions will place such a review within a defined and broader context and it is from this context that “cues” could be found that strive to point towards the general direction to be taken when executing these processes efficiently and adequately. The initial part of this review defines these terms, and outlines the principles and general process applicable to each of them. Subsequent to this exposition is also an elaborate synthesised review of documents related to the task, and the synthesis thrives to align to the topics recommended for inclusion in the development of a model of best practice for Public Participation in the execution of Environmental Impact Assessment.

1 ENVIRONMENTAL ASSESSMENT & ENVIRONMENT IMPACT ASSESSMENT

1.1.1 Environmental assessment

Environmental assessment (EA) is a tool for examining the environmental effects of development. The scope of the environment transcends the biophysical aspect and includes the social and economic facets. EA entails the systematic identification, prediction and evaluation, mitigation and management of impacts from a proposed development and its reasonable alternatives.

A goal of EA is sustainable development and this requires the simultaneous consideration and integration of economic, ecological and social factors. The challenge for sustainable development is the optimisation of the trade-offs between and across the three systems, such that economic, ecological and social objectives are integrated and met at some minimum threshold level which respects the values and needs of not only the present, but also future generations.

Project level EA is known as Environmental Impact Assessment (EIA), and EA at plan, programme and policy level is known as Strategic Environmental Assessment or SEA.)

1.1.2 Environmental Impact Assessment (EIA)

This can be defined as an official analysis that details the anticipated effects of planned projects or activities on local and regional areas, and explores options and alternatives for mitigating these effects. The IAIA “Principle of Best EIA document” defines it as the process of identifying, predicting, evaluating and mitigating the biophysical, social, and other relevant effects of development proposals prior to major decisions being taken and commitments made. The objectives are:

• To ensure that environmental considerations are explicitly addressed and incorporated into the development decision making process;

• To anticipate and avoid, minimize or offset the adverse significant biophysical, social and other relevant effects of development proposals;

• To protect the productivity and capacity of natural systems and the ecological processes which maintain their functions; and

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• To promote development that is sustainable and optimises resource use and management opportunities

EIAs are regarded as critical planning documents in many nations, including the SADC region, and often have important legal and political ramifications for whether the project goes forward or how it will be modified to reduce any negative impacts.

Some basic principles, which underpin the EIA process, are discussed below.

1.1.2.1 Principles of EIA

According to IAIA “Principle of Best EIA document”, which can be viewed at (http://www.nzaia.org.nz/iaia/iaia_eia_guidelines.htm), the principles are categorised into two: Basic Principles and Operating Principles.

1.1.2.1.1 Basic Principles of EIA

These apply to all stages of EIA; they also apply to Strategic Environmental Assessment (SEA) of policies, plans and programs. The principles should be applied as a single package, recognizing that the Principles included are interdependent and, in some cases, may conflict (e.g., rigor and efficiency). A balanced approach is critical when applying the Principles to ensure that environmental impact assessment fulfils its purpose and is carried out to internationally accepted standards.

Below is a list of these principles. They state that Environmental Impact Assessment should be:

i. Purposive - the process should inform decision-making and result in appropriate levels of environmental protection and community well being.

ii. Rigorous - the process should apply "best practicable" science, employing methodologies and techniques appropriate to address the problems being investigated.

iii. Practical - the process should result in information and outputs, which assist with problem solving and are acceptable to and able to be implemented by proponents.

iv. Relevant - the process should provide sufficient, reliable and usable information for development planning and decision-making.

v. Cost-effective - the process should achieve the objectives of EIA within the limits of available information, time, resources and methodology.

vi. Efficient - the process should impose the minimum cost burdens in terms of time and finance on proponents and participants consistent with meeting accepted requirements and objectives of EIA.

vii. Focused - the process should concentrate on significant environmental effects and key issues; i.e., the matters that need to be taken into account in making decisions.

viii. Adaptive - the process should be adjusted to the realities, issues and circumstances of the proposals under review without compromising the integrity of the process, and be iterative, incorporating lessons learned throughout the proposal's life cycle.

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ix. Participative - the process should provide appropriate opportunities to inform and involve the interested and affected publics, and their inputs and concerns should be addressed explicitly in the documentation and decision-making.

x. Interdisciplinary - the process should ensure that the appropriate techniques and experts in the relevant biophysical and socio-economic disciplines are employed, including use of traditional knowledge as relevant.

xi. Credible - the process should be carried out with professionalism, rigor, fairness, objectivity, impartiality and balance, and be subject to independent checks and verification.

xii. Integrated - the process should address the interrelationships of social, economic and biophysical aspects.

xiii. Transparent - the process should have clear, easily understood requirements for EIA content; ensure public access to information; identify the factors that are to be taken into account in decision making; and acknowledge limitations and difficulties.

xiv. Systematic - the process should result in full consideration of all relevant information on the affected environment, of proposed alternatives and their impacts, and of the measures necessary to monitor and investigate residual effects.

1.1.2.1.2 Operating Principles

These state how the Basic Principles should be applied to the main steps and specific activities of the environmental impact assessment process. e.g. screening; scoping; identification of impacts; assessment of alternatives.

Operating principles states that the EIA process should be applied:

i. As early as possible in decision making and throughout the life cycle of the proposed activity;

ii. To all development proposals that may cause potentially significant effects;

iii. To biophysical impacts and relevant socio-economic factors, including health, culture, gender, lifestyle, age, and cumulative effects consistent with the concept and principles of sustainable development;

iv. To provide for the involvement and input of communities and industries affected by a proposal, as well as the interested public;

v. In accordance with internationally agreed measures and activities.

1.1.2.2 The EIA Process

The EIA process should provide for the following headings and sections according to the (IAIA “Principle of Best EIA document”):

1. Screening

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2. Scoping

3. Examination of alternatives

4. Impact Analysis

5. Mitigation and Impact management

6. Evaluation of Significance

7. Preparation of Environmental Impact Statement (EIS) report

8. Review of EIS

9. Decision Making

10. Follow Up

1.1.2.2.1 Screening

This entails determining whether or not a proposal should be subject to EIA and, if so, at what level of detail.

1.1.2.2.2 Scoping

Scoping is an attempt to identify the issues and impacts that are likely to be important and to establish terms of reference for EIA. A positive planning approach is to be adopted to scope effectively. Positive planning advocates the earliest possible identification and consideration of the opportunities and constraints posed by the natural environment (biodiversity, ecological processes, ecosystem services) in relation to the proposed activity, and their accommodation in the proposed activity. Early identification of potentially significant issues encourages the exploration of alternatives (eg location, scale, design, sighting, layout and management) which could avoid or reduce significant impacts in the earliest, conceptual stages of the project.

The scoping of impacts is best undertaken as early as possible in the planning process. The project leader or EAP should, at the very least, draw on available information as a first filter to determine the context of the proposed activity. It is also critical that ‘bigger picture’ documents which may have a bearing on the proposed activity are identified as early as possible, to give a clear context for the EIA (eg relevant laws, policies, plans, any relevant SEAs)

An effective and defensible environmental process requires sound involvement of key stakeholders as early on as possible in the EIA process, so that issues, ideas and concerns can influence planning and be addressed. This early involvement of stakeholders also provides an opportunity to bring them ‘on board’ in a constructive way so that they can assist in shaping plans and managing the risks around project outcomes (amongst other issues)

1.1.2.2.3 Examination of alternatives

This is undertaken to establish the preferred or most environmentally sound and benign options for achieving proposal objectives. It is essential in this step that sufficient, relevant

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and reliable information is obtained to assess and evaluate the implications of potential impacts associated with different alternatives. Not only is it important to obtain sound scientific information, usually by appointing appropriate specialists, but also to draw on local, traditional and indigenous knowledge.

Addressing alternatives offers some of the most innovative and progressive options for addressing impacts and making development sustainable. The early analysis of alternative locations, siting and design, linked to key issues, offers the best possibility to prevent adverse impacts. If alternatives are considered too late in the EIA process, the option of avoiding negative impacts is substantially reduced, and the focus shifts to reducing, rather than avoiding or preventing these impacts. For these reasons, the consideration and acceptance, evaluation and/or rejection of alternatives should be a continual, iterative process throughout the planning and environmental assessment process, and should inform the final development proposal. Reasonable alternatives consist of those options which would meet the stated need for and purpose of the proposed development, would be feasible, and which take due cognisance of the inherent opportunities and constraints of the environment to development.

1.1.2.2.4 Impact analysis

Impact analysis entails identification and prediction of the likely environmental, social and other related effects of the proposal. The analysis should entail deciding on the type of impacts envisaged for a project. The following types of impacts can be determined:

1) Direct Impacts:

• Occur at the same time and in the same space as the causal activity, e.g. increased volume of waste coal dumps containing iron sulphide

2) Indirect Impacts:

• Occur later in time or at a different place from the causal activity, eg spontaneous combustion of waste dumps and raised sulphure dioxide levels in local air; acid mine drainage into local streams. e.g. acid mine drainage into local streams; changed access to natural resources as result of activity, influx of people to area as result of activity, leading to severe pressure on biodiversity, etc.

3) Cumulative Impacts:

• Result from the accumulation of human-induced changes in the environment across space and over time, taking into account past, present and/or reasonably foreseeable future actions, e.g. acid rain, increased mortality of downstream organisms.

• Often occur in an additive or interactive manner:

• Can be ‘incremental’ or ‘additive’, arising from repeated impacts of the same nature

• Can be ‘interactive’ or ‘synergistic’, where the effects of different activities combine to produce a significant, and sometimes apparently unrelated, impact

• Can occur after a sequence of events, over time.

• Can be triggered when a particular ‘threshold’ is passed.

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• Can be an irregular, ‘surprise effect’.

• Can be triggered by a feedback process, and be either antagonistic or ameliorative.

1.1.2.2.5 Mitigation and impact management

It is conducted to establish the measures that are necessary to avoid, minimize or offset predicted adverse impacts and, where appropriate, to incorporate these into an environmental management plan or system.

1.1.2.2.6 Evaluation of significance

Executed to determine the relative importance and acceptability of residual impacts (i.e., impacts that cannot be mitigated).

Broadly speaking, a ‘significant’ impact is one that, through its magnitude, extent or duration, has a severe effect on important or valued resources.

Evaluation of Significance should take into consideration:

Largely scientific and/or technical or factual criteria:

i. Whether the impact is positive (and can be enhanced) or negative.

ii. Magnitude or severity of impact, e.g. large, medium or small.

iii. Spatial extent of impact, e.g. site-specific, localised, regional, national or international.

iv. Duration of impact, e.g. short-term (during construction), medium term (5-20 years), long term (+20 years) or permanent.

v. Irreversibility or irreplaceable and/or irretrievable commitment of resources.

vi. Indirect or secondary impacts, e.g. effect on land uses around the site.

vii. Probability of impacts, e.g. definite, probable, possible, unlikely.

viii. Cumulative impacts likely to be triggered.

ix. Total product life cycle, where applicable.

x. Confidence in predicting impacts. Number s in bold not consistent

1.1.2.2.7 Preparation of environmental impact statement (EIS) or report

This to document clearly and impartially impacts of the proposal, the proposed measures for mitigation, the significance of effects, and the concerns of the interested public and the communities affected by the proposal.

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1.1.2.2.8 Review of the EIS

Review of the EIA entails determining whether the report meets its terms of reference, provides a satisfactory assessment of the proposal(s) and contains the information required for decision-making.

1.1.2.2.9 Decision making

Decision-making is done to approve or reject the proposal and to establish the terms and conditions for its implementation.

