Communication from the Commission - Towards a reinforced culture of consultation and dialogue - General principles and minimum standards for consultation of interested parties by the Commission
Date: 2002-12-11
Institutions: European Commission
Subjects: European citizenship, association, consultation procedure, governance, professional association, transparency in decision-making

COMMISSION OF THE EUROPEAN COMMUNITIES

Brussels, 11.12.2002
COM(2002) 704 final

COMMUNICATION FROM THE COMMISSION

Towards a reinforced culture of consultation and dialogue - General principles and
minimum standards for consultation of interested parties by the Commission

COMMUNICATION FROM THE COMMISSION

Towards a reinforced culture of consultation and dialogue - General principles and
minimum standards for consultation of interested parties by the Commission

2

I. Introduction

Interaction between the European Institutions and society takes various forms:

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primarily through the European Parliament as the elected representative of the
citizens of Europe;

through the institutionalised advisory bodies of the EU (Economic and Social
Committee and the Committee of the Regions), based on their role according
to the Treaties;

and through less formalised direct contacts with interested parties.

In  its  White  Paper  on  European  Governance,  the  Commission  undertook  to  help
reinforce the culture of consultation and dialogue in the EU.

The Commission has prepared this paper on consultation of interested parties in order
to meet those commitments. At the same time, the paper is a direct contribution to the
‘Action Plan for Better Regulation’ and the new approach to impact assessment.

Wide  consultation  is  not  a  new  phenomenon.  In  fact,  the  Commission  has  a  long
tradition of consulting interested parties from outside when formulating its policies. It
incorporates external consultation into the development of almost all its policy areas.

Thus,  the  benefits  of  being  open  to  outside  input  are  already  recognised.  However,
until now, there has not been a Commission-wide approach on how to undertake such
consultation.  Each  of  the  departments  has  had  its  own  mechanisms  and  methods  for
consulting its  respective  sectoral  interest  groups.  While  this  has  undoubtedly  created
many  examples  of  good  relationships  between  the  Commission  and  interest  groups,
there  is  a  general  view,  shared  by  many  within  the  Commission  and  those  whom  it
consults, that the process should be more consistent. The reactions of interested parties
to the White Paper on Governance have confirmed this assessment1.

 Through  the  present  document  the  Commission  therefore  lays  down  a  number  of
general principles that should govern its relations with interested parties, and a set of
minimum standards for the Commission’s consultation processes.2

The overall rationale of this document is to ensure that all relevant parties are properly
consulted.

The principal aims of the approach can be summarised as follows:

(cid:1)  To encourage more involvement of interested parties through a more transparent

consultation process, which will enhance the Commission’s accountability.

1

2 

comments 

are 
These 
http://europa.eu.int/comm/governance/index_en.htm
For the scope of the general principles of minimum standards, see Part V under the heading “Nature and
scope”

‘Governance’  website 

the  Commission’s 

displayed 

on 

at

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(cid:1)  To  provide  general  principles  and  standards  for  consultation  that  help  the
Commission to rationalise its consultation procedures, and to carry them out in a
meaningful and systematic way.

(cid:1)  To build a framework for consultation that is coherent, yet flexible enough to take
account of the specific requirements of all the diverse interests, and of the need to
design appropriate consultation strategies for each policy proposal.

(cid:1)  To  promote  mutual  learning  and  exchange  of  good  practices  within  the

Commission.

The  general  principles  and  minimum  standards  contained  in  this  document  were
published in the form of a draft in June 2002 for comments by interested parties. The
outcome of this consultation process is described in Part IV.

II. Overall rationale of the Commission’s consultation processes

Consultation – A win-win situation all round

Consultation  mechanisms  form  part  of  the  activities  of  all  European  Institutions
throughout the whole legislative process, from policy-shaping prior to a Commission
proposal  to  final  adoption  of  a  measure  by  the  legislature  and  implementation.
Depending on the issues at stake, consultation is intended to provide opportunities for
input  from  representatives  of  regional  and 
local  authorities,  civil  society
organisations,  undertakings  and  associations  of  undertakings,  the  individual  citizens
concerned, academics and technical experts, and interested parties in third countries.

There are already institutionalised advisory bodies established especially to assist  the
Commission,  the  Parliament  and  the  Council,  namely  the  Economic  and  Social
Committee  (ESC)  and  the  Committee  of  the  Regions  (CoR).  The  Commission
attaches  great importance  to  encouraging  these  bodies  to  take  a  more  proactive  role
and has taken the necessary steps to achieve this (see Chapter III).

