Public participation in Environmental Authorization

Public participation in Environmental Authorization

Erika du PlessisGolder Associates Africa (Pty) Ltd

Session 1 - Introductions

NameOrganisation / countryOne thing you’d like to learn

todayFavourite food

COURSE OUTLINE

08:00 Arrival08:15 Introduction08:45 Changing role of the public09:30 International guidelines for good p210:00 Tea10:30 Public participation: What it is and is not11:00 Appropriate public participation: Good practice12:00 Tailoring public participation to project requirements12:30 Lunch13:30 Designing the process14:30 Group work – Case studies16:00 Wrap-up16:30 One last thing

INTRODUCTION

P2 partial solution to environmental problems and decision making. Which stakeholders to involve when and to what degree – debate,

argument, disagreement Trade offs between economic growth, social equity and environmental

integrity. Lay people and experts see things differently. Public perception of risk differs from experts Intuitive perception of risk amongst lay people reflects far more concern

for perceived inequitable solutions Misconceptions, fear of losing control, previously inadequate processes,

pervasive mistrust. No silver bullet, process must be designed with these challenges in

mind.

Session 2 - The Changing Role of the Public

Drivers for changing role of the public

Community empowerment Democracy Increased access to information Increased access to international pressure

groups Increased awareness of rights Declining political acceptance of repressive

government/other practices Ability to challenge Changed power relations at the site

Changed the nature of relationship between company and stakeholders


Internationalization of civil society Expectations for international

companies to be ‘global citizens’ Demonstrate corporate social

responsibility International public opinion Increasing awareness and

participation International financial, legal and

environmental standards


Aarhus Convention on Public Participation - Europe Agenda 21 Equator Principles IFC Operational Directive 4.01– Environmental

Assessment IFC Operational Directive 4.30 – Involuntary Resettlement. IFC Disclosure Policy (1998); Stakeholder Engagement

(2007). Business Action for Sustainable Development (BASD) World Bank Extractive Industries Review Country laws – environmental and social; access to

information


Role of the State

In most developing regions of the world….. Inability to effectively apply legislation and regulations

- lack of resources, inadequate staff training Inability to improve social conditions

- companies to act as surrogate governments Inability to maintain and guarantee rights Tendency to model laws on those of developed countries

- lack of legitimacy

World Bank and IFC (many) International Hydrologic Programme, UNESCO US Environmental Protection Agency (EPA) US Departments of Energy, Defense, Transport, etc Commonwealth Foundation World Water Vision Project US Army Corps US President’s Council on Sustainable Development Canadian Standards Association Superfund Correctional Service, Canada European Bank The Intel Corporation, other companies International Association for Public Participation

P2 source books, guides, toolkits, manuals etc

Check out the SAIEA Calabash site

DRIVERS FOR CHANGING ROLE OF THE PUBLIC (4)

Session 3 - Public participation in law

Environmental rights

Laws, regulations, how decisions will be made

Legal requirements and standards

Legal requirements in-countryLaws International conventions signed by

country International standards (donors and

funders like IFC)Equator Principles IFC Performance Standards

Course participants page 5-7

IFC Performance Standards on Social and Environmental

Sustainability

2. Labor and Working Conditions

3. Pollution Prevention & Abatement

4. Community Health, Safety &

Security

5. Land acquisition and Involuntary Resettlement

6. Biodiversity Conservation &

Sustainable Natural Resource

Management

7. Indigenous Peoples

8. Cultural Heritage

1. Social and Environmental Assessment & Management

Systems

Components of Performance Standard 1

a) Social and Environmental Assessment

b) Management Program

c) Organizational

Capacity

d) Training

e) Community Engagement

f) Monitoring

g) Reporting

Social & environmental impact assessment

Avoidance, mitigation, compensation measures

Action Plans (Resettlement, Biodiversity, etc.)

Roles, responsibilities, authority to implement management program

Incl. regulatory requirement, IFC Performance Standards & Action Plans

Disclosure

Consultation

Grievance

Recording of information, inspections, audits, etc.

Internal reporting

External reporting on Action Plans

Indicators for Ascertaining Free, Prior and Informed Consultation

1. Company strategy, policy or

principles on Engagement

2. Stakeholder identification &

analysis

3. Community engagement

Affected communities involved in:

Identifying potential impacts

Assessing consequences of

impacts

Development of mitigation measures

New impacts that have come to light have been consulted upon

4. Information disclosure

5. Consultation

Free (support of project notelicited by coercion, etc.)

Prior (sufficient time to interpret information, etc.)

Informed (based on adequate disclosure)

6. Informed participation

Incorporating community views on required mitigation, etc.