1.1.2.2.10 Follow up

This is done to ensure that the terms and condition of approval are met; to monitor the impacts of development and the effectiveness of mitigation measures; to strengthen future EIA applications and mitigation measures; and, where required, to undertake environmental audit and process evaluation to optimise environmental management.

Additional key elements of the ‘right’ EIA process include (Biodiversity Guidelines 2004):

• Positive planning, where the EIA process influences the proposal

• Appointment of suitable and competent specialists, with appropriate Terms of Reference).

• Continual and iterative consideration of alternatives.

• Sound integration of different studies

• Preparation of documentation that meets the decision-maker’s needs.

1.2 PUBLIC PARTICIPATION

According to World Bank Participation Sourcebook, Public Participation is Processes through which stakeholders’ influence and share control over development initiatives and the decisions and resources that affect them. This entails various roles between the stakeholders and the development agency including social learning, social invention and commitment.

Department of Water Affairs and Forestry RSA. (DWAF.2001) defines Public Participation as the ongoing interaction between role players that is aimed at improving decision making during the planning, design, implementation and evaluation of development project and processes. It requires the involvement of all stakeholders, including groups that are often marginalized such as women and the youth.

Decision makers have to consider the views of stakeholders during the decision making process. The term may be used interchangeably with “public, stakeholder or community involvement”.

DWAF (2001) citing the International Association for Public Participation (IAPP) and the World Bank adds that it describes a variety of relationships between the implementing agency and its stakeholders and could take various levels (to inform, consult, involve, collaborate or

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empower) or types (passive participation, consultative participation and Interactive participation).

According to the World Resources Institute (http://governance.wri.org/pubs_content_text.cfm) benefits from Public participation include:

• improving the quality of decisions (the public may provide site-specific knowledge, or offer suggestions that satisfy a wider range of interests);

• resolving conflict among competing interests (resulting in longer-lasting and more satisfying decisions, helping to overcome gridlock);

• building trust in institutions; and

• educating and informing the public.

DWAF (2001:6) gives the following as objectives of Public Participation

a) To improve decision making

Making the process transparent, inclusive and fair attains improved decision-making. Trust and a shared vision are created amongst stakeholders and they become more willing to contribute their ideas, needs and suggestions etc. This adds to the technical and scientific content of information that informs decision-making.

b) To bring about sustainable development

This occurs when decision-makers incorporate views, opinions and perspectives of those affected. Often external experts cannot tell how people feel or what they wish or fear and sustainable development requires the integration of the social, economic and biophysical parameters.

c) To normalize the attitudes of stakeholders

Behavioural patterns of stakeholders emanating from the varying socio-economic conditions and experiences can be normalized through public participation. Public participation promises to consider opinions, views and suggestions of those affected that they will be considered in decision-making.

The Public Participation Good Practice Handbook (Aarhus Convention, 2000:) points at the same direction by acknowledging that Public Participation is vital making. It uses the knowledge, skills and enthusiasm of the public to help make the decision and recognizes that the public has a significant role to play. It is also a moral duty. Public authorities work for the public. To do so in a way that the public want and to ensure that they know what the public needs, they must involve the public when they make decisions. Each person has a stake in protecting and enhancing the environment and citizens know the needs of their communities through work play and travel. That is why public involvement is a central part of sustainable development policies. Solutions to achieve economic, social and environmental

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improvements at the same time will only be found if everyone is involved and if the discussion is open so that new ideas and approaches can be considered.

1.2.1 Principles of Public participation

The principles below are also according to DWAF (2001:15–20):

i.Inclusive involvement of all stakeholders ii.Integration

iii.Mutual respect amongst role players iv.Continuity in participation v.Consideration of multiple options

vi.Flexibility vii.Transparency

viii.Rights and roles ix.Accountability and commitment x.Accessibility of information

xi.Awareness creation xii.Capacity Building and empowerment

xiii.Efficiency xiv.Suitability of scale of involvement xv.Feedback to and from the stakeholders

xvi.Monitoring and Evaluation

1.2.1.1 Inclusive involvement of all stakeholders

This principle requires the participation of all stakeholders to be involved in the initiative. Representation of all relevant sectors, representatives and interests should be a prime target. The process should afford a broad range of stakeholders. This should afford even the less empowered groups (including the poor) the opportunity to be heard and to become involved. Many cultural, economic, and political barriers effectively prevent the poor from having any real a stake in development activities. The World Bank Participation Sourcebook notes that without special efforts by the designers and sponsors of projects, and without appropriate policies to address and overcome these obstacles, the voices of the poor will not be heard and their participation will at best be token. Stakeholders’ representation in terms of race, gender, cultural group, demographic representation is essential to successful participation. The needs and interests of marginalized groups should be emphasized. The involvement of groups marginalized by social, economic, gender or cultural factors is important. Often their voice is not sufficiently heard in participation processes. It is necessary, therefore, to deliberately create opportunities for the full involvement of these groups (Best Practices, SAIEA, 2003).

1.2.1.2 Integration

The principle emphasizes the inclusion of both public issues and technical assessments in public participation processes that contribute to decision-making. Integration involves bringing together public issues and technical assessments and consideration of local and traditional knowledge in decision-making. The latter is taken care of by Participatory Rural Appraisal (PRA) participatory approaches and methods that emphasize local knowledge and

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enable local people to make their own appraisal, analysis, and plans. PRA uses group animation and exercises to facilitate information sharing, analysis, and action among stakeholders According to the World Bank Participation Sourcebook, decisions considered should be based on an integration of public issues and technical assessment, which requires that views of all stakeholders are heard and considered fairly including local and traditional knowledge. In any single geographical area involving the same stakeholders at one time, initiatives needs to be coordinated in order to prevent duplication, confusion and fatigue among stakeholders. Consistency in the approach is desired.

1.2.1.3 Mutual respect amongst role players

This principle emphasizes that role players should acknowledge and respect each other’s knowledge. The participatory process will work only if peoples’ knowledge, opinions and ideas are respected and their individual and collective inputs acknowledged and considered. This is afforded by a strong commitment to share their views and opinions, desires and fears without inhibition. All stakeholders must be treated equally and with respect. The relationship between environmental assessment practitioners on the one hand, and stakeholders on the other is crucial. It is vital that the highest ethical standards are maintained, and that there is the constant pursuit of good and productive relationships on the part of the practitioners (Best practices, SAIEA, 2003).

1.2.1.4 Continuity in participation

The principle of continuity refers to participation of role players throughout the initiative. Participation should be inclusive and continuous throughout the process of design, implementation and evaluation of projects. Stakeholders should be involved from the earliest stage in the planning of a project until its end. Stakeholders should be comfortable with the participation process and this should afford them many opportunities for comment and exchange of information, views and opinions. Participation should take place in successive rounds, building up both the information base and the understanding of issues.

1.2.1.5 Consideration of multiple options

This principle supports stakeholders to consider various alternatives within an initiative. Initiatives may generate many options and all of these needs to be considered, even the option of no development.

1.2.1.6 Flexibility

The principle refers to the need to adapt to different circumstances. Local social dynamics and diversity should be understood and respected and the public participation process must be flexible and be able to adapt to this diversity. The process should be sufficiently flexible to include inputs at all stages and should always be able to adjust to new information and changed circumstances. A creative and original approach in the use of participation techniques should be encouraged. The participation process should be custom designed for each respective environmental assessment exercise (Best Practice SAIEA, 2003).

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1.2.1.7 Transparency

The principle of transparency refers to the honest, open and equitable nature of public participation. Role players should be transparent, efficient and equitable and this has implications that the public participation process must be an honest one and that participants have to act with integrity.

The Good Practice Handbook (Aarhus, 2000) also states that: The participation exercise must be open and honest to encourage trust and show that the decision is fair. Giving the impression that the decision has already been made is very damaging to the process. The public will not participate if they think that the decision has already been made. The objectives and scope of each participation process should be made clear at the beginning. How and when the public will be given the opportunity to participate should also be clear. There should be transparency and honesty about impacts and benefits for the stakeholders.

1.2.1.8 Rights and roles

The principle emphasizes role players’ understanding of their own and other role players’ contribution to the success of public participation. Both government and civil society should take responsibility in creating an environment in which public participation contributes to the right of all individuals to be part of the decisions that influence the quality of their life. Role players in public participation process should understand that right and role so that respective responsibilities are clear. Rights to participate comes with roles and responsibilities and stakeholders should receive information early on to assist them to understand their roles and rights in the process as well as the rights and role of government.

1.2.1.9 Accountability and commitment

The principle emphasizes that role players should be encouraged to take responsibility for the public participation. There should be shared responsibility between role players in terms of commitments, burdens and benefits of public participation as well as shared accountability for the successes and failures of the process. Those involved in the process should be well informed and able to answer questions clearly and efficiently. The process design should enable marginalized and disadvantaged groups to commit their time and resources to the process. Participants representing sectors should be the same individuals throughout an initiative and stakeholders should take responsibility for familiarizing themselves with documentation for discussion, submitting comments and contributions by target dates, participating in meetings, and understanding that it is the collective inputs of various sectors that add value to decision-making.

Those involved in environmental assessment processes need to act with integrity and commitment. Where the professional teams within the environmental assessment exercise gives undertakings, these needs to be followed through. Undertakings should not be given where they cannot be adhered. Similarly stakeholders need to be made aware of both the limits and possibilities of the assessment process. They need to have a fine grasp of the consequence of their participation. False expectations of the process should be avoided. Stakeholders should be well informed about the detail of the process and their role within it (Best practices, SAIEA, 2003).

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1.2.1.10 Accessibility of information

This principle enables effective participation by supporting stakeholders to be well informed and knowledgeable. Stakeholders should have timely access to information in order to participate effectively. The information should be accessible in terms of language and terminology in order to build the capacity, understanding and knowledge of stakeholders, and in this way stakeholders will make meaningful contributions. Material should be easily obtained, copies should be available in appropriate languages and stakeholders should be supported in distributing it to their constituencies. Information on which decisions are based should be detailed, accurate, and easy to understand and cover all relevant aspect of the issues.

Participation should be in accordance with the ability and interest level of the stakeholders. It is thus necessary to be familiar with the stakeholders’ level knowledge before the process starts.

1.2.1.11 Awareness creation

Linked to the accessibility of information, this principle refers to the need to make stakeholders aware of issues affecting them and how they might influence the outcomes of the process. Relevant policy, plan and programme need to be articulated clearly and truthfully at the beginning of a process in order to make people aware of how they are affected. The opportunity to participate should be announced in ways that are appropriate for that sector. This should be undertaken over a period of time to ensure that a broad spectrum of stakeholders is aware of the opportunity to participate. Awareness creation is a way of empowering people.

1.2.1.12 Capacity Building and empowerment

This principle requires that all stakeholders be granted both the opportunity and support to participate meaningfully and this principle is linked to the principle of awareness creation. Informed and empowered stakeholders contribute effectively and on an equal basis. Special efforts to build the capacity of previously disadvantaged communities and marginalized groups to collect and disseminate information and undertake internal consultation should be one of the first steps of the participation process. These possess relevant experience and knowledge – both indigenous and modern – and understand their own situation best.

1.2.1.13 Efficiency

The principle of efficiency refers to a public participation plan that maintains the momentum of a clear and definite process. The times and cost of the process should be efficient without compromising the quality of the outcome. Efficiency is maintained by keeping to a plan for the entire process. This plan, including information on what happens next, who does what, where and how, should be made clear to everyone to keep role-players motivated.

