The emphasis of this course is on participants achieving an understanding of the following:

1) Regulation is more than a dialogue between the regulator and the regulated company

2) Achievement of real transparency and benefits of public participation requires public access to information that is comparable to that of the regulator, and

3) How the regulator can actively encourage and facilitate public participation

The sessions are designed to provide an introduction of the underlying principles of the topic, exposure to real situations and practical responses utilizing actual experiences of ERRA members, and promotion of interactive discussion among the participants.

Purpose: This session will provide an introduction to the course and an overview of the reasons why regulatory information and public participation are critical to the mission of the regulator.

Content:

• Introduction of faculty, course content and schedule, and explain objectives or expectations
• Definition of “transparency” and how it should be measured
• Common legal requirements and objectives related to transparency and the inherent obligations of the regulator
• Public participation broadly defined as including all stakeholders and their level of access to regulatory information
• Value of public participation to the regulator’s decision-making process, including credibility, greater awareness and understanding of the sector, early warning signals and added insights
• Why meaningful participation requires access to information comparable to the regulatory Board and its staff
• Legal, physical and cultural constraints, including fear or public reaction or assumption they have little to contribute

Purpose: This session will demonstrate the breadth of connection between the regulatory functions and public participation. It will identify and discuss the specific information requirements related to effective public participation by function and activities of the regulator.

Content:

• Authority of the regulator to collect data
• Identify specific regulatory functions and regulatory tools
• Determine information needed to support that function and produce the desired results
• Outline and discuss the informational characteristics necessary to assure meaningful public participation related to each function, including notification, access and opportunity for comment requirements, staff responsibilities.

Example: Tariff review requires notification by the company as well as the regulator, opportunity to intervene and comment, access to information comparable to that of Board and staff, and publication of decision with analysis of options and justification for decision.

Example: The handling of consumer complaints is an element of public participation because it provides the regulatory and company with information about performance and it provides the customers with increased understanding of the sector and their rights and responsibilities

• The conduct and content of regulatory board meetings, including when closed meetings are justified, the information available, and the opportunities for public comment.

• Content of written decisions, including analysis of options and justification for choices

SESSION 3. Transparency and Availability of Information

Purpose: The keeping of secrets undermines the ability of the public to meaningfully participate in the regulatory process. This session will explore the implications of designating information as confidential and the process and the criteria for doing so.

Content:

• The consequences of confidentiality of information for transparency and public participation
• The process and timing for designating information as confidential
• Who should determine what is confidential? The regulator, the company, the Parliament
• What should be the criteria for determining if information is confidential and how to weigh the public interests versus competitive commercial interests
• Who has the burden of proof
• What types of information are most likely to be considered confidential
• What impact competition has on claims and designation of confidentiality
• Who has access to confidential information
• What policies are appropriate for confidentiality of private consumer information
• What enforcement mechanisms exist for disclosure of confidential information

SESSION 4: Customer Complaints and Dispute Resolution

Purpose: This session will focus on establishing a customer service and dispute resolution process and how it can be conducted as a critical element of public participation.

Content:

• Handling the first contact with the regulator
• Informing customers of rights and responsibilities
• Role of the licensee and role of the regulator
• Barriers to customer pursuit of complaints
• Informal resolution and negotiation of complaints
• Formal complaints processes
• Role of consumer services staff
• Role of technical staff
• Tracking complaints by the licensee and the regulatory and integrating the information into the regulatory process
• Mediation and arbitration rules and the role of the regulator

SESSION 5: The Consultation Process: Meaningful Participation or Just Going Through the Motions?
Purpose: Many laws require some form of consultation and most regulatory bodies use some form of formal consultation as a method of public participation in certain decisions.

This session will address not only how the requirement and necessity for consultation can be met, but also whether such consultation is adequate for meaningful participation.

Content:

• Who has the duty to consult and who should have the right to be consulted the purpose
• What constitutes adequate consultation, including when the consultation should occur
• When do inconveniences justify limiting consultation
• Who decides who is to be consulted when the law does not specify
• How do those consulted receive information they need to participate in the process and render advice to affect the outcome
• When do the regulators make up their minds and how do they address issues raised by those consulted
• Experiences with establishing on-going consultation or advisory groups, those affected or those with expertise
• When can consultation substitute for public hearings
• The legal judicial review of the consultation and the consequences of breach of duty
• Oral or written
• Comparison with “quasi-judicial” system such as in U.S. where any interested party has a right to participate

SESSION 6. Public Outreach

Purpose: Encouraging and facilitating meaningful public participation requires an active program of communication of activities to the public to provide them with notification and information on relevant regulatory activities and how they can participate. This session will focus on the practical methods and considerations for various forms of public outreach.

Content:

• Development of a “Registry” for notification
• What constitutes adequate notification, including timing, content and distribution
• Identification of stakeholders and their requirements, including media, parliament, other government bodies and NGO’s
• Determining the “message”
• Media relations, including press conferences and publications
• Customer surveys, including subject, frequency, use and value
• The role of the licensee in public outreach and how the regulator can affect it, including requirements for notices and other communications
• Conducting decision meetings, both open and closed
• Conducting public hearings, including choice of topic, timing, promotion, location, and role of the regulator and staff and role of the licensee
• Timing and content of written decisions

SESSION 7. Organizing Institutional Support for Public Participation

Purpose: This session will focus on the building and managing of the organizational support necessary to encourage and sustain a meaningful level of public participation, including the effect internal procedures on handling information can have on public participation and dialogue.

Content:

• Budgeting, including type of financing, allocation of resources for public participation and publication, and accountability to government
• Adequate staffing levels for customer service and response to customer complaints and inquiries
• Development and organization of Information Technology staff and capabilities
• Media relations staff and functions, and process for drafting and approval
• Role of technical staff in facilitating public participation and awareness, including assignment of responsibilities and cross-divisional cooperation and communication
• Internal procedures for the receiving, exchange and sharing of information and the review of filings
• Record keeping requirements, including types of records and how long they must be archived and available.

SESSION 8: Group Exercise – Development and Implementation of a Comprehensive Public Participation Plan

Content:

• Summary of previous sessions and response to questions from participants for clarification or additional information.
• Presentation and discussion of one or more scenarios to be assigned to groups
• During the session the participants will break into groups. The number of groups will depend upon the number of attendees. Each group will be assigned a scenario for which they are to prepare a comprehensive plan that at least addresses the following:

• A public outreach program and methods for encouraging or facilitating public participation, with as much detail as possible on targeted audience, timing, and content
• Organizational structure requirements, including assigned responsibilities and role of various departments and personnel and any budgetary implications
• Regulatory information requirements, including notification requirements, access to information, methods of comment etc.
• Description of the role of the Board and/or Chairman

• The groups will reconvene in the evening after a dinner break to continue developing their plan. One or more faculty will be available to assist the groups in their discussions.
• The next day, the groups will present their plans to the other course attendees and faculty for review, feedback and evaluation (See SESSION 10)

Purpose: This topic will examine the role a code of ethics plays in transparency, independence and public participation. The elements of a code of ethics will be explored as well as the advisability of various common ethics code provisions and the ambiguities of their application. Particular attention will be paid to avoidance of the “appearance” of a conflict of interest issues.

Content: