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Consultation Policy

Reference: P11-001
Status: Approved by the Council 12 April 2011

What is public consultation?

Public consultation is the process in which an individual (or group) takes part in specific decision-making action. It is a coalition of effort and is often used to refer to processes in which persons or groups take an active part in planning and decision-making, implementation, learning and evaluation of a given issue.

Purpose of the policy

New Plymouth District Council is committed to engaging with its community, partners and staff to support the delivery of its decisions. The Council wants to ensure that those being consulted are clear about what they can reasonably expect to influence as a result of engaging in a process. This consultation policy sets out:

• How participation and consultation is integrated into the decision-making and long-term planning cycle.
• When, how and who the Council will engage with so as to improve the quality of outcome focussed decision making by the Council.

The purpose of this policy is to:

• Ensure that the Council consults with the community in an appropriate and lawful manner.
• Ensure the Council’s consultation methods are effective and efficient.

Principles of consultation

As stated in the Local Government Act 2002, there are a number of principles of consultation which must be utilised when a local authority embarks on a consultation process, whether voluntarily or under statutory requirement (s82).

The Act also sets out a number of circumstances in which the special consultative procedure must be used.  Part 6 sets out the requirements for the special consultative procedure generally (s83 and S83A), and specifically in relation to each use of the special consultative procedure (ss84-88).

The main principles state that:

1. Persons who will or may be affected by,  or have an interest in,  the decision or matter should be provided by the local authority with reasonable access to relevant information in a manner and format that is appropriate to the preferences and needs of the person.

2. Persons who will or may be affected by, or have an interest in, the decision or matter should be encouraged by the local authority to present their views to the local authority.

3. Persons who are invited or encouraged to present their views to the local authority should be given clear information by the local authority concerning the purpose of the consultation and the scope of the decisions to be taken following the consideration of the views presented.

4. Persons who wish to have their views on the decision or matter considered by the local authority should be provided by the local authority with a reasonable opportunity to present those views to the local authority in a manner and format that is appropriate to the preferences and needs of those persons.

5. The views presented to the local authority should be received by the local authority with an open mind and should be given by the local authority, in making decisions, due consideration:

6. Persons who present views to the local authority should be provided by the local authority with information concerning both the relevant decisions and the reasons for those decisions.

A local authority must ensure that it has in place processes for consulting with mãori in accordance with the principles laid out in the Local Government Act 2002.

Why the Council consults

The Local Government Act 2002 (LGA2002) sets out the duty of councils to give consideration to the views of those affected by, or have an interest in the Council’s decision or matter under consideration. Section 10 of the act, encapsulates the purpose of local government:

‘ to enable democratic local decision making and action by, and on behalf of communities; and to promote the social, economic, environment and cultural well-being of communities, in the present and for the future’

In achieving this purpose, the Council will engage with its community in a wide variety of public participation.

Part 6 of the LGA2002 (s78, ss81-83, ss91-93), lays out the specific obligations of local authorities in relation to planning, accountability, decision making and consultation. The core premise of these obligations is that Council decisions must consider the views and preference of persons likely to be affected, by, or have an interest in the matter. As part of this obligation opportunities must be established for mâori to participate in and contribute to decision making.

Alongside day-to-day decision making, the Council, as set out in s83 of the LGA2002, has the obligation to adopt the special consultative procedure (SCP) for certain consultations. An SCP must be used for:

• The adoption or amendment of a long-term plan (LTP) – s84 (Appendix 1).
• The adoption of an annual plan - s85.
• The making, amendment or revocation of bylaws, and fees prescribed by bylaw – s85, 150, 156 and 159.
• A change of mode of delivery of a significant activity- s88.
• The adoption or amendment of the policy on significance - s90.

The adoption of the funding and financial policies - s102 (revenue and financing policy, liability management policy, investment policy, policy on development contributions or financial contribution, policy on the remission and postponement of rates on mâori freehold land, rates remission policy and rates postponement policy)

• Adoption of assessment of water and sanitary services (unless included in the LTP) - s125.
• Transfer of responsibilities, unless included in annual plan or LTP - s17.
• A proposal to establish a Council-controlled organisation - s56.

The Council will endeavour to use a single annual plan or LTP Special Consultative Procedure where possible and practicable for the adoption or amendment of the above polices.

An SCP can also be used where the Council determines the matter is of enough significance to require the adoption of this consultation procedure.

In addition to the Local Government Act 2002, the Council has statutory responsibilities to consult as part of the following legislation:

• Building Act 1991 – s25.
• Energy Companies Act 1992 – s24.
• Local Government (Rating) Act 2002 – s55, s123.
• Resource Management Act 1991 – ss33, 36.
• Land Transport Management Act 2003 – cl.12-18.
• Reserve Act 1977 – s24 and s24a, s41.
• Ngati Tama Claims Settlement Act 2003.
• Ngati Mutunga Claims Settlement Act 2006.

There are a range of other practical reasons why the Council consults and communicates with the community and these include:

• Open and transparent government. As publicly accountable bodies our community have a democratic right to be both engaged and involved in decision making processes.
• Making good decisions. Councils are continually faced with decisions for which there is no simple or single option. Good decisions therefore rely on the community’s feedback to inform the Council’s judgements.
• Representation. Those who will be affected by a decision have the right to have their views considered as part of the decision making process.
• Acknowledging the special relationship with tangata whenua. The Council consults specifically with tangata whenua to make the district a community where the special relationship with tangata whenua is recognised, strengthened and valued.
• Facilitation and relationship building. The exercise of communicating and consulting with the community is an important means of sustaining and maintaining an on-going relationship with the community.
• Future participation. By use of a range of methods to encourage the community to become involved in the running of its Council, in a non threatening positive way that nurtures future involvement.
• Inclusion. To provide means for the community to have their views heard and for them to become actively involved with the decision making processes of the Council.
• Empowerment.  Encouraging participation as a means of enabling community members to voice their views on community matters.
• Stability. To provide feedback that enables the Council to make informed decisions that will be sustainable over the long term.
• Providing best value. Understanding the needs and wants of the community as a fundamental prerequisite to delivering services and improvements at the level needed or wanted by the community.
• Organisational and service development. By engaging with our community we are better placed to develop services that align to community wants and needs.
• Public relations and communication. Communication and active involvement in decision making processes enables the information to be imparted about the Council and its services.
• Conflict resolution and mediation. At times consultation can be used to defuse community anxiety over an issue or potential issue.

When the Council will consult

Following the principles of consultation outlined in the LGA (s82) the Council will determine when consultation is appropriate by exercising its discretion as stated in LGA (s82) subsection 3.

However, local authorities are also required to adopt a policy on significance.  The policy on significance will set out the Council’s general approach to issues of significance, and any thresholds, criteria or procedures it will use.  Significance is relevant to the standard of compliance required with the decision-making requirements.

When significant decisions need to be made

The Council will consult whenever a ‘significant decision’ needs to be made and there is time to do so, or when it is a legal requirement to consult (primarily set out under the LGA 2002). A significant strategic decision is one that significantly affects whether or not the community and its Council will achieve its vision and objectives as set out in the Community Plan. If the result of a decision compromises the Community Plan, then it is a departure from what has been formally agreed with the community, and the community will have the opportunity to consider the implications of this.

Decisions can be significant1 for different reasons.  They can be:

• Financially significant (the financial, resource and other costs of a decision).
• Significant to well-being (the impacts upon the current and future cultural, economic, environmental and social well-being of the district or region). 
• Significant to the community (or any persons who are likely to be particularly affected by or interested in the issue, proposal, decision or matter).
• Significant to service delivery (the achievement of or the ability to achieve the Council’s stated levels of service as set out in its community plan).
• Significant to the Council (the affect on the capacity of the local authority to perform its role and carry out its activities now and in the future).

Significance will be the primary consideration guiding a local authority’s decision regarding the standard of compliance. If a decision is determined ‘significant’ then a higher standard of compliance can be expected. However, the Council would not be expected to undertake detailed or extensive decision-making processes for less significant matters.

When not to consult

Information is always necessary, but there may be times, when it is not necessary to engage the community in an issue or decision.

The Council will have a presumption to consult, as per this policy and its associated Policy on Significance on all issues of strategy, policy, planning and changes in service delivery operations. However, consultation may not be required when:

• The issue is already addressed by the Council’s policies or plans, which have previously been consulted upon.
• There is no decision to be made.
• The costs and benefits of the decision are not significant to the community as a whole, or specific groups or individuals (refer to the Council’s Policy on Significance).
• Confidentiality is necessary and allowed under the Local Government Official Information and Meetings Act 1987 and is judged by the Council not to be in the wider public interest.
• There are no practicable alternative options to choose from (refer to the Communications Strategy for guidance on informing the community, as the community affected or interested have a right to understand this issue and the rationale for the approach taken).
• In the case of an emergency, where an immediate response is necessary.

The extent and scope of the consultation

In general, the costs of consultation should not exceed the benefits of it. In terms of cost benefit analysis, in some instances this will not be quantifiable, particularly in areas of amenity benefit or community development. Whether the costs outweigh the benefits will require a degree of professional and political judgement in line with the Council’s Policy on Significance.

The level of consultation needs to be tailored to the size and impact of the issue and be guided by the principles outlined in this policy.  Consideration will therefore be based upon the following:

• Significance (as detailed in the section ‘when the Council will consult’).
• Affected parties. If the affected party is an identifiable group or locality it might be acceptable to limit the consultation to that group or location.
• Risk. This is linked to significance but can also extend to the political risks associated. with the issues.
• Sensitivity of the issue. It may not be significant, but knowledge of the issue suggests that a strong process is needed to ensure the issue is addressed in the manner, which is appropriate.
• Likelihood of legal challenge. This will dictate that a comprehensive process of engagement needs to take place.
• Ability to influence. If community engagement cannot influence an outcome, then there is a need to inform the community.
• Costs. Staff time, costs of processes and analysis, production of document etc.

Guidance to officers

In conjunction with the adoption of this policy, guidance documentation for officers will support the effective implementation of this policy.

Duration of policy

This policy will be subject to review three years after its formal adoption (2014), or before as required by a change of legislation or other significant prompt.

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