1.2.1.14 Suitability of scale of involvement

The principle stresses that the intensity of public participation is relative to the impact of the decision and suitable to the scale and type of an initiative. The resources committed to a

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public participation process should be relative to the potential impact of and possible interests in the initiative.

1.2.1.15 Feedback to and from the stakeholders

This principle refers to a flow of information that establishes trust and assurance among stakeholders and the consistent involvement of all. Stakeholders should receive ongoing feedback and opportunity to verify that their issues of concern and inputs have been considered, and if they have not, to receive an explanation. Stakeholders should be given opportunity to comment on the process and their involvement.

1.2.1.16 Monitoring and Evaluation

This principle aims at minimizing mistakes and risks to the process both in the present and future by applying lessons learnt from the past. Public Participation processes should be evaluated and monitored by all role players to minimize mistakes and risks. Public inputs should be evaluated in terms of its relationship to government policy, local, provincial and national interests, technical feasibility and potential impacts on stakeholders.

1.2.2 Strategies/ Process for Public Participation and Associated Underpinnings

Public Participation as practiced in Europe is well articulated by the Aarhus Convention (2000), which can also be used as a model of good practice for Africa. The strategies or processes that can be used for public participation will be reviewed with intermittent reference to this convention. The start of a public participation exercise should be preceded with certain questions that need to be considered and a strategy or plan agreed. Without this preparation stage, the exercise is unlikely to be effective or to achieve what is required. However, flexibility is still need because situations might arise which mean that the plan should be revised (Aarhus: 2000).

The most obvious question is when public participation should be undertaken. In general, public participation should be undertaken when people are affected by the decision. They should be involved even when it is uncertain what they will say or when they may oppose the proposal. According to the Good Practice Handbook (Aarhus: 2000), public participation exercises should only be undertaken when:

• the options are open (when public participation can make a difference);

• there is a clear idea of what the public is being asked to do; and

• there is a commitment to listen to the public’s views and take them into account in making the decision.

1.2.3 Creating a participation strategy

The starting point for preparing a strategy for a participation exercise is the existing legal requirements. In many countries, the law sets a framework for public participation exercises. Good practice goes beyond these minimum requirements and even where there is no legal

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framework in place, it is still possible to organize effective public participation exercises (Good Practice Handbook 2000:14).

In places where public participation is relatively new it can be difficult to build sufficient trust for the public to want to participate. The strategy might need to include a trust building phase with the public, NGOs and businesses or be part of a longer strategy for building a relationship between the authority and the public Similarly; there might be a need to undertake a training phase:

• The public might need to be informed about the process that will be followed and their role in making the decision.

• Decision-makers might need training about how they should deal with the public’s comments, and which comments they can consider and which comments they should ignore. They might also require training so that they do not say or do anything, which gives the impression that the decision has already been made.

• Other participants might need training in special skills to manage the public participation exercise, for instance to deal with angry people or to encourage comments from quiet people.

The following are the questions that need to be considered when preparing a participation strategy (Aarhus, 2000: 14-20):

1. What is the purpose of the exercise?

2. Who should participate in the exercise?

3. Are the public represented?

4. When should they participate?

5. How do you get the public to participate?

6. What information do they need to participate?

7. Publicity?

8. How long should be allocated to the public participation stage?

9. What do the public need to participate?

10. What resources are available?

11. How will the comments be handled?

12. What needs to be done once the decision has been made?

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1.2.3.1 What is the purpose of the exercise?

It is necessary to be clear what the process is trying to achieve before it starts. The purpose of the exercise affects how the process is managed, what participation techniques are used and how long it will take. A clear idea of the purpose also enables one to focus on the specific decision in question rather than becoming engaged in irrelevant issues.

1.2.3.2 Who should participate in the exercise?

The decision-making process should be open to everyone so that anyone affected by the decision can participate. This though may not be enough. The best decision-making processes actively seek out all the people and organizations likely to be affected by the decision so that they are fully aware of it and its likely effect on them. A wide range of interests should be identified and encouraged to take part in the process. Waiting for people to come forward is not best practice. Article 6 of the Aarhus Convention requires that the ‘the public concerned’ participate in the Decision:

“The public concerned” means the public affected or likely to be affected by, or having an Interest in, the environmental decision-making; for the purposes of this definition, nongovernmental organizations promoting environmental protection and meeting any requirements under national law shall be deemed to have an interest”.

1.2.3.3 Is the public represented?

There will be many different opinions about a proposal and it is important to hear all of them.

One group or organization will not represent ‘public opinion’. Those most willing to participate in the decision-making process, including NGOs, may not be representative of the public’s views. To overcome this, other people need to be identified to avoid relying on few as a substitute for talking to the public.

When talking to the public, talk to a representative mixture (males and females, young and old, different social backgrounds, different racial groups). Talk to people who do not volunteer and consider how to encourage groups that are reluctant to participate (e.g. older people) to become involved. People will not necessarily agree with each other since their interests and concerns can be very diverse. However, it is only by hearing the different opinions, and all of the opinions, that problems can be avoided at later stages. This must include opinions against the proposal. Businesses, other public bodies or academic institutions might also be affected by the decision. Consider whether these organizations have different requirements and whether a different participation technique would be better for them.

Article 6 of the Convention also requires that ‘…where appropriate, encourage prospective applicants to identify the public concerned, to enter into discussions, and to provide information regarding the objectives of their application before applying for a permit.’

1.2.3.4 When should they participate?

Article 6 of the convention requires authorities to inform the public concerned:

‘…early in an environmental decision-making procedure…’

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‘…when all options are open and effective public participation can take place.’

Participation should take place before the decision has been made. As many options as possible should be open so that the participation process can help inform the final decision. It follows that participation should be started at an early stage.

Some decisions follow earlier strategic phases where the range of options available has been reduced. The public can sometimes have difficulty in accepting these earlier strategic decisions and the participation plan should consider how this could be explained to the public. This will be easier if there has been public participation as part of these earlier strategic phases.

1.2.3.5 How do you get the public to participate?

The public may sometimes be reluctant or unwilling to participate and this might be for reasons of apathy, a belief that it will not make any difference or a suspicion of the authority organizing the participation exercise. There is no easy way to overcome this. Building trust is a long-term process but each public participation exercise is a small step to that goal. Basic points about participation exercises that need to be remembered to encourage public participation include that exercises should be:

a) Relevant The decision should be explained in a way that the public will understand. Using examples that are relevant to people’s lives is the best way to do this. If the issue is air pollution, the fact that it will kill a rarely seen plant might not attract much public interest but the effects on people’s health are more likely to do so. It is also important to explain why the public should be involved.

b) Interesting The process, the meetings and the documents need to be interesting. Using different speakers and different presentation techniques at meetings makes them less boring. Colourful documents attract attention.

1.2.3.6 What information do they need to participate?

Article 6 states that the public concerned must be:

‘…informed, either by public notice or individually as appropriate… in an adequate, timely and effective manner…’

Good information is vital for effective public participation. There are two types of information that participants need: information about the process and information about the proposal.

1.2.3.7 Publicity

To participate effectively, people need to know that the exercise is happening and how they can get involved. This is usually done by an announcement in the local media or on a notice board. Although this is normally the legal minimum, some of the public do not read newspapers or pass the notice board and so might miss the information about the process. Good practice is to be active and announce the procedure using a range of different methods.

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Information Information about the proposal tells the public what the decision is about and what the possible outcomes might be. To do this, it is vital that the information is of good quality.

The information must be:

• Complete Give the public enough information to form an educated opinion on all the issues, even technical issues. Documents such as Environmental Impact Statements must address all the issues but remember that too much information can prevent participation.

• Easy to understand Technical language prevents the public from understanding the issues and forming an opinion. Information, even technical information, must be in a suitable format for the public.

• Accessible Information must be easy to obtain. Methods of providing information such as the Internet can appear very open but it might make it difficult for people to obtain the information if computers are not common. Chose the right methods to provide the information for each case with the aim of making it as accessible to as many people as possible.

Article 6 of the Aarhus convention specifies that the publicity or notification must contain information on:

a) The proposed activity and the application on which a decision will be taken; b) The nature of possible decisions or the draft decision; c) The public authority responsible for making the decision; d) The envisaged procedure, including, as and when this information can be

provided: (i) The commencement of the procedure; (ii) The opportunities for the public to participate; (iii) The time and venue of any envisaged public hearing; (iv) An indication of the public authority from which relevant information

can be obtained e) and where the relevant information has been deposited for examination by the

public; f) An indication of the relevant public authority or any other official body to which

comments or questions can be submitted and of the time schedule for transmittal of comments or questions; and

g) An indication of what environmental information relevant to the proposed activity is available; and

h) The fact that the activity is subject to a national or transboundary environmental impact assessment procedure.’

Article 6 also requires authorities to give the public concerned:

‘... access for examination, upon request where so required under national law, free of charge and as soon as it becomes available, to all information relevant to the decision-making … that is available at the time of the public participation procedure, without prejudice to the right of Parties to refuse to disclose certain information in accordance with article 4, paragraphs 3 and 4.’

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It also requires that:

‘The relevant information shall include at least, and without prejudice to the provisions of article 4: (a) A description of the site and the physical and technical characteristics of the proposed activity, including an estimate of the expected residues and emissions; (b) A description of the significant effects of the proposed activity on the environment; (c) A description of the measures envisaged preventing and/or reducing the effects, including emissions; (d) A non-technical summary of the above; (e) An outline of the main alternatives studied by the applicant; and (f) In accordance with national legislation, the main reports and advice issued to the public authority at the time when the public concerned shall be informed in accordance with paragraph 2 above.’ Requirements dictate that all necessary available information relevant to the decision, which will at least include (a) to (f) above be given to the stakeholders. It will be good practice to provide information on all the aspects of the proposal that might concern the public.

The information that is provided needs to be easy to understand and Article 6 requires a non-technical summary of much of the information to be produced. All of the information should be presented clearly.

Authorities also need to make sure information is accessible to all members of the public concerned. Questions that might need to be also asked are:

• What languages does it need to be in?

• Where will people be able to see it?

• At what times will people have access to it?

1.2.3.8 How long should be allocated to the public participation stage?

The aim of a public participation exercise is to give the public an opportunity to form an opinion on the proposal and make that opinion known to the authority before the decision is made. The time this takes will vary. Too short a period can prevent people from forming an opinion but too long a period can lead to boredom, unnecessary delay and can prevent businesses from developing.

According to Article 6, public participation procedures:

‘… shall include reasonable time-frames for the different phases, allowing sufficient time for informing the public…’ Good practice is to be flexible about the time needed while respecting the needs of business for a prompt decision. Good practice is also to be flexible and allow more time if it is clear that the public require it.

1.2.3.9 What do the public need to participate?

Where public participation is a new idea, it might be necessary to offer some basic information about the process so that the public can participate in an effective way.

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1.2.3.10 What resources are available?

Resources are always limited and public participation places additional demands on an authority’s resources in terms of money, time, staff and facilities. However, this is not an excuse to ignore public participation and in the long-term, far more resources can be saved than are required to undertake the exercise.

In planning the participation exercise, consider what resources will be required for the various approaches being considered. Where resources are limited, it is important to match the approaches used to the resources available. A mixture of techniques might help.

1.2.3.11 How will the comments be handled?

The results of the participation exercise must be taken into account by the authority when they make their decision.

According to Article 6, procedures for public participation:

‘…shall allow the public to submit, in writing or, as appropriate, at a public hearing or inquiry with the applicant, any comments, information, analyses or opinions that it considers relevant to the proposed activity.’ ‘…shall ensure that in the decision due account is taken of the outcome of the public participation.’

