Module 2:
Principles of Public Participation

Purpose

The purpose of Module 2 is to engage participants in deliberation over the basic concepts and terminology "public participation" and to come to a collective understanding of its meaning and applicability to daily work.

Objectives

At the end of this module, participants should have an understanding of:

Contents: Principles of Public Participation

figure 7

Worksheet: What is Participation?

List some adjectives you would use to describe a "participatory" process.




List some adjectives you would use to describe a process that is "not participatory."




Worksheet: Organizational Decisionmaking Process

Participant Name _________________________________________________________

Draw a representation of the decisionmaking process that exists in your organization. Use whatever method you prefer (symbols, flowchart, diagram, etc.) The drawing should indicate who is involved and at what stage in the process they are involved.






Worksheet: What is the "Decisionmaking Process"?

figure 8
figure 9
figure 9
figure 9
figure 9
figure 9
figure 9
figure 9

Diagram: Participatory Decisionmaking

figure 10

Exercise: Participation Assessment Tool*

Directions: This is an experimental exercise designed to indicate an individual's perception of the level of participation by members, staff or other actors in decisionmaking processes in an organization or project. Answer the questions applying them to either your organization or project. Circle the letter on the answer sheet which you think best describes the situation in your organization. Not every question may be applicable to your organization or project.

  1. Who initiated forming the organization/project?
    1. authorities outside the organization
    2. outside experts/consultants with some leaders
    3. the leaders/officers
    4. the leaders and some members/staff
    5. the members/staff
    6. don't know
    7. not applicable
    8. others (specify) __________________________________

  2. When the organization/project was started, who formulated the by-laws and regulations?
    1. authorities outside the organization
    2. outside experts/consultants with some leaders
    3. the leaders/officers
    4. the leaders and some members/staff
    5. the members/staff
    6. don't know
    7. not applicable
    8. others (specify) __________________________________

  3. Who designs projects in the organization?
    1. authorities outside the organization
    2. outside experts/consultants with some leaders
    3. the leaders/officers
    4. the leaders and some members/staff
    5. the members/staff
    6. don't know
    7. not applicable
    8. others (specify) __________________________________

  4. Who decides whether to continue or terminate a project?
    1. authorities outside the organization
    2. outside experts/consultants with some leaders
    3. the leaders/officers
    4. the leaders and some members/staff
    5. the members/staff
    6. don't know
    7. not applicable
    8. others (specify) __________________________________

  5. Who decides on the term of office and/or removal of officers of the organization?
    1. authorities outside the organization
    2. outside experts/consultants with some leaders
    3. the leaders/officers
    4. the leaders and some members/staff
    5. the members/staff
    6. don't know
    7. not applicable
    8. others (specify) __________________________________

  6. If there is a some kind of training or event, who decides who from the organization will attend?
    1. authorities outside the organization
    2. outside experts/consultants with some leaders
    3. the leaders/officers
    4. the leaders and some members/staff
    5. the members/staff
    6. don't know
    7. not applicable
    8. others (specify) __________________________________

  7. Who represents the organization publicly most of the time?
    1. authorities outside the organization
    2. outside experts/consultants with some leaders
    3. the leaders/officers
    4. the leaders and some members/staff
    5. the members/staff
    6. don't know
    7. not applicable
    8. others (specify) __________________________________

  8. Who decides on membership dues, fees and/or prices for the organization?
    1. authorities outside the organization
    2. outside experts/consultants with some leaders
    3. the leaders/officers
    4. the leaders and some members/staff
    5. the members/staff
    6. don't know
    7. not applicable
    8. others (specify) __________________________________

  9. Who has the authority to change the rules and policies of the organization?
    1. authorities outside the organization
    2. outside experts/consultants with some leaders
    3. the leaders/officers
    4. the leaders and some members/staff
    5. the members/staff
    6. don't know
    7. not applicable
    8. others (specify) __________________________________

  10. Who is usually asked to deal with the most difficult problems facing the organization?
    1. authorities outside the organization
    2. outside experts/consultants with some leaders
    3. the leaders/officers
    4. the leaders and some members/staff
    5. the members/staff
    6. don't know
    7. not applicable
    8. others (specify) __________________________________

  11. Who usually decides what the organization should do during a crisis or an emergency?
    1. authorities outside the organization
    2. outside experts/consultants with some leaders
    3. the leaders/officers
    4. the leaders and some members/staff
    5. the members/staff
    6. don't know
    7. not applicable
    8. others (specify) __________________________________

  12. Who sets criteria for accepting new members or hiring new staff for the organization?
    1. authorities outside the organization
    2. outside experts/consultants with some leaders
    3. the leaders/officers
    4. the leaders and some members/staff
    5. the members/staff
    6. don't know
    7. not applicable
    8. others (specify) __________________________________

  13. Who determines the amounts of financial resources budgeted for different organizational activities/projects?
    1. authorities outside the organization
    2. outside experts/consultants with some leaders
    3. the leaders/officers
    4. the leaders and some members/staff
    5. the members/staff
    6. don't know
    7. not applicable
    8. others (specify) __________________________________

  14. Who has authority to approve expenditures of the organization?
    1. authorities outside the organization
    2. outside experts/consultants with some leaders
    3. the leaders/officers
    4. the leaders and some members/staff
    5. the members/staff
    6. don't know
    7. not applicable
    8. others (specify) ________________________________

  15. During meetings, whose suggestions are considered most important?
    1. authorities outside the organization
    2. outside experts/consultants with some leaders
    3. the leaders/officers
    4. the leaders and some members/staff
    5. the members/staff
    6. don't know
    7. not applicable
    8. others (specify) __________________________________

  16. If there are rules and policies not useful to the organization, how are they changed/eliminated?
    1. by decree of outside authorities
    2. by decision of outside expert/consultant and some leaders
    3. by majority vote of leaders/officers
    4. by majority vote of members/staff
    5. by consensus of all members
    6. don't know
    7. not applicable
    8. others (specify) __________________________________

  17. For general organizational policy questions, how does the organization make decisions?
    1. by decree of outside authorities
    2. by decision of outside expert/consultant and some leaders
    3. by majority vote of leaders/officers
    4. by majority vote of members/staff
    5. by consensus of all members
    6. don't know
    7. not applicable
    8. others (specify) __________________________________

  18. How are officers of the organization elected to their positions?
    1. by decree of outside authorities
    2. by decision of outside expert/consultant and some leaders
    3. by majority vote of leaders/officers
    4. by majority vote of members/staff
    5. by consensus of all members
    6. don't know
    7. not applicable
    8. others (specify) __________________________________

  19. To what extent do members/staff influence selection of officers/leaders?
    1. negligible
    2. some extent
    3. large extent
    4. very large extent
    5. always
    6. don't know
    7. not applicable

  20. When the members/staff of the organization have a common problem, who suggests solutions to the problem?
    1. authorities outside the organization
    2. outside experts/consultants with some leaders
    3. the leaders/officers
    4. the leaders and some members/staff
    5. the members/staff
    6. don't know
    7. not applicable
    8. others (specify) __________________________________

  21. Which group has most responsibility for implementing organizational activities/projects?
    1. outside consultants/contractors
    2. outside consultants/contractors with some leaders
    3. the leaders/officers
    4. the leaders and some members/staff
    5. the members/staff
    6. don't know
    7. not applicable
    8. others (specify) __________________________________

  22. Which group contributes money most of the time?
    1. outside authorities/sources
    2. outside authorities/sources with some leaders
    3. the leaders/officers
    4. the leaders and some members/staff
    5. the members/staff
    6. don't know
    7. not applicable
    8. others (specify) __________________________________

  23. Which group contributes the most information used to make decisions?
    1. outside authorities/sources
    2. outside authorities/sources with some leaders
    3. the leaders/officers
    4. the leaders and some members/staff
    5. the members/staff
    6. don't know
    7. not applicable
    8. others (specify) __________________________________

  24. Which group contributes new ideas most of the time?
    1. outside authorities/sources
    2. outside authorities/sources with some leaders
    3. the leaders/officers
    4. the leaders and some members/staff
    5. the members/staff
    6. don't know
    7. not applicable
    8. others (specify) __________________________________

  25. Who is responsible for approving responses to outside inquiries about the organization or its activities?
    1. outside authorities/experts
    2. outside authorities/experts with some leaders
    3. the leaders/officers
    4. the leaders and some members/staff
    5. the members/staff
    6. don't know
    7. not applicable
    8. others (specify) __________________________________

  26. Which group influences most of the time the direction of policies and implementation of the projects?
    1. outside authorities/experts
    2. outside authorities/experts with some leaders
    3. the leaders/officers
    4. the leaders and some members/staff
    5. the members/staff
    6. don't know
    7. not applicable
    8. others (specify) __________________________________

  27. To what extent is completing projects quickly more important than taking into consideration everyone's ideas, opinions or concerns?
    1. always
    2. very large extent
    3. large extent
    4. some extent
    5. not at all
    6. don't know
    7. not applicable

  28. To what extent do members/staff contribute money to the projects and other activities of the organization?
    1. never
    2. some extent
    3. large extent
    4. very large extent
    5. always
    6. don't know
    7. not applicable

  29. To what extent do members/staff contribute information in the projects/activities of the organization?
    1. never
    2. some extent
    3. large extent
    4. very large extent
    5. always
    6. don't know
    7. not applicable

  30. To what extent do members/staff contribute suggestions in the projects/activities of the organization?
    1. never
    2. some extent
    3. large extent
    4. very large extent
    5. always
    6. don't know
    7. not applicable

  31. To what extent do members/staff have control over decisions for implementation of organizational activities?
    1. no control
    2. some control
    3. a lot of control
    4. most control
    5. complete control
    6. don't know
    7. not applicable

  32. To what extent do members/staff have control over resources for implementation?
    1. no control
    2. some control
    3. a lot of control
    4. most control
    5. complete control
    6. don't know
    7. not applicable

  33. To what extent do leaders/officers of your organization respect the ideas and interests of members/staff?
    1. not at all
    2. some extent
    3. large extent
    4. very large extent
    5. completely
    6. don't know
    7. not applicable

  34. To what extent are leaders/officers of your organization willing to receive constructive feedback/criticism from members/staff?
    1. not at all
    2. some extent
    3. large extent
    4. very large extent
    5. completely
    6. don't know
    7. not applicable

  35. To what extent are the mission, goals and tasks of the organization's work clearly understood by members/staff?
    1. not at all
    2. some extent
    3. large extent
    4. very large extent
    5. completely
    6. don't know
    7. not applicable

  36. To what extent do members/staff help one another participate in group discussions, problem solving and decisionmaking?
    1. never
    2. some extent
    3. large extent
    4. very large extent
    5. always
    6. don't know
    7. not applicable

  37. To what extent are members/staff proud of the organization?
    1. not proud
    2. somewhat proud
    3. proud
    4. very proud
    5. emotionally invested
    6. don't know
    7. not applicable

  38. To what extent do members/staff consider the organization an important part of their lives?
    1. not at all
    2. some extent
    3. large extent
    4. very large extent
    5. central part
    6. don't know
    7. not applicable

  39. Which group tends to benefit most from the projects of the organization?
    1. outside beneficiaries
    2. outside beneficiaries and leaders/officers
    3. the leaders/officers only
    4. the leaders and some members/staff
    5. all or most members/staff
    6. don't know
    7. not applicable
    8. others (specify) __________________________________

  40. Which group tends to benefit from training/education seminars?
    1. outside beneficiaries
    2. outside beneficiaries and leaders/officers
    3. the leaders/officers only
    4. the leaders and some members/staff
    5. all or most members/staff
    6. don't know
    7. not applicable
    8. others (specify) __________________________________

  41. To what extent is the work of members/staff recognized and rewarded by leaders of the organization?
    1. not at all
    2. some extent
    3. large extent
    4. very large extent
    5. always
    6. don't know
    7. not applicable

  42. To what extent do projects/activities of the organization benefit members/staff?
    1. not at all
    2. some extent
    3. large extent
    4. very large extent
    5. always
    6. don't know
    7. not applicable

  43. To what extent are members/staff of the organization generally supportive and cooperative with one another?
    1. not at all
    2. some extent
    3. large extent
    4. very large extent
    5. always
    6. don't know
    7. not applicable

  44. To what extent do leaders recognize that collective effort can be more effective than individual effort?
    1. not at all
    2. some extent
    3. large extent
    4. very large extent
    5. always
    6. don't know
    7. not applicable

  45. To what extent do members/staff take initiative to identify problems and gather information to correct them?
    1. not at all
    2. some extent
    3. large extent
    4. very large extent
    5. always
    6. don't know
    7. not applicable

  46. Who participates in evaluation of the projects/activities most of the time?
    1. authorities/experts outside the organization
    2. experts/consultants with some leaders
    3. leaders/officers only
    4. leaders/officers and some members/staff
    5. the members/staff
    6. don't know
    7. not applicable
    8. others (specify) __________________________________

  47. Who decides whether a project/activity is successful or not?
    1. authorities/experts outside the organization
    2. experts/consultants with some leaders
    3. leaders/officers only
    4. leaders/officers and some members/staff
    5. the members/staff
    6. don't know
    7. not applicable
    8. others (specify) __________________________________

  48. To what extent are members/staff involved in the evaluation of projects/activities of the organization?
    1. not at all
    2. some extent
    3. large extent
    4. very large extent
    5. always
    6. don't know
    7. not applicable

  49. At what stage are members/staff involved in the evaluation of projects/activities of the organization?
    1. never
    2. when the project/activity is finished/completed
    3. when the project/activity is partially complete
    4. at the start of the project/activity starts
    5. during the planning stages of the project/activity
    6. don't know
    7. not applicable
    8. others (specify) __________________________________

  50. To what extent do leaders/officers involve members/staff in improving problems identified in evaluation processes?
    1. not at all
    2. some extent
    3. large extent
    4. very large extent
    5. always
    6. don't know
    7. not applicable

Answer Sheet: Participation Assessment Tool

Participant Name ______________________________________________________

Answers: Circle the letter corresponding to your answer for each question or write in your response to option "h"/"other":

 1.  a     b     c     d     e     f     g     h: _______________________
 2.  a     b     c     d     e     f     g     h: _______________________
 3.  a     b     c     d     e     f     g     h: _______________________
 4.  a     b     c     d     e     f     g     h: _______________________
 5.  a     b     c     d     e     f     g     h: _______________________
 6.  a     b     c     d     e     f     g     h: _______________________
 7.  a     b     c     d     e     f     g     h: _______________________
 8.  a     b     c     d     e     f     g     h: _______________________
 9.  a     b     c     d     e     f     g     h: _______________________
10.  a     b     c     d     e     f     g     h: _______________________
11.  a     b     c     d     e     f     g     h: _______________________
12.  a     b     c     d     e     f     g     h: _______________________
13.  a     b     c     d     e     f     g     h: _______________________
14.  a     b     c     d     e     f     g     h: _______________________
15.  a     b     c     d     e     f     g     h: _______________________
16.  a     b     c     d     e     f     g     h: _______________________
17.  a     b     c     d     e     f     g     h: _______________________
18.  a     b     c     d     e     f     g     h: _______________________
19.  a     b     c     d     e     f     g     
20.  a     b     c     d     e     f     g     h: _______________________
21.  a     b     c     d     e     f     g     h: _______________________
22.  a     b     c     d     e     f     g     h: _______________________
23.  a     b     c     d     e     f     g     h: _______________________
24.  a     b     c     d     e     f     g     h: _______________________
25.  a     b     c     d     e     f     g     h: _______________________
26.  a     b     c     d     e     f     g     h: _______________________
27.  a     b     c     d     e     f     g     
28.  a     b     c     d     e     f     g     
29.  a     b     c     d     e     f     g     
30.  a     b     c     d     e     f     g     
31.  a     b     c     d     e     f     g     
32.  a     b     c     d     e     f     g     
33.  a     b     c     d     e     f     g     
34.  a     b     c     d     e     f     g     
35.  a     b     c     d     e     f     g     
36.  a     b     c     d     e     f     g     
37.  a     b     c     d     e     f     g     
38.  a     b     c     d     e     f     g     
39.  a     b     c     d     e     f     g     h: _______________________ 
40.  a     b     c     d     e     f     g     h: _______________________
41.  a     b     c     d     e     f     g     
42.  a     b     c     d     e     f     g     
43.  a     b     c     d     e     f     g     
44.  a     b     c     d     e     f     g     
45.  a     b     c     d     e     f     g     
46.  a     b     c     d     e     f     g     h: _______________________  
47.  a     b     c     d     e     f     g     h: _______________________   
48.  a     b     c     d     e     f     g     
49.  a     b     c     d     e     f     g     h: _______________________    
50.  a     b     c     d     e     f     g     

Scoresheet: Participation Assessment Tool

figure 11 Participant Name ______________________________________

Scoring Instructions:

  1. Enter the total number of times you circled each letter on your answer sheet.

    a:_____ b:_____ c:_____ d:_____ e:_____ f:_____ g:_____

  2. Multiply the total for each letter using the following formulas and enter the new value:
    		a x 1 = _____		
    	
    		b x 2 = _____		
    
    		c x 3 = _____
    	    		
    		d x 4 = _____      	
    
    		e x 5 = _____       		
    
    		f x 0 = _____       
    

  3. Add the values: Total _____ This is your final score.

  4. Enter your final score on the participation scale.

Worksheet: Role of the Citizen in Society

Do you see your role as a citizen in society in decisionmaking processes as an active or a passive one?

  1. On the left,indicate what role you think you play now as a citizen in society.
  2. On the left, indicate what role you think you would like to play or think you should play as a citizen in society.

figure 12

Worksheet: Responsibilities for Participation

How much of the responsibility of participation is that of authorities to facilitate participation? How much of the responsibility is that of citizens to seek out possibilities for involvement or access?

Indicate below what percentage of the responsibility for public participation you think belongs to authorities, and what percentage to citizens (total should equal 100%).

figure 13

Worksheet: Who is "the Public"?

Who is "the public"? What individuals or institutions within the three sectors of society do you believe constitute "the public"?

figure 14

Worksheet: Benefits of Public Participation

Directions: What are the benefits of public participation to different sectors? Write your answers below:

figure 15

Benefits of Public Participation
Benefits for NGOs/Citizens Benefits for Business/Industry Benefits for Government
- provides citizens with an opportunity to influence and impact the environmental decisionmaking process;

- enables citizens to gain better understanding and knowledge about the environmental risks and impacts to which they, their families, and their communities are exposed;

- increases citizen awareness of how decisionmaking processes work: who makes decisions, on what basis (helps citizens to participate in the future, and helps the development of representational democracy);

- fosters greater sense of community awareness, social cohesion, social responsibility;

- empowers citizens and helps them to feel they can have a positive effect and influence on concrete conditions in their country/community;

- ensures local relevance of decisions and policies and that local knowledge and experience is taken into account in project design and implementation.

- increases knowledge and awareness of impacts of business operations on the environment and surrounding community;

- uncovers inefficiencies in production methods, raw material use, or energy consumption that can actually reduce operating costs and eliminate the need to install expensive pollution control equipment;

- increases understanding of consumers concerns and how to market products more effectively;

- increases access to governmental decisionmaking that affects business directly, through legal or other avenues;

- reduces potential for conflicts or legal action with public or government by understanding issues and obligations from their point of view;

- reduces likelihood of future delays or expenses by incorporating local issues and concerns early in the project planning process;

- improves project bankability by illustrating to funding and financial institutions that participation procedures and guidelines have been followed;

- generates creative and locally appropriate solutions;

- builds future good relations and trust with community leaders, consumers, the general public, NGOs and the media.