7. Vulnerable groups

8. Grievance mechanism

9. Feedback to affected

communities

Consultation

Mitigation

Structure, procedure & application

The Equator Principles

1. Review and categorisation – magnitude of impacts2. Social and Environmental Assessment – address risks, propose

mitigation3. Applicable Social and Environmental Standards – eg IFC Performance

Standards, compliance with host country laws and regs4. Action Plan and Management System – addresses management of

impacts5. Consultation and Disclosure – structured and culturally appropriate –

free, prior and informed consultation6. Grievance Mechanism – ensuring continued consultation throughout

construction and operation.7. Independent review – expert not directly associated to review

assessment.8. Covenants – compliance, process, report, decommission9. Independent monitoring and review – during operation10. EPFI Reporting – publicly, annually re implementation of principles.

Law and pp guidelines

Southern African Institute for Environmental Assessment (SAIEA)

Calabash project – all the resources you need

www.saiea.com click on CalabashCheck out the new handbook on

environmental law in Southern African countries

http://www.saiea.com/

EIA Process (Chapter 4 in Guide)

FEASIBILITY STUDY

TECHNICAL FINANCIALENVIRONMENTAL/

SOCIAL

Where the EA fits into the developer’s feasibility study

Course participants page 9

IMPACT ASSESSMENT

DECISION-MAKING

INTEGRATION & COMPILE REPORT

IMPACT ASSESSMENT

(Specialist studies)

SCOPING(issues by stakeholders, authorities, specialists)

ENVIRONMENTAL MANAGEMENT

PLAN

Identify stakeholdersProvide info (capacity building)Get issues concerns and suggestions for benefitsGet local knowledgeVerification that issues captured

Objectives of public participation during an EA

To provide sufficient and accessible information to stakeholders in an objective manner to assist them to:During the Scoping Phase: Identify issues of concern, suggestions for

enhanced benefits and alternatives Verify their issues were recorded / captured Agree on the scope of the EADuring the Environmental Assessment Phase: Verify their issues were considered Comment on findings of EADuring / after the Decision-making Phase: Understand reasons for and conditions to

decision Opportunity to appeal decision

Course participants page 10

To achieve this one must:• Identify

stakeholders• Announce

opportunity to participate and

• Provide information

TEA TIME – 30 MINUTES

Session 4 - PP – What it is and is not

Public participation

A process leading to a joint effort by… stakeholders technical specialists the authorities the proponent…who work together to produce betterdecisions than if they had actedindependently

WHAT IS PUBLIC PARTICIPATION?

“They can help us think”“They can give us an up-front

indication of environmental (social, economic, environment) issues

which may cause future difficulties”“Capitalizing on the collective wisdom of people representing

various perspectives of society”

BENEFITS OF PUBLIC PARTICIPATION

· Builds public understanding of need for proposed policy, program, plan or project and leads to better and more durable decisions

· Creates trust in decision-makers and processes, leading to stable policies and enduring decisions

· Provides an early warning of issues that require mitigation· Builds public ownership and stronger stake in initiatives leading to

participants carrying out their responsibilities during implementation · Identifies local customs or institutions that could be barriers to

implementation, with opportunities to adapt activity before implementation begins

· Creates opportunities for stakeholders to discuss their differences directly, often leading to creative new solutions

· Manages single-issue viewpoints through interactive process which allows a broad range of balancing perspectives and values

· Enriches decision-making through diversity of opinion and the local and traditional knowledge and collective wisdom of stakeholders

· Builds legitimacy for decisions that allows them to withstand changes in government or company policy and leadership

RESULT OF NO COMMON GOAL

GovernmentP

roponent

EIA Team

Soci

alEn

viro

nmen

t

advocacyanimosityconflicting needsmistrust

= 2m3/a/xx2ab/ml/s

*&&!!**

&&!!**!*?!!&&$$

!!&?11**

COMMON GOAL – SUSTAINABLE DEVELOPMENT

StakeholderStakeholderAgriculture

Developer

StakeholderSocial

GovernmentLocal

EIA Specialist

StakeholderLabour

GovernmentCentral

EIA Specialist

StakeholderEnvironment

StakeholderMining Industry

Developer

GovernmentProvincial

Can we achieve...

sustainability?