It is good practice to be open about how comments will be handled.

When planning the exercise, consider the following needs to be considered:

• How much time will be required to consider the comments? • How will the opinions be considered? • Will they be summarized? By whom? • How will the opinions be presented to the decision-makers? Decision-makers are required to take due account of the public’s comments. This may mean amending the proposal or imposing conditions

1.2.3.12 What needs to be done once the decision has been made?

The public participation exercise does not end with the decision. Feedback should be provided to show the public that their comments were considered in making the decision.

According to Article 6 of the Aarhus convention, authorities must ensure that:

‘…when the decision has been taken by the public authority, the public is promptly informed of the decision…’

They must also:

‘…make accessible to the public the text of the decision along with the reasons and considerations on which the decision is based.’

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It is good practice to aim to inform all of the public concerned of the decision and authorities should be prepared to answer any questions that the public may have. It is also good practice to maintain a dialogue with the public after consent has been given.

Good practice is also to show clearly how the comments were taken into account and explain why the rejected comments were not appropriate. Sometimes elected representatives make decisions that reflect the needs of the wider community rather than the views of local people. Where the decision is not what the local public wanted, the aim of the feedback is to enable the participants to understand why the final decision was made, even though they do not agree with it.

The final thing that must be done once the decision has been made is to deliver what has been promised without unnecessary delay. Particular attention should be given to issues, which concerned the public. A failure to do this will undermine any trust that has been built up through the process.

1.2.4 Participation techniques

A wider range of different ways to encourage the public to participate in the decision-making process can be used. Below is a list of some of the techniques used in to obtain opinions (Aarhus: 2000):

• Focus Groups (small representative groups)

• Exhibitions in public places of the public) (markets, sports center)

• Public meetings

• Media involvement to raise awareness

• An information office with trained staff to

• Education programmes on environmental explain proposals to the public 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

• Participating in local events such as carnivals simple language and parties by having an exhibition

• Using community groups

• One to one meetings

• Send a questionnaire to interest groups

• Going to local places (e.g. tea houses)

• ‘Brainstorming’ sessions with the public

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• Prepare brochures with questions in the (ideas are shouted out one by one and back that the public can send by post to analyzed more slowly afterwards) the authority

• Write up case studies in newsletters to

• Use independent experts to offer advice to encourage best practice the public so that they can form an opinion

• Use people trained in public participation

• Internet websites to provide information and techniques allow comments to be made

• Special theme days (e.g. ozone day) to

• Hold a slide show with questions and raise awareness answers afterwards

• Open Parliamentary meetings to generate trust

• Use games to encourage public participation

• 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 (e.g. think of a name the for the strategy) to overcome a lack of trust in the authority

The IAP2 Public Participation Toolbox also gives various techniques for sharing information. These techniques are outlined below according to their categories:

Printed public information materials

• Fact Sheets

• Newsletters

• Brochures

• Issue Papers

Information repositories Libraries, city halls, distribution centres, schools, and other public facilities

Technical reports Technical documents reporting research or policy findings

Advertisements Paid advertisements in newspapers and magazines

Newspaper inserts A “fact sheet” within the local newspaper

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Feature stories Focused stories on general project-related issues

Bill stuffer Information flyer included with monthly utility bill

Press releases News conferences Television Television programming to present information

Information centres and field offices Offices established with prescribed hours to distribute information and respond to inquiries

Expert panels Public meeting designed in “Meet the Press” format. Media panel interviews experts from different perspectives.

Briefings Use regular meetings of social and civic clubs and organizations to provide an opportunity to inform and educate. Normally these groups need speakers.

Central information contact Identify designated contacts for the public and media

Central information contact Providing access to technical expertise to individuals and organizations

1.2.5 Techniques to compile input and provide feedback

Information hot line Identify a separate line for public access to pre-recorded project information or to reach project team m embers who can answer questions/ obtain input

Interviews One-to-one meetings with stakeholders to gain information for developing or refining public involvement and consensus building programs

In-person surveys One-on-one “focus groups” with standardized questionnaire or methodology such as “stated preference”

Response sheets Mail-In-forms often included in fact sheets and other project mailings to gain information on public concerns and preferences

Mailed surveys & questionnaires Inquiries mailed randomly to sample population to gain specific information for statistical validation

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Telephone surveys/polls Random sampling of population by telephone to gain specific information for statistical validation

Internet surveys/polls Web-based response polls

Computer-based polling Surveys conducted via computer network

Community facilitators Use qualified individuals in local community Organizations to conduct project outreach

Focus groups Message testing forum with randomly selected members of target audience. Can also be used to obtain input on planning decisions group testing facility.

Deliberative polling Measures informed opinion on an issue

1.2.6 Techniques to bring people together

Simulation games Exercises that simulate project decisions

Tours Provide tours for key stakeholders, elected officials, advisory group members and the media

Open houses An open house to allow the public to tour at their own pace. The facility should be set up with several stations, each addressing a separate issue. Resource people guide participants through the exhibits.

Community fairs Central event with multiple activities to provide project information and raise awareness

Meetings with existing groups Small meetings with existing groups or in conjunction with another event

Computer-facilitated workshop Any sized meeting when participants use interactive computer technology to register opinions

Public hearings Formal meetings with scheduled presentations offered

1.2.7 Consensus building techniques

Techniques for building consensus on project decisions such as criteria and alternative selection. Often used with advisory committees. Techniques include Delphi, nominal group technique, public value assessment and many others.

Advisory committees

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A group of representative stakeholders assembled to provide public input to the planning process

Task forces A group of experts or representative stakeholders formed to develop a specific product or policy recommendation credibility

Panels Groups assembled to debate or provide input on specific issues

Citizen juries Small group of ordinary citizens empanelled to learn about an issue, cross examine witnesses, and make a recommendation. Always non-binding with no legal standing

Role-playing Participants act out characters in pre-defined situation followed by evaluation of the interaction

Samoan circle Leaderless meeting that stimulates active participation

Open space technology Participants offer topics and others participate according to interest

Workshops An informal public meeting that may include a presentations and exhibits but ends with interactive working groups

Future search conference Focuses on the future of an organization, a network of people, or community

There are a number of other distinct methods for consulting the public (some have already been indicated) but it is essential to note, at the outset, that no one method Is usually sufficient by itself: An effective public consultation programme typically incorporates two, three or more methods which complement each other in ensuring adequate input to the EIA process.

Press conferences, information notices & brochures/ fliers: Typical methods used to disseminate public information about a project. The sole objective of these methods is to inform the public so, strictly speaking, they are not genuine consultation. They are one-way communication "with" no attempt made to solicit people's views about the project. However, using information programmes can play the very useful purpose of letting people know what is going on and of stemming the proliferation of incomplete and inaccurate information via rumours and false reports. Public information methods are most useful if there are a series of information releases as a project moves through the project cycle, timed to coincide with major planning stages and decision points.

Genuine public consultation goes beyond issuing information to using two-way communication methods that allow the public both to be informed and to express their views about a project. Open dialogue is considered to be the best way to share information and views, and to resolve issues, in a mutually satisfactory manner. The full range of consultation methods should be considered in the design of an appropriate public consultation programme.

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These methods include interviews, questionnaires, polls, open houses, community meetings, advisory committees and public hearings. Generally, more complex or sensitive situations require a more thorough consultation effort.

Overviews, questionnaires and polls: Useful for soliciting information about an environmental and socio-economic setting for use in an EIA. They assist in gathering the views of the public about the project proposal, its desirability, and how it might best fit into the local community.

Interviews: Generally conducted individually with a selected group of people, hopefully representative of the range of "stakeholders" in a project. They tend to be unstructured Conversations' guided by some general questions, in which the interviewer seeks key information about a project and responses to it.

Questionnaires and polls: The methods seek more specific information from a broader sample of people. They are not simple "instruments" to design and implement. The questions must be carefully crafted to avoid ambiguity and "leadings the respondent to a particular reply. Both "closed" and "open" questions can be asked, the first presenting a set range of replies for the respondent to choose from, and the second allowing the respondent to say anything. The two types are often used together to cover the same topic and provide the opportunity for unexpected answers. Questionnaires and polls mum be pre-tested before implementing them in the field to ensure that difficulties in wording and presentation are eliminated. They are always implemented with a sample of the population large and diverse enough to get an accurate picture of the entire population i.e. they are not a census. The design of questionnaires, polls and sampling strategies is a complex subject, particularly if statistically valid results are desired.

Open houses: Informal forums where project sketches, maps and other information is displayed, hand-outs are available, and developer representatives are present to answer questions. Visitors come and go as they please. Open house events can be scheduled for different days, time periods and venues to be convenient to all stakeholders. It is often helpful to provide a questionnaire or comment sheet to assist visitors in providing feedback.

Community meetings: More structured gatherings where the developer, stakeholders and, perhaps, government representatives exchange information, views, concerns and suggestions. Open and genuine dialogue can be very beneficial for all concerned but it must be handled with great care to avoid degenerating into open conflict and polarised positions. In particular, any hint that the consultation is not genuine will undermine the effectiveness of a meeting. Moreover, all participants must be clearly aware of what their role is and the extent of their ability to influence the project being discussed.

Advisory committees: Normally comprised of a cross-section of affected people, groups and organisations. They are often employed in more complex project situations with a greater potential for conflict but can also be very effective in simpler situations. Their purpose is to provide a forum for the ongoing exchange of information and views between stakeholders and the proponent throughout the project cycle, and for the timely identification of problems and solutions as project planning and implementation unfolds. In establishing committee membership, a balance of interests should be maintained to promote broad thinking and creative solutions. Terms-of-reference should clearly state the committee's mandate and guide its work (ea. will recommendations be made and to whom, will the committee have any authority to make binding decisions?). Advisory committees require time, effort and money to

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be effective but can contribute substantially to achieving acceptable results for all concerned. A proactive developer may well consider this method from early in the project cycle to enhance the chances for smooth project planning, approval and implementation.

Public hearing: Formal meetings are usually held to consider the official of an EIA or of an entire project. They are structured proceedings, presided over by an administrative authority, in which testimony is given and examined, arguments for and against approval are heard, and a decision is made concerning approval or not. Depending on the jurisdiction, public groups may or may not have "standing'' in the proceedings - i.e. have the right to participate. Where standing does exist, some jurisdictions provide "intervener funding" so that public groups can participate meaningfully when lack of funds is a significant constraint. Thus, public hearings provide an opportunity for stakeholders to challenge a proposal but little opportunity for the constructive exchange of information and ideas which other forms of public consultation are intended to achieve. To ensure that such hearings are efficient and effective, it is best if they are preceded by other methods of public consultation.

1.3 CRUCIAL ELEMENTS IN DEVELOPING A PP PROCESS

To address the terms of reference, in the production of a linear, point and strategic environmental assessment as part of a public participation process, the following synthesis of literature has been documented:

1.3.1 Communication

It is necessary within a participatory environmental assessment process to have effective and efficient communication activities. These are crucial to successful public participation practice.

The following outcomes are sought:

a) Communication Emphasis: The participatory environmental assessment process needs to have a central and continuous emphasis on communication with stakeholders. A dedicated communication programme linked to the participation process should be developed and implemented. This should include a media liaison strategy. The communication strategy should not be reduced to formal legal adverts in newspapers.

b) Accessible Information: All information relevant to the environmental assessment needs to be accessible and promote participation. Accessible communication requires the use of plain language, and that local languages as well as differing literacy and educational levels are accommodated. It should be as free of jargon as possible. Practitioners undertaking the environmental assessment process should be skilled communicators and, if necessary, additional skilled practitioners should be retained. Where needed, translators should be available.