- creates more informed government decisionmaking by incorporating the diverse opinions, values, and ideas and gaining the direct, immediate knowledge of environmental conditions from community members;

- improves citizens awareness of issues and increased public understanding of projects and issues involved in decisionmaking, precondition for functioning democratic system and public satisfaction and trust in government institutions;

- supplements scarce government monitoring, inspection, and enforcement resources, thus saving time and money, when citizens act as the government's "eyes" and "ears" identifying and taking actions against environmental threats or violations of applicable laws;

- strengthens the position of the Ministry of Environment in relation to other government interests and ministries by public reinforcement of MoE's views and ensure government does not ignore environmental concerns;

- defuses conflict or opposition to particular government actions and builds broad-based consensus for environmental programs;

- saves valuable resources of both time and money, while requiring more public involvement early in the process may delay initially planning and incur additional costs, it prevents unanticipated changes or alterations in the future when final decisions are made;

- generates creative and locally appropriate solutions;

- builds future good relations and trust with community leaders, consumers, the general public, NGOs and the media.

Worksheet: Costs of Public Participation

Directions: Below are some commonly cited costs or criticisms of public participation. Do you agree? Explain your answer.

  1. Participation is inefficient.
    Participation is the opposite of administrative efficiency. A decisionmaking process involving as few people as possible would be far more efficient.

    __ I agree      __ I disagree

    Why? _________________________________________________________________

  2. Participation wastes precious time.
    Participation requires too much time, extends the decisionmaking process with little or no benefit.

    __ I agree      __ I disagree

    Why? _________________________________________________________________

  3. Participation wastes financial resources.
    Participation consumes staff salaries and other limited resources which could be better spent and more productive elsewhere.

    __ I agree      __ I disagree

    Why? _________________________________________________________________

  4. Participation doesn't produce concrete results.
    Participation is unreal action. The involvement of the public is a difficult task to plan and produces no concrete results. It makes people feel good, but it doesn't put food on the table or pay the rent.

    __ I agree      __ I disagree

    Why? _________________________________________________________________

  5. Participation creates false expectations.
    Participation creates expectations among the public that are not possible to implement. Ultimately this only makes more problems since people become more frustrated.

    __ I agree      __ I disagree

    Why? _________________________________________________________________

  6. Participatory Decisionmaking is Irrational.
    Decisionmaking should be based on concrete and factual information collected by educated and informed experts. Participation is irrational and is based on consensus, opinions and personal problems or priorities, not scientific examination.

    __ I agree      __ I disagree

    Why? _________________________________________________________________

  7. Participation is Elitist.
    Participation is an elitist concept, an idea only for the wealthy, "well connected" or powerful to pursue. It is not possible for the average citizen.

    __ I agree      __ I disagree

    Why? _________________________________________________________________

Diagram: Levels of Public Participation

Different levels of public participation allow for different levels of involvement of the public in the decisionmaking process and different numbers of persons. Generally, as the level of involvement increases, the numbers of individuals involved decreases.

figure 16

Worksheet: Public Participation Techniques

Directions: What techniques of public participation do you know? What level of participation do they promote? Indicate as many as you can in the chart below.

METHOD LEVEL OF PUBLIC PARTICIPATION
Information Citizens Feedback Consultations Joint Planning Citizen Control
Example: Public Meetings     X    
           
           
           
           
           

Discussion: Public Participation Methods

Directions: What is the difference between a technique and a method of public participation? What do the different techniques you identified on the previous page have in common?

  1. Legal Methods
    Legal methods of public participation are provided as basic rights through the constitution.
    For example:

  2. Nonformal Methods
    Nonformal methods of public participation are nonlegal (not illegal!) forms.
    For example:


REC * PUBLICATIONS * AWAKENING PARTICIPATION * MODULE 2

PREVIOUS NEXT COVER PAGE HOME PAGE