Economicindustry

Ecologicalintegrity

Socialequity

PUBLIC PARTICIPATION : WHAT IT IS NOT

Not public relations Not the DAD principle Does not promote project or developer Cannot practically consult with every individual or

organisation Not the developer’s neighbour or community

relations Cannot on behalf of developer enter into

negotiations Not intended to satisfy grievances; rather to

record issues of concern Not environmental dispute resolution

Difference between PR and P2

ongoing

2003

2004

2005

2006

2007

PUBLIC RELATIONS

health

business safety

finances

shareholding

environment

other

PUBLIC PARTICIPATIONSpecific project or

activity. Finite.Decision-orientated

Neighbour relations programme

8

2002

social

project progressproduction

Session 5 - Appropriate PP – Good practice

Background Information Document and comment sheet

Posters PowerPoint presentations

at meetings Small group and Focus

Group meetings Site visits to existing mine Media releases Radio Three-monthly 4-page

newsletter

A mix of written, visual and verbal methodologies

was used to share information

Information provision

A mix of written, visual and verbal methodologies

was used to share information


Comprehensive public consultation at the start of the EIA for the proposed new mine:

Methodologies consisted of a mix of personal contact, written and visual information in lay person’s language.

Senior company personnel were present at most meetings to ensure that stakeholders perceived the company as being committed to public consultation, and to ensure that relationships were being built.Personal interviews, small group meetings and focus group meetings (maximum 25 people) with different sectors of society were held in preference to large, emotive public meetings.


Documents that were available for stakeholder comment:

Full EIA and RAP reports (for more technically minded people), English and French

Summary of EIA report (in lay person’s language), English, French and Swahili

Comment sheets

Summary reports distributed in advance through- Personal delivery- Mail- Email- Web


According to ability

modern mining, mitigation of its impacts and benefits

Ghanaian legislation international lender and

good practice requirements

Substantial effort was put into building stakeholder capacity of:


Building capacity to participate

Explanatory posters

Background Information Document

Small group meetings


Not forgetting the process information

ScopingGetting issues and

suggestions

Impact assessment

Specialists evaluate and recommend

Environmental Report

Presents findings

Authority decision

May project proceed and what conditions?

Environmental Management Plan

Measures

EIA process

Environmental rights

Laws, regulations, how decisions will be made

Building capacity to participate

Getting issues

Comment boxes at notice boards and Information Centres

Site visits to the hill that will be mined

Getting issues

Company personnel always sat in between stakeholders, never at a speakers’ table in the front. This created a feeling of working together, rather than “Us and Them.”

Getting issues

Getting issuesOpen Houses included seating for Focus Groups where senior company personnel assisted to explain proposed project and members of the EIA team assisted to explain impacts and mitigation.

Open houses

Senior company personnel met with smaller groups of stakeholders during Open Houses to build trust and show commitment. As these two photos show, initially angry

stakeholders relaxed and entered into discussion with the

company

Getting issues

Giving feedback

Issues and response reportIssues and response postersSummary document

COMMENTS/RESPONSE REPORT: REFLECTING STAKEHOLDER ISSUES BACK TO THEM

ISSUE RAISED COMMENTATOR RESPONSEIssues related to water allocation

That crop farmers in this water management area have always had the major share of water, leaving little for other interprises

Mr Ben Hefer, Hernic Ferrochrome

In order to prevent the new plant from contributing to pollution, there has to be total assurance that the new plant is a closed system. WMB therefore thoroughly reviewed and confirmed that the designs put forward by the client are rigorous and is confident that it remains a closed system

Issues related to water quality

That the plant will use onemillion litres of water per day; that it be indicated whether there will be enough water for residential purposes and the plant

Ms Selinah Motha, Name Community, date

The residential areas of Brits will not experience decreased availability of domestic water as a result of the plant, as confirmed by the Local Council during the public meeting on 25 July

Giving feedbackSummary document including issues and responses

Full Issues and Response Report (over 100 pp) was available

Emphasis was placed on potential impacts and how these could be mitigated during modern mining

Giving feedback

Notice Boards, Information Points and

Comment Boxes

Respect cultural diversity

Session 7 - Designing the process

Chapter 8 of Guide

Session 6 - Tailoring PP to suit project requirements

Design considerations Previous processes Degree of trust in authorities and

proponent Level of understanding of stakeholders Degree to which s/h are already organised Sectors of society in area Number of languages Degree of previous (or other) problems Local circumstances

CRITERIA FOR DETERMINING SCALE OF IMPACTS AND SENSITIVITY

Scale and significance of impacts Size of footprint of impacts Greenfields vs Brownfields Aggregate and cumulative impacts Scale of impacts: national, provincial, local Number of issuesSensitivity of receiving environment Important water catchment areas Major drainage lines Proclaimed nature reserves, National Parks Heritage Sites Areas of archaeological, cultural or historic value

CRITERIA FOR DETERMINING SCALE OF IMPACTS AND SENSITIVITY (2)

Sensitivity of public perceptions Linked to sensitivity of receiving environment Areas with a “sense of place” Areas with a spiritual sense Fear of contamination Perceived past environmental neglect by government

or proponent Emotive issues (hazardous waste, relocation) Time pressure Recent negative press Tarnished neighbour relations

LOW

HIGH

HIGHPublic sensitivity

Ris

ks /

impa

cts

Sensitive environment; hazardous materials; relocation; people’s pockets; people’s health; company reputation …

High risks / ImpactsHigh public Sensitivity

(Long complicated EIA)

Low risks / impactsHigh public Sensitivity

(“Standard” EIA)

High risks / impactsLow public Sensitivity

(“Standard” EIA)

Low risks / impacts

Low public Sensitivity

(Basic assessment)

HIGHCOST, HIGH PUBLICITY, LONG TIME

‘Pitching’ your process

DETERMINING THE SCALE / PITCHING YOUR PROCESS

SCALE OF ANTICIPATED IMPACTS AND PUBLIC

SENSITIVITIESPUBLIC PARTICIPATION REQUIREMENTS

UP TO DSR COMMENT

VERY LOW • Advert, local paper• Letters and phone calls to immediate neighbours• DSR in local library

LOW • Advert, local paper• Letters and phone calls to neighbours,perhaps interview

neighbours• DSR to neighbours• DSR in local library

MEDIUM • Advert, local paper• Letters and phone calls to stakeholders• Background Information Document• Individual consultations/interviews• Letter announcing availability of DSR• DSR to stakeholders• DSR in public places• Stakeholder workshop

DETERMINING THE SCALE (2)

SCALE OF ANTICIPATED IMPACTS AND PUBLIC

SENSITIVITIESPUBLIC PARTICIPATION REQUIREMENTS

UP TO DSR COMMENTMEDIUM TO HIGH • Adverts, local and regional papers

• Letters to stakeholders in footprint• Background Information Document, 2 languages• Community meeting/s• Individual consultations/interviews/focus groups• Letter announcing availability of DSR• DSR to stakeholders• DSR in public places• Public meeting

HIGH • Adverts, local, regional, national papers• Letters to stakeholders, broad range• Background Information Document, 3 languages• Community meetings• Individual consultations• Stakeholder/authority workshop• Proceedings as discussion document• Letter announcing availability of DSR• DSR widely distributed• DSR in public places• Public meeting

Identify stakeholders (8.5 in Guide)

Use three dimensions of sustainability (Fig 15) Determine sectors of society according to Key

Stakeholder Figure (16) Use maps (Google Earth) Ask questions (p50 of Guide) Referrals – one farmer knows other neighbours Walk the area where practical Who plays big role in community? Chief, clergy,

women, youth?

GENERIC OPEN HOUSE VENUE SET-UP

Registration Table

Tabl

es fo

r Doc

umen

t dis

play

an

d ta

ke-h

ome

mat

eria

l Posters: Who is Company?

Posters: Environmental and Social Issues

Posters: Project Description

Tea Station

Posters: Com

pany Policy / principles / Procedures

RegistrationLists, commentSheets, spare

documents

Small tables for impromptu focus group meetings

Open Houses

Poster displays on walls, focus group

seating in centre of hall

Document display table and take-home materials

Open Houses

Document display table and take-home materials

Registration table

Full versions of documents available to those that want them

Open HousesRegistration lists, comment sheets and documents on tables

Recording issues during Open House

Open Houses

Company personnel conduct small-group briefings

Company personnel at hand to help stakeholders record issues

Open Houses

Simple catering at most meetings

Sometimes just water or minerals

Dry run before Open Houses

Open HousesVery organised packing

Working in teams

Open Houses

Security

Setting up the venue

Session 8 - Case study – pp for an EIA

“Pitch your process” Identify stakeholders – just sectors, not organisations or individuals Design the pp process up to getting comment on the Draft Scoping

Report Identify stakeholders How will you announce the opportunity? How will you provide initial information? How will you get issues? How will you get comment on the Draft Scoping Report?

Process design – sectors of stakeholders

Process design – announce opportunity

Process design – provide initial information

Process design – get issues

Process design – get comment on Draft Scoping Report

Process design

Was this course useful? Why?Three things I learned todayTwo things I will use in my workOne question I still haveIf you could take this course again,

what would you change?

One last task…..

Contact details

Erika du Plessis Associate Golder Associates Africa (Pty) Ltd Regional Manager, West Africa Stakeholder Engagement Specialist [email protected] Tel. +27 82 802 1309

33 A Senchi Street, Airport Residential, Accra, Ghana

mailto:[email protected]