Relevant media, including both print and electronic media should be considered for Communication. The most appropriate media in the particular circumstances should be used. This could include verbal communication in certain instances. Practitioners should identify and use accessible locations for the distribution of documents (Best Practices -SAIEA)

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1.3.2 Managing disputes and conflicts

Environmental assessments invariably entail conflict. Very often the lines of division are acute with significant potential for disputes. While environmental assessment does not conventionally entail dispute resolution, good practice should require that this aspect is closely considered and creatively dealt with. The following outcomes should be sought:

• There needs to be a real dialogue within the environmental assessment participation process.

• Conflict needs to be viewed as a potentially creative aspect of the environmental assessment process if appropriately managed. When correctly managed, conflict can give rise to very creative solutions to what at first appear to be intractable problems. This requires an ability to manage conflict and introduce methodologies that best deal with such situations. The overall design of the environmental assessment process needs to be viewed as a process of conflict management for this outcome to be achieved.

• Both informal and formal conflict management mechanisms can be used. Skilled conflict management practitioners should be drawn on to support the environmental assessment process (SAIEA, 2003)

1.3.3 Reporting PP effectively

According to Biodiversity Guidelines (2004) in reporting Public Participation relating to EIA, the following points need to considered:

• Be focused on the key issues, and not present information that is of little or no relevance to the EIA.

• Be scientifically and technically sound, explaining the methodology used and processes followed, and giving all sources of data, both existing and new. Criteria used to evaluate the potential significance of impacts on biodiversity, as well as the likely effectiveness of proposed mitigation, enhancement or compensation, should be described.

• Present the findings in a clearly organised way which facilitates understanding: The specialist report should clearly and explicitly answer each and every question posed in the Terms of Reference.

It can be concluded that a successful EIA is dependant on a well-executed public participation process. Public participation during the EIA should be conducted as a proactive, constructive process that includes some visioning for the future in which the project proponent, stakeholders and the regulatory authorities all participate in a positive manner. In this way the EIA could indeed be viewed as the first step towards an enduring “pact” between the project and its stakeholders, aimed at fulfilling people’s needs without turning the developer into a surrogate government, and without creating undue expectations amongst stakeholders. This also means a challenge for both the EIA public participation practitioners and specialists. The challenge is to shift the paradigm away from focusing on mitigation of

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negative impacts to focusing on the enhancement of positive impacts (IAIA’04, Vancouver, April 2004).

Participatory processes within environmental assessments need to provide both the space and comfort to stakeholders to express their views. Success in this respect is highly dependent on a good practice of listening by the assessment and participation professionals. This means ensuring a real appreciation for the views, sentiments, opinions and knowledge among all stakeholders. This can be encouraged and built through careful and skilled facilitation. When stakeholder inputs are acknowledged and taken up, or responded to, those involved may feel appropriately engaged and “listened” to. The outputs of the environmental assessment need to demonstrate that stakeholder concerns and issues have both been recorded and addressed.

Environmental assessments also give valuable opportunity for a dialogue between scientific and technical input on the one hand, and stakeholder values, traditions, perceptions and cultures on the other. Good practice gives credence and recognition to both of these dimensions and encourages a real and in-depth dialogue between them.

The issues dealt with in environmental assessment processes can range from detailed matters of mitigation on the one hand, to broad policy and strategy debates on the other. Good processes should allow for the full range of debates to be considered. Often the scope of the assessment process may not permit for a detailed reflection on broader planning, policy and strategy issues. Good process should either allow these issues to be taken up, or deliberately not be dealt with through careful and mutual definition of the scope of the dialogue among all stakeholders. Whichever course of action is taken, it is important that stakeholders are familiar with the reasons why this is the case, and give their support to it (SAIEA, 2003).

MODEL OF BEST PRACTICES FOR PUBLIC PARTICIPATION

DURING AN EIA For Use By

SADC MEMBER STATES

Produced by; Produced for; Woodburne S.J. SAIEA. Create Swaziland Calabash Project

ANNUXURE 3

2

TABLE OF CONTENTS

1 MODEL FOR PUBLIC PARTICIATION ................................................................................................ 3

1.1 PRINCIPLES AND VALUES....................................................................................................................... 3 1.2 COMPONENTS OF A PUBLIC PARTICIPATION PROCESS............................................................................ 3

1.2.1 Managing the PP Process................................................................................................................. 4 1.2.2 Identifying the Issues ...................................................................................................................... 13 1.2.3 Identifying Interested and Affected Parties..................................................................................... 14 1.2.4 Identifying the Consultation Area................................................................................................... 15 1.2.5 Managing PP Communications ...................................................................................................... 16 1.2.6 Managing Media Relations............................................................................................................. 17 1.2.7 Managing Disputes and Conflicts................................................................................................... 18 1.2.8 Managing Cross Cultural Issues .................................................................................................... 18 1.2.9 Working with the Proponent, Regulator and Public....................................................................... 18 1.2.10 Reporting PP Effectively ............................................................................................................ 19 1.2.11 Managing Information Availability ............................................................................................ 19 1.2.12 Managing Biological Diversity during PP................................................................................. 20

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1 MODEL FOR PUBLIC PARTICIATION

The following model of best practice for Public Participation in Environmental Assessment has been derived from the review of available documentation and discussion among practitioners in the field. Existing approaches and models of Public Participation (PP), such as Participatory Rural Appraisal (PRA), Participatory Learning and Action (PLA) and Appreciative Participatory Planning and Action (APPA), have been examined and synthesised to assist in developing the model.

1.1 PRINCIPLES AND VALUES

Any model of Public Participation needs to be founded within guiding principles. These will ensure that project proponents and the responsible decision-makers along with stakeholders all have a common understanding of the “operating rules”. There are numerously defined principles or values within the literature and implemented in practice. These should be viewed, as a point of departure from which project should build upon in developing their own specific vision and guiding principle:

1. public must be engaged 2. access to and be presented with all information - transparency 3. flexibility, adaptive management processes, responsive to stakeholders 4. accountability

Often PP is a project-funding requirement along with environmental studies for World Bank, AfDB, and other donor agencies.

The following values as published by the International Association of Public Participation (IAP2, 2003) can aid and be viewed as a minimum requirement by the public participation practitioner during a project.

1. The public should have a say in decisions about actions that affect their lives. 2. Public participation includes the promise that the public’s contribution will influence the

decision. 3. The public participation process communicates the interests and meets the process needs

of all participants. 4. The public participation process involves participants in defining how they participate. 5. The public participation process provides participants with the information they need to

participate in a meaningful way. 6. The public participation process communicates to participants how their input affected

the decision.

1.2 COMPONENTS OF A PUBLIC PARTICIPATION PROCESS

The following headings are used to provide structure to the various components and guide the practitioner through the types of issues that need to be addressed when designing and implementing a PP process.

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1. Managing the PP process 2. Identifying the issues 3. Identifying interested and affected parties 4. Identifying the consultation area 5. Identifying and addressing issues 6. Managing PP communications 7. Managing media relations 8. Managing disputes and conflicts 9. Managing cross cultural issues 10. Working with proponent, regulator and public 11. Reporting PP effectively 12. Managing information availability 13. Managing Biological Diversity

1.2.1 Managing the PP Process

The process of facilitating PP is really one of disseminating information. This is done with a view to informing people, thereby enabling them to participate in the decision making process and empowering the project development process, and provides opportunity for people to engage the project to derive their own benefits. It also helps to identify potentially fatal flaws in the project development cycle.

Table 1.1 below provides s guideline to the management of the Public Participation process with respect to the responsibilities of the Public Participation Team and those of the Technical Team in an Environmental Assessment. Golder International published these guidelines for the Mining Industry (First Edition, August 2002). As shown in Table 1.1: below

Table 1.1: Management of Public Participation Process

Technical Team (particularly Environment Assessment Manager)

Public Participation Team

• Provide the public participation team with technical information of relevance that needs to be included in documents for public comment; a face-to-face briefing supplement written technical material works best and assists in portraying a joint vision in such documents.

• Repackage technical material in a non-technical, yet accurate, fashion, and present this to the technical team for verification before presenting it to the public

• Understand that this material will be presented in a non-technical way and take joint responsibility for accuracy (i.e. all documents intended for public consumption must be cross checked for accuracy by a member of the technical team).

• Coherently categories and summarise stakeholder issues in an issues report for easy reference by the technical team.

• Compile the technical sections reports passing the documents on to the public participation team to edit the reports for readability and to cross check that

• Attend a briefing session for specialist to convey stakeholder issues of concern to the technical experts

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stakeholder issues were indeed considered.

• Attend dry runs with the public participation team to plan for public events and to ensure that technical presentations are presented in a manner that will be understood by non-technical people.

• Crosscheck that stakeholder issues have been incorporated into the terms of reference for specialist studies. The public participation practitioner is ultimately in the service of the process and must thus ensure that public issues are carried through into the technical work. Practitioners must have ability to deal with technical material at a fairly high level.

• Co-attend (selected members of the technical team) with the public participation practitioner meetings with stakeholders in order to provide information, explain concepts and process and hear stakeholder issues and concerns first hand (the same applies to the proponent and key authorities);

• Compile the less technical sections of reports, passing the documents on to the technical team which must verify them for accuracy and

• Convene a briefing session for specialist after scoping in order to focus their terms of reference on relevant issues;

• Produce an “issue trail” at the end of the process, that is, indicate to stakeholders and the authorities where public issues have been taken up in the environmental assessment and, where they have not, assist the technical team to explain why not.

• Use the issues report to cross-check that the reference of technical assessment have captured all the concerns that must be investigated; and

• Complete the response column of the issues/response report

Figure 1.1 below is an example of how public issues are to be integrated with technical assessment during scoping phase of an EIA: and where developed by Golder International for the Mining Industry (First Edition, August 2002).

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Figure 1.1: Integration during Public Participation and Technical Assessment

In order to achieve the integration of PP into decision-making it is necessary to realize the appropriate structures, with the necessary time frames, budgets and resources. This constitutes a separate process. This PP process is part of and will be informed by the EIA process, and takes place in parallel throughout the process therefore it is important to communicate effectively between structures.

The essential element to the management of Public Participation process is TIME. Resource availability will determine time. Therefore it is important to ensure from the outset that there are sufficient budget allocations to support the process. It is also important to ensure that a flexible financing strategy exits to enable response to contingencies and continuity in the process.

Unlike traditional management concepts, the process of PP only allows control over the Inputs. Outputs are defined by the response of those engaged in the PP process. The success of the process will be determined by the value and relevance of the initial information. This information will determine the pathways followed by the process during subsequent phases.

In order to streamline the process and make sure that there is effective PP, there is a need to ensure from the very beginning that information presented is comprehensive and more importantly, relevant

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to the stakeholders being engaged. There is a need to identify the appropriate scale for the collection of information and the dissemination of that information. It is also important that the identification of IAPS is also carried out at the right scale. This network will determine the reporting mechanisms the information required and the frequency with which it is communicated.

As with all management processes there is a critical path within which the initial phases need to be properly implemented to ensure successful pathways are pursued throughout the PP process. Initial failings in the process will jeopardise subsequent phases and the viability of the process and ultimately the project itself can be compromised. In the PP process there is no straight-line pathway clearly visible from the outset. By providing the appropriate information the proponent can be assured that participation has valuable inputs and informs the outcome of that process. Inputs can be defined but outputs will emerge from the process itself.

Stakeholder inputs will result in the generation of more information. Directly affected communities and parties are best placed to identify and assist in problem solving particularly since they are likely to be the most affected by the project. The need to overcome fear needs time to get the right people within the network to the right information and then engage them in an iterative process identifying their issues. Allowing them time to digest information and return it requires sufficient time. The level of information available and the level of comprehension, magnitude and duration of the issues will determine this time period.

Where an unknown event or intervention is planned that has impacts on the wider civil society then that sociality will react according to the information made available to it either as a person, a homestead, a community or a nation. That reaction is measurable only if all the information that should be the property of the community or society is fully disclosed and disbursed. If parts of the information is manipulated or withheld, then the reaction is not measurable; Reaction to manipulated or latent information is normally disproportional to the actual impacts of that project. It is therefore essential that during the planning phase of the management process of public participation a critical path be developed that will ensure that the scope of the project is understood and the potential or if yet unknown impacts are anticipated are planned for a point, linear and regional EIA. The level or severity of the impacts should be plotted to show the geographical locality and extent starting in the centre moving outwards (for a linear project use the centre line of the affected area and move out).

The different expected impacts should then be plotted or rated according to a pre-determined scoring system. These overlays of information should continue to be developed over the project duration and will serve as a process management tool for both the proponent and the IAPs. Effectiveness can be enhanced by the application of Geographical Information Systems (GIS) as part of an overall Information Management Systems (IMS), which often forms a critical part of the management and communication systems used by the proponent.

The following schematic diagram (Figure 1.2) shows the paths that the PP process follows during an EIA; followed by (Table 1.2) that explains and maps generic Key Activities, Objectives and Outputs of the Public Participation Process during an EIA

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Figure 1.2: Pathways of public participation during an Environmental Impact Assessment:

Project Description

Legal & Policy

Institutional & Social Map

IAP Analysis

GAP Analysis

PP Strategy & Method

Impact analysis

Public Participation Impact Workshop

Processes to overcome

Rectify

Social Impact Assessment

Environmental Impact Assessment

Identifying Gaps

Analyse Resolves and Return to P.P

Additional Impact Information Feed into impact analysis

Environmental Impact Assessment EMP +CMP & Resettlement

plan

Social Contract For impacts, EMP, CMP, RP

Implement M+E Exit

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Table 1.2 below will help the practitioner map Key Activities Objectives and Specific Outputs and Results of the Public Participation process. Table 1.2. Key Activities, Objectives and Outputs during Public Participation

Overall objective The objective of the assignment is to ensure an extensive and comprehensive Public Participation process, with a view to providing a legitimate, mandated and effective consultative base for project implementation. Further to the primary objective, the Public Participation process shall engender a sense of ownership among IAPs and enhance the derived project benefits in an equitable and constructive manner.

Key activities Objective Specific outputs / results

1. Legal and Policy Framework 1.1 To ensure that all Project related activities comply with legal and policy requirements and that the Project is implemented in accordance with regional frameworks and to internationally accepted best practices.

1.1.1. Review of all documentation pertaining to requirements for Public Participation; 1.1.2. Summary statements of public participation requirements; 1.1.3. Best practice policy summaries relating to public participation.

2. Institutional and Social Mapping

2.1. To prepare an institutional and social map identifying key IAPs and representative structures, outlining and identifying key responsibilities, social hierarchies and spatial distribution.

2.1.1. Identification of key IAPs, including but not limited to government departments, NGO’s, CBO’s and other relevant institutions; 2.1.2. Preparation of an institutional map outlining relevant institutions and representative structures; 2.1.3. Identification of roles and responsibilities of key IAPs; 2.1.4. Preparation of a social map outlining key IAPs, social hierarchies and their spatial orientation.

3. IAP Analysis 3.1. To undertake a 3.1.1. Detailed analysis of directly affected IAPs;

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comprehensive analysis of the relevant directly and indirectly IAPs

3.1.2. Detailed analysis of indirectly affected IAPs.

4. GAP Analysis 4.1. To determine project specific institutional and capacity requirements.

4.1.1. A GAP analysis of existing IAPs, institutions and representative structures;

4.1.2. Identification of project specific institutional requirements to meet communication targets; 4.1.3. Strategy as required for establishing appropriate project related PP institutional arrangements.

5. Public Participation Method 5.1 To develop procedures, guidelines and a methodology for the public participation process.

5.1.1. Public Participation principles and policy document; 5.1.2. Public participation strategy building on principles and outlining appropriate methodology and guidelines.

6. Impact Analyses 6.1 To review findings of SIA and EIA impact analyses and other relevant information.

6.1.1. Liase with Environmental and Social specialists in reviewing findings of Impact Assessments; 6.1.2. Impact analysis describing IAP related impacts.

7. Awareness Strategy 7.1 To develop awareness / mobilization strategy and programme.

7.1.1. Strategy document for implementation of a project specific awareness and mobilisation programme.

12. Media & Communication Strategy

12.1 To prepare a media and communication strategy appropriate to reach all levels of society and reaching all its

12.1.1. A Media and Communication Strategy, including methods, schedule and reporting mechanisms.

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representative structures.

8. Impact Workshops 8.1 To implement the PP process strategy and engage IAPs in decision making process through discussions around predicted impacts and identification of additional impacts and issues of concern.

8.1.1. Public Participation process using appropriate mechanisms such as workshops, meetings, interviews; 8.1.2. Participatory impact review and analysis; 8.1.3. Identification of additional impacts, issues of concern; 8.1.4. Incorporation of results from Public Participation process into detailed review and project planning.

9. Feedback 9.1 To take information back to project proponents to feed into the decision making process.

9.1.1. Iterative participatory review and analysis of Social and Environmental Impact Assessment reports; 9.1.2. Gaining consensus through Public participation process.

10. Public Participation Workshops

10.1 To present final findings through a series different media appropriate for reaching all levels and institutional arrangements defined in the institutional and social map.

10.1.1. Finalisation of impact and issues analysis; 10.1.2. Series of Public Participation sessions, using appropriate methodology defined in Activity 5, as part of decision-making process.

11. Social Contract Facilitation 11.1 To prepare and facilitate the appropriate social contract between the project proponent and IAPs.

11.1.1. Draft of a social compliance and certification contract; 11.1.2. Facilitation of Social Compliance and Certification Contract between Affected Parties and Project Proponent.

12. Implement Media & Communication Strategy

12.1 To implement the media and communication strategy to ensure all levels of society and representative structures are informed and participating in

12.1.1. Implementation of the Media and Communication Strategy, including revision of detailed schedule and implementation of reporting mechanisms.

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decisions making process.

13. Monitoring & Evaluation 13.1 To develop a monitoring and evaluation programme.

13.1.1. A Monitoring and Evaluation strategy to determine the efficacy of the Pubic participation process during project preparation and implementation.

14. Exit Strategy 14.1 To develop an exit strategy for the Public Participation process.

14.1.1. An Exit Strategy for conclusion of the Public Participation process for execution at the end of the Project’s Public Participation implementation phase.

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1.2.2 Identifying the Issues

The first phase of a PP process is issue identification often referred to as scoping? A working session with the Proponent, SIA and EIA specialists can rapidly produce a list of easily identifiable impacts resulting from any particular project. Many of these impacts are generic, e.g. loss of biodiversity, potential for air pollution, etc. With a list of potential impacts or issues and some local knowledge of the project area and potential stakeholders, an iterative process will gradually identify Interested and Affected Parties (IAPs). This process needs to be a team effort facilitated by the PP specialists, and includes a programme of community mobilization and institutional mapping. This is the beginning of IAP identification and registration.

It is important to identify during the planning stage what issues are relevant to whom and to what component of the project and how these issues will be dealt with during the public participation process.

The second phase of the process is to take these issues to the IAPs during the project environmental scoping phase, where preliminary impacts are presented and discussed, and any new impacts and issues identified and documented for inclusion into the EA scope of work.

New issues identified are taken back to the SIA and EIA process for incorporation into their working instruments. These are expanded upon for finalization of the EIA, EMP or CMP depending on the requirements of national legislation.

At the end of the scoping phase, the final scoping report is taken back to stakeholders for approval and form part of the social contract of the EA with the IAPs.

While scoping is taking place, the PP consultant is developing and implementing a communication schedule and a programme of activities backed by appropriate tools, i.e. workshops, newsletters focus meetings with specific groups or individuals etc and when these should be scheduled. This should address communication and PP during implementation of the project. Different methods target different stakeholders depending upon their needs. For example, TV for broad low-level info, newsletters for updates, individual one on one meetings for more detailed project planning purposes.

It is critical for an effective PP process that appropriate institutional arrangements for facilitating information dissemination are addressed. Such arrangements are also important during project implementation. The arrangement needs to be flexible to ensure a mechanism exists for communicating issues that may arise after a given deadline or may not have been identified during the EA process. The arrangement must also allow for communicating progress so as not to alienate people from the process, particularly once they have been bought into the project development through the EA and scoping phase

1.2.2.1 Types of issues

Although no list could cover the range of issues that may arise from a given project, broadly issues can be categorised as:

• Potential Issues • Perceived Issues

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• Real Issues (Project made) • Latent Issues

Potential issues are those that exist because of the project, are seen as future potential issues, and are recognized as such, put on the table upfront to be discussed with the affected parties.

Perceived issues are those that might become issues but might not be seen as issues by the affected people.

Real issues are a combination of the two above and are added to during the PP and environmental investigations and are usually the direct result of the implementation of the project.

Latent issues are those issues that reveal themselves post project implementation and are normally the result of the project system function. These are of particular importance as by that time the public participation team have left and taken with them the skills of PP. The structures that are left behind are normally management and administration structures that do not have mechanisms to identify and manage latent issues.

1.2.3 Identifying Interested and Affected Parties

Interested and Affected Parties (IAPs) are those persons, groups, organisations and/or institutions that represent or are representative of those that have an interest in or are in some way affected by project interventions. Such project interventions may affect IAPs directly or indirectly. In the same way, IAPs may also affect the project implementation process directly or indirectly.

Directly affected parties are considered as those who are impacted upon or directly involved in the project. Such parties are normally the residents of the area in which the project is to be implemented and will be directly affected, e.g. through the need to be resettled

Indirectly affected parties are those who are incidentally interested or marginally affected by the project process. This may be due to their area of expertise or interest e.g. animals rights groups, environmental groups, social justice group, anti-pollution groups, human rights groups, anti nuclear activists, green peace and academic groups to name a few who’s inputs and views must be incorporated into the PP process.

There is a need to go beyond simple definition of IAPs and determine how the IAPs function the differences that exist among the various groups, countries and regions that exist, and the appropriate approaches to engaging each of these groupings.

It is important to develop an Institutional Map as early as possible defining the relevant structures. The map will lay out and assign responsible functions to each level of the resulting hierarchy. Such an institutional map details the responsibility of individual, local structures; departments, ministries and governments, which will then inform what responsible institutions and persons, should participate in the PP.

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1.2.3.1 Directly Affected Parties.

The identification of directly parties will form the initial boundaries of the project. Directly affected parties will be those affected by the project activities.

Identification of these parties will be facilitated by scoping and preliminary identification of potential impacts, as discussed above. Funding agencies, development banks and national governments all have certain legal requirements to protect directly affected parties that must be adhered to during the implementation of any project. Relevant authorities will manage these requirements to determine individuals who would be defined as directly affected parties.

1.2.3.2 Indirectly Affected Parties

Indirectly affected parties are typically more difficult to define. They are often situated away from the project site and they may not be immediately obvious during the initial scoping stages. There is a need to look broadly at who might mobilise in favour or against the project, as well as those who may be effective in helping to achieve the projects overall objectives.

Typical examples of indirectly affected parties include; • Communities indirectly affected by project developments • Government line ministries for regulation and monitoring • Parastatals • Private sector • Civil society • Rights groups 1.2.4 Identifying the Consultation Area

Successful PP is determined by defining the appropriate scale at which to engage. This ensures that the right IAPs receive the right information at the right level of detail at the right time. The development of an institutional map aids this process. The project and the type of associated impacts, will broadly determine the area of consultation.

As a general rule, directly affected parties will form the first spatial boundary of the consultation area. The next boundary, usually much larger, will be parties that are indirectly affected. The final boundary will enclose interested parties.

Groups of IAPs must understand where they fit into the hierarchal representation within these boundaries, so they know where and how to make their inputs and feel confident that these will be transmitted to the relevant authorities and information returned to them in a way that ensures transparency and accountability.

Consultation areas may therefore be defined by looking at zones of commonality, for example these could be:

• Geographical locality • Land use patterns • Economic activity • Institution representation • Socio Economic Profile

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• Demographic Distribution • Agricultural activities • Natural resources and Biodiversity • Tourism areas and access routes • Transport routes and access • Market areas and activities

These areas need to be defined and demonstrated at the beginning of the process and refined, as required, during the scoping and subsequent phases.

1.2.5 Managing PP Communications

It has been demonstrated that personal, face-to-face communication is by far the most effective mechanism for identifying issues rather than mass communication measures, such as electronic and written media. Personal communication is an expensive exercise and is usually only carried out with parties that are considered to have valuable contributions to make to the overall process.

The approach used is often determined by the level of information required, either about the project or about the process so that the parties can make informed decisions of where in these two approaches they best fit. It is important that the project proponent includes them in the communication and decision-making cycles of the PP.

To be successful there needs to be a plan and programme for all communication and information dissemination.

Therefore during the planning stage it is best to understand the communication needs and limitations of those affected groups with specific reference to the poor, the illiterate, the social and economically marginalized, language barriers, limited access to various forms of mass communication – TV, radio, internet – so that the correct media and communication methodologies are mobilized firstly to carry the message and to return the information for incorporation into the EIA and PP process.

1.2.5.1 The Pyramid of Information

The Pyramid of Information reflects the level of information that is required by different parties. For example individuals at the top of the pyramid require detailed information to inform their own decision making process. At the other end of the spectrum there may be a need at international or national level for information on the project, which often does not need to be as detailed. These requirements in turn determine the management of in formation and communication approach needed to access and inform IAPs. Mass media approaches, such as radio or television, will reach many people with a low-level of information. This information will help to inform individuals sitting atop the pyramid, but in order to make informed decisions those same individuals will require more detailed information on specific aspects that affect them. This will require one on one-communication, meetings, interviews and information sessions using appropriate materials, such as maps, models and survey instruments.

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Conversely, the pyramid reflects the level of information that can be derived from these different levels. Individuals will be able to give informed and detailed information, while international experience may provide some broad principles or general approaches to the project but not at the level of detail required to successfully address the specific project issues in terms of PP.

Figure 1.3 Pyramid of Information

1.2.6 Managing Media Relations

Objective media relations should go hand in hand with objective media reporting. The media often has to be used as a statute requirement in informing and advertising to the public on certain EIA activities such as notetifying the public of the project and calling for comment and objections and public review sessions

The most important aspect to remember is that the media should have readily available and accurate information. This information should reflect the types or impacts, their spatial extent, their duration and the effects they have on society. Media mobilization should be seen as another tool in assisting the dissemination of information both to the affected IAPs and society in general.

International

National

Regional

Community

Individual

Incr

easi

ng L

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s Of I

nfor

mat

ion

Req

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d Decreasing levels O

f Information R

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Regional experience has shown that the more controversial the project the more important it is for the mass media to be accurately informed as one wrong word in the media can often cause untold damage to the project and process.

For less controversial projects, the media still has an important role to play in informing their readership about the project. Press releases prepared by the proponent helps facilitate the dissemination of correct and accurate information.

1.2.7 Managing Disputes and Conflicts

Disputes and conflicts are a reality of life especially where change is concerned; therefore how change is managed will affect the type of conflict and dispute that emerge. The one factor that mitigates these levels of disputes and conflicts is the empowerment of society through the imparting of accurate information that is required for that section of society to asses the impacts of that project in an informed way. Allowing the free flow of information to travel in both horizontal and vertical manner is crucial so that society takes ownership of both the process and the information. Other ways to mitigate disputes is to ensure that institutional structures that represent the IAPs are identified and or created for dispute resolution as part of the institutional identification and building process at an early stage of the project cycle.

It is important that the proponent never deliberately suppresses genuine disputes or areas of conflict as this is usually self-defeating and can affect the project at several stages of implementation. It is important to get disputes out into the open as soon as possible so resolutions can be found. Latent disputes have serious implications on the project cycle and can undo good process, relationships and trust. Experts on conflict management and disputes resolution should be available to the team.

1.2.8 Managing Cross Cultural Issues

The importance of cross-cultural issues should never be underestimated. The development of cultural protocol requires the creation of a framework and processes that are established before entering the field. Inputs from experts and community leaders should be sought and a cultural protocol checklist created for all project staff.

The creation of a position within the team that handles traditional and cultural protocol issues is important; such a person should be mature, wise and command the respect of persons on both sides of the processes. The person must have local knowledge and be familiar with the project area and the stakeholders themselves.

It is advisable that all field workers and numerators be recruited from the area and trained in methods of community communication and interaction. The imparting of personal information to strangers is a sensitive process and can often cause intercultural conflict. Cross-cultural issues have the potential to revive dormant issues that have no relevance to the project.

1.2.9 Working with the Proponent, Regulator and Public

The legal and statute requirements of the country will determine the working relationship among the three parties. The EA process dictates the reporting and responsibilities of the proponent to the regulator and public. Therefore a partnership should be formed among these

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three different parties which will be informed by the correct level of interaction required to ensure a balanced outcome, and reflects the PP process as integral to the requirements of an EA.

1.2.10 Reporting PP Effectively

Effective reporting is a statute requirement during the EA and PP processes. The main role players are normally the proponent, the regulatory authority and the affected parties. All these have different hierarchal arrangements and responsibilities as far as reporting requirements go. There are different levels and types of information that need to be effectively reported at certain stages of the PP and project cycle to inform all parties.

The creation of a communication network that binds and informs the different IAPs is an instrument that is developed during the planning phase and must be adaptable to change during the PP process. In this way the effectiveness of reporting up and down the network is according to a predetermined pathway. The most affective of these reporting tools is the creation of an Information Management System (IMS) enhanced by the coupling to a Geographical Information System (GIS). The use of these types of systems has the advantage of being able to handle and manage large bodies of often-diverse information.

The storage, dissemination and reproduction of information in the form of maps, meeting minutes, schedules and media materials, such as poster and fliers, is of particular importance in capturing and integrating information. The system further enhances the orderly and effectiveness and reporting of PP processes because most, if not all, information is centralised and can easily be networked. The development of a website or intranet is a further enhancement that targets both the user and section of society.

The other aspect of reporting effectively to the IAPs is to create representative institutions where information can be housed for distribution and collection. These focal points or information centres should be established in areas where community commonalities are most prevalent and relevant to the impacts of the project.

Ineffective reporting can and has jeopardised good EA and SIA processes. IAPs that feel they have been left out of the reporting network can really aggravate PP therefore it is better to have an over efficient reporting system.

1.2.11 Managing Information Availability

All the previous sections have highlighted the importance of information for the different stages of PP. It is significant that in today’s rapidly changing world where society has access to information through the internet or dedicated advocacy groups, means that the proponent can no longer withhold or manipulate information that in some way affects that societies ability to inform its self on the impacts that the information might contain.

In managing information the source and relevance of that information will dictate to whom it should be made available and in what format or media.

The different kinds and levels of information have different pathways and destinations therefore the review of information requirements and relevance to the IAPs and the process

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itself should be assessed during the planning stage of the EA to ensure these requirements are met.

1.2.12 Managing Biological Diversity during PP

The SADC countries are signatories to the United Nation Convention on Biological Diversity and as such have obligations towards protecting the countries biodiversity for the sustainable use of its peoples The management of biodiversity issues are integral to the PP process as society’s dependence on, use of, and cohabitation with this aspect of the environment is part of the very core of human sustainability. Thus any intervention that may change or alter that relationship should feature as a important component of the PP engagement plan .The IAPs relationship with biological aspects of the environment should be studied and understood so the magnitude and duration of the impacts can be measured and the affected parties identified and brought into the PP process. Communities and individuals have over time built up a base of Traditional Knowledge and have developed Innovative Practices to use biological diversity in a sustainable manner, furthermore onsite communities normally have extensive knowledge of local environments, therefore traditional knowledge can make significant contributions in aiding the PP process and ensuring future use and sustainability. The field of Biological Diversity is a technical one and the correct expertees should be sourced for this aspect of the PP process.

Conclusion;

There is a large volume of published information on the subjects of EIA and Public Participation. The authors of PP TORs are urged to consult the web sites and other sources, as some the information contained in the Best Practice Model is mostly a synthesis of this base of excellent research and publications

ANNEXURE 4 CHECKLIST FOR COMPILATION OF TERMS OF REFERENCE FOR PUBLIC

PARTICIPATION

FOR USE by

SADC MEMBER STATES

FOR A POINT LINEAR EIA AND SEA

PROJECTS

Box 1: Concise set of instructions for the compilation of terms of reference

1. Introduction

• Have you? Stated the purpose of the Terms of Reference,

• Have you? Identified the project to be assessed, the client and or the

implementing agent

• Have you? Explained the executing arrangement for the participation

assessment.

• Have you? Outlined the key objectives of the participation strategy and

provide the reader with a sense of the proponents’ commitment to engaging

stakeholders in the decision-making process that underpins the environmental

assessment.


• Have you? Presented the reader with pertinent background information about

the project and the environmental assessment process.

• Have you? Paid Particular attention to highlighting the potential social impacts

and issues as known at the time of writing.

• Have you? Background information must be as concise as possible to enable

the reader to have a clear sense of the project’s objectives and benefits.

• Have you? Described the major components of the proposed project together

with a statement of the need for the project and the objectives it is intended to

meet.

• Have you? Identified the implementing agency and give a brief history of the

project (identify any supporting studies or reports and any associated projects).


• Have you? Summarised the general scope of participation anticipated and the

likely range of stakeholders to be involved (government agencies, NGOs,

community groups, civil society representatives, etc.).

• Have you? Stated the proponents’ vision for participation and any legislative

or policy requirements.

• Have you? Referred to Pre project information gathered, e.g. from a feasibility

report identifying broad areas of possible concern to stakeholders and thus the

level and intensity of participation needed.

If the project is funded by an external donor or agency, consult the donor

directly to solicit their specific participation requirements or visit their website

for guidelines or further information and clearly state these requirements


• Have you? Presented relevant information about the area likely to be affected

by the project, including all its ancillary aspects, such as power transmission

corridors, pipelines, canals, tunnels, relocation and access roads, borrow and

disposal areas, and construction camps, as well as unplanned developments

induced by the project (e.g., spontaneous settlement, shifting agriculture along

access roads).

A good map illustrating key project features and potential impact areas can

usually provide a greater range of information than text. If not available in-

house, engage expertise to prepare this map.

5. Scope of Work

Task 1: Undertake a Stakeholder Analysis

• Have you? Identified interested stakeholders and/or those potentially affected

by the project.

• Have you? Involved all levels of government, from Ministers to those

involved in the project management process of the project, through to those

tasked with the responsibility of implementing or collecting information

pertinent to the project.

• Have you? Included Permanent Secretaries, quasi government agencies,

institutions and development agencies.

• Have you? Also examined private enterprises, CBOs, NGOs and individuals

as custodians of and dependents upon the environment.

• Have you? Categorised Stakeholder according to various criteria, including

stakeholder position, level of interest, role and potential influence over

processes relating to the project.

Task 2: Undertake a Social Resource Survey

• Have you? Identified the extent to which social assets / resources ( e.g grazing

and arable areas, water supplies, graveyards, structures or biophysical

resources etc) are likely to be affected to enable the environmental assessment

process to focus on significant issues and impacts or institutional capacity

building.

• Have you? Identified, describe and map key assets and constraints through a

process of consultation with the institutions and users of such assets.

• Have you? Used a variety of techniques and identify these assets and

constraints whilst at the same time inform and engage stakeholders.

• By using variety of techniques, obtain information and data pertaining to the

following:

o the location of the project in relation to interested and affected parties;

o the range of assets likely to be affected, eg area of arable land to be

affected;

o the range of natural assets to be affected, eg biodiversity (both floral and

faunal) and water resources (both surface and sub-surface water bodies);

o the number of people likely to be involved/affected;

o the socio-economic status of affected communities;

o the level of organisation within the community;

o the capacity or key institutional structures to engage and mobilise

constituents and

o history of any previous conflict or lack of consultation.

Task 3: Prepare a Public Participation Plan

• Having identified key stakeholders and the social and natural assets likely to

be affected, prepare a strategy to constructively engage the stakeholders in the

project.

• Vary the level and intensity of consultation from project to project depending

to some extent on the numbers involved, the capacity of the stakeholders and

the sensitivity of the project to the stakeholder.

• Have you? Devised mechanisms for stakeholders participation in decision

making throughout project planning, implementation, and evaluation (Many

stakeholders may have their own representative organisations that provide

effective channels for communicating local preferences. Traditional leaders

occupy pivotal positions for mobilising people and should be brought into the

planning process, with due concern for ensuring genuine representation of the

affected parties).

• Have you? Capacitated stakeholders to ensure the stakeholders are well

equipped to constructively engage in the process.

• Have you? Identified many tried and tested methods exist to engage

stakeholders. Many of these methods have been described in earlier chapters 1.

• Have you? Engaged stakeholders in the process using existing (tried and

tested) methods and this may take the form of:

o Community Meetings

o Focus Group Discussions

o Story with a Gap Sessions

o Key Informant Interviews

• Have you? Identified other consultation methods are acceptable and should be

articulated in the proposal.

.

• Have you? Insured that the Proponent prior to its implementation must

approve the Participation Plan, as one of the key deliverables.

• Have you ?Presented the participation Plan using the following headings and

under each heading introduce the methodology and approach in performing

these activities:

Activity 1: Managing the PP process

• To streamline the PP process and make sure that there is effective PP, ensure

from the very beginning that information collated and presented is

comprehensive and more importantly, relevant to the stakeholders being

engaged.

• Identify the appropriate level of detail for the collection of information and its

dissemination.

Activity 2: Identifying the issues

• Identify the significant issues that could affect the sustainability of the project

or its acceptance amongst the IAPs.

• Describe the methodology to be used in gathering this information (various

methods exists).

Activity 3: Identifying the consultation area

• A linear project has a pre-defined physical area of impact. Take into

consideration the wider impacts required to describe the methodology to be

implemented in determining the area of consultation.

Activity 4: Identifying and addressing issues

• Identify potential environmental, social and physical impacts resulting from

implementation of the project and suggestions from stakeholders of any

possible mitigation measures.

• Describe the methodology to be implemented in identifying and addressing

issues that may be raised by stakeholders.

Activity 5: Managing PP communications

• Develop a communication strategy and network that ensures access of all relevant

information by the IAPS and facilitates the free flow of information back and forth

along communication pathways including using communication media that accurately

informs and capacitates the IAPs and ensures equity during the PP decision making

process.

• Describe the methodology to be implemented in managing the flow of information

with all stakeholders.

Activity 6: Managing media relations

• Mobilise media as a tool in assisting the dissemination of information both to

the affected IAPs and society in general.

• Describe the methodology to be implemented in managing media relations that

suits both the project as well as the PP process.

Activity 7: Managing disputes and conflicts • Describe the methodology to be implemented in managing disputes and

conflict that conforms to local legislation and best practice in the project area.

Activity 8: Managing cross cultural issues

• Describe the methodology to be implemented to ensure that cultural protocols

are developed and a framework and process is designed before entering the

field.

• Seek inputs from experts and community leaders and create a cultural protocol

checklist for all project staff.

Activity 9: Working with proponent, regulator and public

• Develop a framework to ensure free flow of information in both directions between

the PP team and the project proponent and where relevant the regulator.

• Describe the methodology to be implemented in ensuring effective communications

between the proponent and where relevant the regulator and the PP team.

Activity 10: Reporting PP effectively

• Report effectively to reflect the project cycle and how the PP process has

progressed.

• Describe the methodology to be implemented in ensuring effective reporting

of PP outcomes to relevant authorities and stakeholders.

Activity 11: Managing information availability

• Create an Information Management System (IMS) to collect, analyse, store,

disseminate and reproduce information in the form of maps, meeting minutes,

schedules and media materials, such as poster and fliers, to capture and

integrate information. The IMS system will enhance the orderliness and

effectiveness and reporting of PP processes because most, if not all,

information is centralised and can easily be networked.

• Describe the methodology to be implemented in managing information and making it

available to relevant authorities and stakeholders.

Activity 12: Managing Biodiversity Issues

• Clearly describe the methodology to be used in identify the biodiversity

environment and the level of impact on the IAPs.

• Describe the methodology to be used to identify, inform and engage the IAPs

in the management of Biodiversity issues during the PP process.

The PP Plan should include information such as:

1. The views on the potential for various segments of the stakeholders to

participate in economic and or social opportunities that may arise from the

project, and the actions required to facilitate this

2. Identification of the potential environmental, social and physical impacts resulting from implementation of the project and suggestions from stakeholders of any possible mitigation measures

3. Where resettlement is expected, categorise the people likely to be affected

by resettlement in terms of male, female, vulnerable groups, aged, etc.

4. Where resettlement is expected determine, through comprehensive surveys using approved and appropriate methods, the numbers of people likely to be affected

5. Where possible use locally appropriate criteria for determining who should be eligible for “resettlement” assistance where this is necessary

6. Identification of Chiefdoms or traditional authorities affected by the project 7. Description of the existing (traditional and legal) mechanisms for dispute

resolution on land and resource access and use with recommendations for strengthening such mechanisms

8. Description of existing resource use patterns (types and quantities of resources utilised, location of users and the degree of exclusivity of this resource use in and around the stakeholder area of influence.

9. Obtain basic socio-economic information of the affected parties (sources of livelihoods, income etc.)

10. Obtain the views of NGO’s and or CBO’s operating in the area on the project and its participation requirements

11. The Consultant must demonstrate in his/her proposal how commonly disadvantaged groups (women, youth, disabled) can be brought into the PP process

Task 4: Implement Public Participation Plan

• Implement the plan and proposed modalities and key activities closely

associated with this must be made clear.

• Where capacity building is identified as being important to meet the

participation strategy envisaged by the Proponent, the Consultant needs to

propose strategies to build such capacity and in consultation with the

Proponent, implement such capacity building.

• Use suitable PP method to ensure the effective participation of affected parties

above all those individuals or communities that are considered poor with

relatively few resources to actively engage with the Consultants and

participate in the EIA process.

• Demonstrate, where appropriate, the flexibility to accommodate such people.

Task 5: Determination of the Potential Social Impacts of the Proposed Project

• Having identified Potential Social impacts, communicate to the team preparing

the overall project mitigation plan to ensure their proven concerns are

addressed in the overall mitigation plan for the project.

• distinguish between positive and negative impacts, direct and indirect impacts

and immediate and long-term impacts in the analysis.

• Also identify impacts that are unavoidable or irreversible. Wherever possible,

describe the impacts quantitatively in terms of social costs and benefits and

where possible, economic values assigned.

Task 6: Identification of Institutional Needs to Implement the environmental

mitigation recommendations

• Conclude EA by preparing a mitigation plan that presents the recommended

activities or actions required to maximise the environmental and social

benefits of the project whilst managing the undesirable impacts.

• Assign the implementation of these mitigation measures to appropriate

stakeholders. In many cases, the capacity (both technically and financially) of

the stakeholder to undertake specific mitigation actions is a limiting factor that

has seen many projects fail.

• Assess the capacity of stakeholders and take measures to provide support

where it is needed.

• Identify capacity issues and describe to enable the environmental assessment

process to design mitigation to suit the local conditions or requirements.

• Undertake a review of the authority and capability of institutions at local,

provincial/regional and national levels and recommend steps to strengthen or

expand them so that the mitigation recommendations can be implemented

successfully.

Provide data or information on the following:

• availability of funds for mitigation investments and associated field

operations;

• adequacy of the stakeholder (whether experienced professional staff or

grassroots level) to implement the recommendations;

• ability of stakeholder organisations, local administration authorities, and local

NGOs to interact with specialised government institutions to implement the

recommendations;

• ability of the executing agency to mobilise other agencies involved in the

mitigation plan's implementation; and

• adequacy of field presence.


The composition of the participation team is very dependent on the location, scale

and size of the project and the resulting impacts.

For example for a linear road project that traverses a rural area, the team should

emphasise community participation and the engagement of traditional authorities.

For a similar project in a more urban setting, the team would need to engage

specialists with experience in managing a more informed and strategically aware

stakeholder.

Typically, however, a team is likely to be composed of the following:

Team Leader: Sociologist with previous experience in participation related to the

project.

Other specialists would include generic participation specialists, rural agriculture

specialist, workshop facilitators, translators, social anthropologists, field survey

staff, and clerical support staff. Where resettlement is likely, resettlement

specialists will be required. Where natural resource losses are expected, resource

managers and trainers maybe needed to improve resource management in light of

the project impacts.

7. Deliverables

• A Public Participation Plan

• An Institutional Needs Plan

• A final report describing the process followed, stakeholders identified,

institutional representation, communication networks, issues or concerns

raised, minutes of all meetings, resolutions adopted (including workshops)

conducted and the presentation of all relevant data and information collected

during the participation process.


Cost and timeline estimates are critical in the proposal evaluation process. Under most

circumstances, a project will have a fixed amount of money and time allocated to it and

this money and time needs to be invested wisely and strategically to obtain the best

possible product from the participation process.

The Consultant bidding for the participation component of the environmental

assessment needs to present his best estimate for undertaking the scope of work

called for. The better the scope of work is described, the more accurate the

Consultant can assign resources to achieve the final outcome.


• An implementation schedule that identifies key stages in the participation

process and dates for key deliverables.

• A detailed cost estimate to undertake all appropriate participation activities as

described in the implementation schedule or in the technical proposal.


• Specific dates for progress reviews, interim and final reports and other

significant events

9.Project Authorities

This section informs the Consultant where, when and to whom proposals should

be delivered and the conditions associated with the proposal (e.g. CVs of staff,

official documentation relating to the company, statements of competence, such as

previous project experience and relevant publications.).

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