However, the essential role of these  advisory bodies does  not exclude direct contact
between the Commission and interest groups. In fact, wide consultation is one of the
Commission’s duties according to the Treaties and helps to ensure that proposals put
to  the  legislature  are  sound.  This  is  fully  in  line  with  the  European  Union's  legal
framework,  which  states  that  "the  Commission  should  [...]  consult  widely  before
proposing legislation and, wherever appropriate, publish consultation documents".3

So  there  is  no  contradiction  between  wide  consultation  and  the  concept  of
representative  democracy.  However,  it  goes  without  saying  that,  first  and  foremost,
the decision-making process in the EU is legitimised by the elected representatives of
the  European  peoples.  As  the  European  Parliament  stated  in  its  Resolution  on  the
White Paper on Governance:4 “Consultation of interested parties [….] can only ever
supplement  and  never  replace  the  procedures  and  decisions  of  legislative  bodies

3 

4 

Protocol (N° 7) on the application of  the principles  of  subsidiarity  and  proportionality,  annexed  to the
Amsterdam Treaty.
A5-0399/2001

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which  possess  democratic  legitimacy;  only  the  Council  and  Parliament,  as  co-
legislators,  can  take  responsible  decisions  on  the  context  of  legislative  procedures
[….]”.  The  guiding  principle  for  the  Commission  is  therefore  to  give  interested
parties a voice, but not a vote.

On the other hand, the challenge of ensuring an adequate and  equitable treatment of
participants in consultation processes should not be underestimated. The Commission
has underlined, in particular, its intention to “reduce the risk of the policy-makers just
listening  to  one  side  of  the  argument  or  of  particular  groups  getting  privileged
access[…].”5  This  means  that  the  target  groups  of  relevance  for  a  particular
consultation need to be identified on the basis of clear criteria.

By  fulfilling  its  duty  to  consult,  the  Commission  ensures  that  its  proposals  are
technically viable, practically workable and based on a bottom-up approach. In other
words, good consultation serves a dual purpose by helping to improve the quality of
the  policy  outcome  and  at  the  same  time  enhancing  the  involvement  of  interested
parties  and  the  public  at  large.  A  further  advantage  is  that  transparent  and  coherent
consultation processes run by the Commission  not only allow the general public to be
more  involved,  they  also  give  the  legislature  greater  scope  for  scrutinising  the
Commission’s  activities  (e.g.  by  making  available  documents  summarising  the
outcome of the consultation process).

The specific role of civil society organisations

Although the target  groups  of  consultations  vary according to  the  circumstances,  all
relevant interests in society should have an opportunity to express their views.

In  this  context,  civil  society  organisations  play  an  important  role  as  facilitators  of  a
broad  policy  dialogue.  For  this  reason,  the  White  Paper  on  European  Governance
stressed the importance of involving these organisations in its consultation processes.
The  Commission  particularly  encourages  a  coherent  approach  to  representation  of
civil society organisations at European level.

This  specific  role  of  civil  society  organisations  in  modern  democracies  is  closely
linked to  the  fundamental  right  of  citizens  to  form  associations  in  order  to  pursue  a
common  purpose,  as  highlighted  in  Article  12  of  the  European  Charter  of
Fundamental  Rights.6  Belonging  to  an  association  is  another  way  for  citizens  to
participate  actively,  in  addition  to  involvement  in  political  parties  or  through
elections.

5 
6 

White Paper on European Governance
«Everyone has the right to freedom of peaceful assembly and to freedom of association at all levels, in
particular in political, trade union and civic matters (…)».

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White Paper on European Governance

“Civil society plays an important role in giving voice to the concerns of the citizens
and delivering services that meet people's needs. […] Civil society increasingly sees
Europe as offering a good platform to change policy orientations and society. […] It
is  a  real  chance  to  get  citizens  more  actively  involved  in  achieving  the  Union’s
objectives and to offer them a structured channel for feedback, criticism and protest.”

Problems can arise because there is no commonly accepted - let alone legal - definition
of  the  term  ‘civil  society  organisation’.  It  can  nevertheless  be  used  as  shorthand  to
refer  to  a  range  of  organisations  which  include:  the  labour-market  players  (i.e.  trade
unions and employers federations – the “social partners”7); organisations representing
social  and  economic  players,  which  are  not  social  partners  in  the  strict  sense  of  the
term (for instance, consumer organisations); NGOs (non-governmental organisations),
which bring people together in a common cause, such as environmental organisations,
human  rights  organisations,  charitable  organisations,  educational  and  training
organisations,  etc.;  CBOs  (community-based  organisations),  i.e.  organisations  set  up
within society at grassroots level which pursue member-oriented objectives, e.g. youth
organisations,  family  associations  and  all  organisations  through  which  citizens
participate in local and municipal life; and religious communities.8

So  ‘civil  society  organisations’  are  the  principal  structures  of  society  outside  of
government  and  public  administration,  including  economic  operators  not  generally
considered to be “third sector” or NGOs. The term has the benefit of being inclusive
and  demonstrates  that  the  concept  of  these  organisations  is  deeply  rooted  in  the
democratic traditions of the Member Sates of the Union.

III. Improving Commission consultation procedures – An ongoing process

The  Commission  is  not  starting  from  scratch  when  it  comes  to  the  involvement  of
interested parties.  In recent  years, it has undertaken a series  of measures  to improve
the consultation process still further. Here are some examples.

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8 

Because of their representativeness, trade unions and employers’ organisations have a particular role. For
instance,  the  EC  Treaty  requires  the  Commission  to  consult  management  and  labour  in  preparing
proposals,  in  particular  in  the  social  policy  field.  Under  certain  conditions,  they  can  reach  binding
agreements that are subsequently turned into Community law (within the social dialogue).

This  description  ties  in  with  the  analysis  developed  by  the  Economic  and  Social  Committee  in  its
opinion ‘The role and contribution of civil society organisations in the building of Europe’ (OJ C 329, 17
November 1999, p. 30)

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Interactive Policy-Making Initiative (IPM)

On 3 April 2001 the European Commission adopted a Communication on Interactive
Policy  Making  (C(2001)  1014),  which  aims  to  improve  governance  by  using  the
Internet  for  collecting  and  analysing  reactions  in  the  marketplace  for  use  in  the
European Union’s policy-making process.  IPM  is  one  of  the tools  that  will  help  the
Commission, as a modern administration, respond more quickly and accurately to the
demands of citizens, consumers and business.

The  Interactive  Policy-Making  Initiative  involves  the  development  of  two  Internet-
based mechanisms that will help the Commission assess the impact of EU policies (or
absence of them) on the ground. These mechanisms are:

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a feedback mechanism, which helps collect spontaneous reactions in the
marketplace. It uses existing networks and contact points as intermediaries in 
order to obtain continuous access to the opinions and experiences of economic
operators and EU citizens;

a consultation mechanism, which is designed to receive and store rapidly and 
in a structured way reactions to new initiatives. This includes the setting up of 
standing panels to gauge views, such as the Business Test Panel.

CONECCS

Data on formal and structured consultative bodies have been  collected in  a database
named CONECCS (Consultation, the European Commission and Civil Society).9 The
objective  is  to  provide  information  on  the  committees  and  other  Commission
frameworks through which the civil society organisations are consulted in a formal or
structured way.

Information on non-profit-making civil society organisations at European level is also
available to the public on the CONECCS website on the Europa server. This directory
of organisations is established on a voluntary basis and is intended only as a source of
information, not a means of accreditation.
CONECCS is a dynamic tool, and is continually developing.

The Commission will continue this process of improving its consultation practices in
the future. For instance, in a field that is of major importance to European citizens, the
Commission  is  committed  to  implementing  the  UN/ECE  “Aarhus”  Convention  on
Access to Information, Public Participation in Decision-making and Access to Justice
in Environmental Matters. 10

9 

10 

http://europa.eu.int/comm/civil_society/coneccs/index.htm

This  might  require  additional  implementing  measures  at  Community  level,  and  these  are  being
considered

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A more proactive role for the institutionalised advisory bodies

As indicated in the introduction, the Economic and Social Committee (ESC) and the
Committee  of  the  Regions  (CoR)  play  a  key  part  in  the  consultation  process,  in
accordance  with  the  Treaties.  As  institutionalised  advisory  bodies  of  the  EU,  they
represent  a  deep-rooted  tradition  of  consultation.  The  Commission  is  keen  to  draw
upon their experience and encourage them to take a more proactive role.

Accordingly, in 2001, the Commission concluded Protocols on co-operation with the
ESC  and  the  CoR  respectively.  The  rationale  behind  these  Protocols  is  to  reinforce
their function as intermediaries between, on the one hand, the EU institutions, and, on
the  other,  organised  civil  society  (ESC)  or  the  regional  and  local  authorities  (CoR)
respectively. As  far  as the ESC  is  concerned,  this  new  approach  closely  reflects  the
spirit  of  the  Nice  Treaty.  The  Treaty  reinforced  the  ESC  participation  in  the
Community  framework  by  stipulating  that  it  “shall  consist  of  representatives  of  the
various economic and social  components of organised civil society”. As  regards the
CoR, the Protocol on co-operation is essential because of the Committee’s dual role:
It is the representative body of regional and local authorities in the EU and acts as an
indispensable intermediary between these authorities and the EU institutions.

Within the Commission, the Protocols are implemented11 on the basis of an  internal
vade-mecum for the Commission departments.

According to the Protocols, these bodies will be asked, in the near future, to organise
consultations on behalf of the Commission. It will then be necessary to discuss with
them how they can fit into the framework laid down in this document.

IV.

Outcome of the consultation process

Following publication of the White Paper on European Governance, the Commission
received  many  comments12  welcoming  its  commitment  to  establish  a  coherent
framework  for  the  consultation  of  interested  parties.  However,  many  organisations
expressed  a  desire  to  supply  the  Commission  with  more  detailed  comments  on  the
basis of an actual draft consultation framework proposal.

The  Commission,  therefore,  decided  to  publish  such  a  draft  in  the  form  of  a
consultation  document13  and  encouraged  all  interested  parties  to  submit  their
comments on the proposed general principles and minimum standards. This approach
was greatly appreciated by all those consulted. One of the contributors said: “The fact
that the Commission is consulting on  the  proposed general  principles and minimum
standards is in itself a demonstration of good consultation practice”.

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12 
13 

The  implementation  of  these  Protocols  will  entail,  in  particular:  requests  for  exploratory  opinions  on
cross-cutting  issues  in  the  framework  of  the  strategic  priorities  of  the  Commission  and  systematic
consultation on Green and White Papers; an increase in ad hoc co-operation (hearings, joint conferences,
other events)
As  far  as  the  ESC  is  concerned,  building  upon  its  cross-cutting  function  to  synthesise,  other  potential
input aimed at enhancing its role as a facilitator of dialogue with civil society could also be considered.
 These comments are displayed at: http://europa.eu.int/comm/governance/contributions/index_en.htm
“Towards  a  reinforced  culture  of  consultation  and  dialogue  -  Proposal  for  general  principles  and
minimum standards for consultation of interested parties by the Commission” (COM (2002) 277 final)

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The  Commission  received  a  total  of  88  contributions,  consisting  of  comments
submitted  by  governments  of  the  Member  States  (Germany,  Sweden,  United
Kingdom) and of a non-member country (USA), and by international, European and
national organisations (covering both the private sector and NGOs), regional and local
authorities,  religious  interests  and  churches,  individual  citizens  and  individual
companies.  There  is  a  list  of  all  contributors  in  the  Annex.  The  full  texts  of  the
contributions  are  accessible  on  the  Internet,  together  with  information  about  the
general objectives and structure of those groups that submitted comments on behalf of
their organisations.14

Both the quantity and the very high quality of the various contributions show the clear
interest of outside parties in the Commission’s consultation practice.

All  the  reactions  and  comments  the  Commission  received  have  been  carefully
analysed to see whether, and to what extent, they could be incorporated into the final
design of the general principles and minimum standards the Commission is adopting
through this document.

1.

Main features of the revised general principles and minimum standards

The revision of the initial draft has resulted in the following main changes:

(cid:1)  The scope of the general principles and minimum standards has been clarified.

(cid:1)  A  clearer  link  between  the  Commission’s  impact  assessment  procedures  and

the use of consultation has been established.

(cid:1)  The  operational  implications  of  the  general  principles  have  been  spelt  out

more clearly.

(cid:1)  The  constraints  on  European  and  national  organisations  when  preparing
comments on Commission consultation documents on behalf of their members
have been taken into account.

(cid:1)  The  use  of  selection  criteria  for  targeted  consultations  is  explained  in  more

detail.

In  addition,  the  Commission  will  put  in  place  a  series  of  implementing  measures  in
order to ensure proper application and monitoring across all departments (see Chapter
IV.3).

14

http://europa.eu.int/comm/secretariat_general/sgc/consultation/index_en.htm

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2.

Feedback on the comments received

In line with the  guidelines laid down in the consultation document, the Commission
intends  to  provide  feedback  on  the  main  issues  raised  by  the  participants  in  the
consultation process on these draft general principles and minimum standards.

NATURE OF THE DOCUMENT

Some  of  those  consulted  questioned  the  Commission's  decision  to  set  consultation
standards  in  the  form  of  a  Commission  communication  (i.e.  in  the  form  of  a  policy
document)  instead  of  adopting  a  legally-binding  instrument.  They  argued  that  this
would make the standards  toothless and the Commission would  be  unable to  ensure
the consistency and coherence of its consultation processes.

However,  the  Commission  remains  convinced  that  a  legally-binding  approach  to
consultation  is  to  be  avoided,  for  two  reasons:  First,  a  clear  dividing  line  must  be
drawn  between  consultations  launched  on  the  Commission’s  own  initiative  prior  to
the adoption of a proposal, and the subsequent formalised and  compulsory decision-
making  process  according  to  the  Treaties.  Second,  a  situation  must  be  avoided  in
which  a  Commission  proposal  could  be  challenged  in  the  Court  on  the  grounds  of
alleged  lack  of  consultation  of  interested  parties.  Such  an  over-legalistic  approach
would  be  incompatible  with  the  need  for  timely  delivery  of  policy,  and  with  the
expectations of the citizens that the European Institutions should deliver on substance
rather than concentrating on procedures.

Moreover, the fear expressed by some participants in the consultation process that the
principles  and  guidelines  could  remain  a  dead  letter  because  of  their  non-legally
binding  nature  is  due  to  a  misunderstanding.  It  goes  without  saying  that,  when  the
Commission  decides  to  apply  the  principles  and  guidelines,  its  departments  have  to
act accordingly.

Finally,  the  Commission  is  of  the  opinion  that  improvement  of  its  consultation
practice  should  not  be  based  on  a  ‘command  and  control’  approach  but  rather  on
providing the appropriate guidance and assistance to Commission officials in charge
of running the consultation processes. The general principles and minimum standards
should serve as a reference point for a permanent in-house learning process.

There  is  also  an  action  plan  providing  for  an  annual  report  on  ‘better  law-making’
which will cover the application of the general principles and minimum standards.

SCOPE

Many  of  those  consulted  wanted  a  clearer  explanation  of  the  kinds  of  initiatives  to
which  the  new  consultation  framework  will  apply.  In  response,  the  Commission
clarified the scope of the consultation standards.

However,  the  Commission  has  not  taken  up  the  idea  proposed  by  some  participants
that the scope of the standards should be generally widened (to cover all consultation),
or that they should be separated from the Commission’s approach to extended impact
assessments.  This  decision  meets  the  overriding  principle  of  proportionality,  which

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must  govern  the  Commission’s  administrative  practice  (see  the  general  principles
under the heading of ‘effectiveness’). It is also linked to the fact that the Commission
has  to  assess  its  consultation  needs  on  a  case-by-case  basis  in  line  with  its  right  of
initiative.

By the same token, the Commission must emphasise that consultation can never be an
open-ended or permanent process. In other words, there is a time to consult and there
is a time to proceed with the internal decision-making and the final decision adopted
by the Commission.

ACCESS TO CONSULTATION PROCESSES

The  Commission’s  consultation  document  made  a  distinction  between  open  and
focused  consultation  processes,  which  led  many  to  ask  whether  access  to
consultations  should  be  limited  and  how  the  quality  of  submissions  by  interested
parties would be assessed.

There  was  a  full  range  of  positions:  some  argued  that  only  representative  European
organisations should be consulted, while others felt that no interested or affected party
should be excluded.

Accordingly,  the  Commission  wishes  to  stress  that  it  will    maintain  an  inclusive
approach  in  line  with  the  principle  of  open  governance:  Every  individual  citizen,
enterprise  or  association  will  continue  to  be  able  to  provide  the  Commission  with
input.  In  other  words,  the  Commission  does  not  intend  to  create  new  bureaucratic
hurdles  in  order  to  restrict  the  number  of  those  that  can  participate  in  consultation
processes.

However,  two  additional  considerations  must  be  taken  into  account  in  this  context.
First, best practice requires that the target group should be clearly defined prior to the
launch of a consultation process. In other words, the Commission should actively seek
input from relevant interested parties, so these will have to be targeted on the basis of
sound  criteria.  Second,  clear  selection  criteria  are  also  necessary  where  access  to
consultation  is  limited  for  practical  reasons.  This  is  especially  the  case  for  the
participation  of  interested  parties  in  advisory  bodies  or  at  hearings.  The  elements
listed under Standard B should be seen against this background.

The  Commission  would  like  to  underline  the  importance  it  attaches  to  input  from
representative  European  organisations.  In  this  context,  it  should  be  noted  that  the
Economic and Social Committee has produced a set of eligibility criteria for the so-
called "civil dialogue".15 However, the issue of  representativeness  at  European level
should  not  be  used  as  the  only  criterion  when  assessing  the  relevance  or  quality  of

15 

«In order to be eligible, a European organisation must: exist permanently at Community level; provide
direct access to its members’ expertise and hence rapid and constructive consultation; represent general
concerns that tally with the interest of European society; comprise bodies that are recognised at Member
State  level  as  representatives  of  particular  interests;  have  member  organisations  in  most  of  the  EU
Member  States;  provide  for  accountability  to  its  members;  have  authority  to  represent  and  act  at
European  level;  be  independent  and  mandatory,  not  bound  by  instructions  from  outside  bodies;  be
transparent,  especially  financially  and  in  its  decision-making  structures.»  (Opinion  on  ‘European
Governance – a White Paper’ of 20 March 2002; CES 357/2002)

.

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comments. The Commission will  avoid consultation  processes  which  could  give  the
impression that “Brussels is only talking to Brussels”, as one person put it. In many
cases,  national  and  regional  viewpoints  can  be  equally  important  in  taking  into
account  the  diversity  of  situations  in  the  Member  States.  Moreover,  minority  views
can  also  form  an  essential  dimension  of  open  discourse  on  policies.    On  the  other
hand,  it  is  important  for  the  Commission    to  consider  how  representative  views  are
when taking a political decision following a consultation process.

Therefore, the crucial issue for the Commission, when deciding on target  groups for
consultation,  is  to  ensure  that  relevant  parties  are  given  the  opportunity  to  express
their views. The minimum standards have been redrafted and regrouped accordingly.

TRANSPARENCY AND INDEPENDENCE OF INTERESTED PARTIES

Several  organisations  expressed  their  concern  that  under  the  pretext  of  transparency
the Commission could try to interfere in the internal structure of their organisations.
The  Commission  wishes  to  emphasise  that  it  fully  respects  the  independence  of
outside  organisations.  On  the  other  hand,  for  the  consultation  process  to  be
meaningful and credible it is essential to spell out who participated in these processes.
The general principles have been slightly adapted to make this clear.

TIME LIMITS FOR CONSULTATION

Many contributors to the consultation process urged the Commission to reconsider the
minimum consultation period put forward in Standard D, arguing that six weeks was
not  long  enough  to  prepare  comments.  In  particular,  European  and  national
associations  said  they  needed  more  time  to  consult  their  membership  in  order  to
produce consolidated contributions.

The Commission wishes to underline once more that consultation periods must strike
a  reasonable  balance  between  the  need  for  adequate  input  and  the  need  for  swift
decision-making.  Standard  D  has  nevertheless  been  amended  to  cater,  as  far  as
possible, for the needs of interest group organisations.

PROVISIONS ON FEEDBACK

The  Commission  reiterates  that  the  main  mechanism  for  providing  feedback  to
participants in consultations will be through an official Commission document to be
approved  by  the  College  of  Commissioners,  i.e.,  in  particular,  the  explanatory
memoranda accompanying legislative proposals.

The  idea  of  providing  feedback  on  an  individual  basis  (feedback  statements),  as
requested  by  some  contributions,  is  not  compatible  with  the  requirement  of
effectiveness  of  the  decision-making  process.  Moreover,  interested  parties  should
keep  in  mind  that  the  Commission’s  decision-making  is  based  on  the  principle  of
collegiality, that is to say only the College of Commissioners is entitled to weigh up
the pros and cons put forward in a consultation process and to adopt a final position in
the Community interest. However, this does not prevent individual Commissioners or

12

Commission officials at the appropriate  level from  engaging  in  an  open  debate with
interested parties on the policy fields within their remit.

SPECIAL FRAMEWORKS FOR SPECIFIC TARGET GROUPS

Several  organisations  emphasised 
arrangements for their respective sectors.

the  need 

to  create  specific  consultation

Whilst stressing their role as democratically legitimised bodies, the regional and local
authorities enquired about the state of play regarding the preparation of a framework
for a more systematic dialogue with regional and local government associations in the
EU,  which  the  Commission  announced  in  its  White  Paper  on  Governance.  The
Commission  is  preparing  a  working  document  aimed  at  identifying  the  framework,
scope  and  modalities  of  such  a  dialogue.    This  document  will  be  published  and
disseminated for consultation.

Churches  also  urged  the  Commission  to  put  the  dialogue  with  the  communities  of
faith  and  conviction  on  a  more  stable  footing  and  tabled  a  series  of  operational
proposals to the Commission.

One  NGO  voiced  the  idea  of  concluding  a  ‘Compact’  between  the  European
Institutions  and  voluntary  sector  organisations,  following  the  example  of  existing
arrangements in some of the Member Sates.

Both  churches and  NGOs  advocated  including  in  the  Treaties  an  article  designed  to
encourage more dialogue with religious interests and civil society.

It  is  apparent  that  these  proposals  go  beyond  the  general  principles  and  minimum
standards for the consultation of interested parties. Currently, the Commission wishes
to  concentrate  on  proper  implementation  of  the  measures  on  better  law-making,
including the consultation standards.

3.

Implementing measures

The abovementioned modifications are designed to make for smooth implementation
of  the  general  principles  and  minimum  standards.  However,  to  enable  Commission
staff  to  apply  them  correctly  as  well  as  to  ensure  the  necessary  ownership  by  staff,
further  measures  are  needed.  Therefore,  the  general  principles  and  minimum
standards will be accompanied by the following measures:

(cid:1)  A Commission Intranet website will provide Commission staff with practical

guidance, including examples of best practice.

(cid:1)  This will be accompanied  by  a help-desk  facility using  a mail-box,  to  which
staff  can  send  questions  on  the  application  of  the  general  principles  and
minimum standards.

(cid:1)  Appropriate awareness-raising measures will be taken  and, where appropriate,

specific training seminars will be organised.

13

(cid:1)  The  annual  report  on  ‘better  law-making’  will  cover  implementation  of  the

Commission’s consultation   framework.

(cid:1)  Co-ordination  of  the  above  measures  will  take  place  in  the  context  of  the

overall Commission network on ‘better law-making’.

4.

Conclusions

The  Commission  considers  that  the  amended  general  principles  and  minimum
standards,  together  with  the  set  of  implementing  measures,  constitute  a  further
important step in the process of improving its consultation mechanisms.

Clearly these measures do not incorporate all the requests which interested parties put
forward during consultations on the initial approach proposed by the Commission in
June 2002. However, the Commission believes that the decisions taken in the present
document strike the right balance between  the  expectations  of  interested  parties  and
the  need  for  a  framework  that,  under  the  existing  circumstances,  is  realistic  and
feasible in administrative terms.

The final set of general principles and minimum standards, contained in  Part V, will
apply from 1 January 2003.

14

 V.

General principles and minimum standards for consultations by the
Commission

Nature and scope

The  consultation  relationship  between  the  Commission  and  interested  parties  should
be  underpinned  by  certain  fundamental  principles.  These  principles  define  the
environment  within  which  they  will  both  operate.  They  also  constitute  the  basis  for
any  future  developments  in  the  area  of  consultation  policy.  The  principles  draw
primarily on the general principles guiding the conduct of the Commission’s business.
These key principles were highlighted in the Commission’s White Paper on European
Governance: Participation, openness, accountability, effectiveness and coherence.

For  the  consultation  relationship  to  succeed,  the  commitment  to  these  principles
cannot  be  unilateral:  both  sides  involved  in  the  consultation  process  have  a  role  in
applying them effectively.

When  consulting  on  major  policy  initiatives  the  Commission  will  be  guided  by  the
general principles and minimum standards set out in this document, without prejudice
to more advanced practices applied by Commission departments or any more specific
rules  to  be  developed  for  certain  policy  areas.  Neither  the  general  principles  nor  the
minimum standards are legally binding.

As  a  first  step,  the  Commission  will  focus  on  applying  the  general  principles  and
minimum  standards  to  those  initiatives  that  will  be  subject  to  an  extended  impact
assessment. Nevertheless, the Directorates-General of the Commission are encouraged
to  apply  the  general  principles  and  minimum  standards  to  any  other  consultation
exercises they intend to launch.

The  need  for  an  extended  impact  assessment  is  decided  by  the  Commission  in  the
Annual  Policy  Strategy  or  at  the  latest  in  its  Work  Programme  on  the  basis  of  the
preliminary  assessment  statements.  In  deciding  whether  an  extended 
impact
assessment is required the Commission will, inter alia, take the following criteria into
account:

(cid:1)  Whether  the  proposal  will  result  in  substantial  economic,  environmental  and/or
social impact on a specific sector, and whether the proposal will have a significant
impact on major interested parties.

(cid:1)  Whether the proposal represents a major policy reform in one or several sectors.

The  Commission  Communication  on  impact  assessment  excluded  various  measures
from the need for impact assessments, e.g. Green Papers because policy formulation is
still in progress without producing any direct impact. In terms of consultation, Green
Papers  are  by  their  very  nature  initiatives  to  which  the  general  principles  and
minimum standards apply.

For  the  purpose  of  this  document  ‘consultations’  means  those  processes  through
which the Commission wishes to trigger input from  outside interested parties for the

15

shaping of policy prior to a decision by the Commission. Consequently, the following
fields are excluded from the scope of the general principles and minimum standards:

(cid:1)  Specific consultation frameworks provided for in the Treaties (e.g. the roles of the
institutionalised advisory bodies; the social dialogue according to Articles 137 to
139 TEC) or in other Community legislation

(cid:1)  Consultation requirements under international agreements

(cid:1)  Decisions  taken  in  a  formal  process  of  consulting  Member  States  (‘comitology’

procedure).16

As  flagged  in  the  White  Paper  on  European  Governance,  the  general  principles  and
minimum  standards  for  consultation  will  be  complemented,  but  not  replaced,  in  the
future by two other instruments that the Commission is developing at the moment:

(cid:1)  A  set  of  guidelines  on  the  use  of  expertise  which  will  aim  to  encapsulate  and
spread  good  practice.  In  particular,  they  should  provide  for  the  accountability,
plurality and integrity of the expertise used. They will apply notably whenever the
Commission is faced with a policy issue that hinges to some extent on scientific
assessment17.

(cid:1) 

  A  framework  for  more  systematic  dialogue  with  European  and  national
associations of regional and local government in the EU.

These instruments will correspond to the specific needs of the policy areas concerned.

General principles

PARTICIPATION

“[The] quality of […] EU policy depends on ensuring wide participation throughout
the policy chain – from conception to implementation.”18

The  Commission  is  committed  to  an  inclusive  approach  when  developing  and
implementing  EU  policies,  which  means  consulting  as  widely  as  possible  on  major
policy initiatives. This applies, in particular, in the context of legislative proposals.

16 
17 

18 

According to Council decision 1999/468/EC
The  guidelines  will  be  implemented  in  co-ordination  with  the  minimum  standards,  particularly  since
there is often a need in the policy process for an interaction between  experts and interested parties.
White Paper on European Governance

16

                                                
OPENNESS AND ACCOUNTABILITY

“The[European]  institutions  should  work  in  a  more  open  manner  […]  in  order  to
improve the confidence in complex institutions.”19

“Each of the EU institutions must explain and take responsibility for what it does in
Europe”.20

The Commission believes that the processes of administration and policy-making must
be visible to the outside world if they are to be understood and have credibility. This is
particularly true of the consultation process, which acts as the primary interface  with
interests in society.

Thus consultation processes run by the Commission must also be transparent, both to
those who are directly involved and to the general public. It must be clear:

(cid:1)  what issues are being developed

(cid:1)  what mechanisms are being used to consult

(cid:1)  who is being consulted and why

(cid:1)  what has influenced decisions in the formulation of policy.

It  follows  that  interested  parties  must  themselves  operate  in  an  environment  that  is
transparent,  so  that  the  public  is  aware  of  the  parties  involved  in  the  consultation
processes and how they conduct themselves.

Openness  and  accountability  are  thus  important  principles  for  the  conduct  of
organisations when they are seeking to contribute to EU policy development. It must
be apparent:

(cid:1)  which interests they represent

(cid:1)  how inclusive that representation is.

Interested  parties  that  wish  to  submit  comments  on  a  policy  proposal  by  the
Commission  must  therefore  be  ready  to  provide  the  Commission  and  the  public  at
large with the information described above. This information should be made available
either  through  the  CONECCS  database  (where  organisations  are  eligible21  for  this
database and wish to be included on a voluntary basis) or through other measures, e.g.
special  information  sheets.  If  this  information  is  not  provided,  submissions  will  be
considered as individual contributions.

19 
20 
21 

idem
idem
In order to be eligible, an organisation must be a non-profit representative body organised at European
level,  i.e.  with  members  in  two  or  more  European  Union  of  Candidate  countries;  be  active  and  have
expertise  in  one  or  more  of  the  policy  areas  of  the  Commission,  have  some  degree  of  formal  or
institutional  existence;  and be  prepared  to provide  any  reasonable  information  about  itself  required  by
the Commission, either for insertion on the  database or in support of its request for inclusion

17

                                                
EFFECTIVENESS

“Policies must be effective and timely, delivering what is needed."22

To be effective, consultation must start as early as possible. Interested parties should
therefore  be  involved  in  the  development  of  a  policy  at  a  stage  where  they  can  still
have an impact on the formulation of the main aims, methods of delivery, performance
indicators  and,  where  appropriate,  the  initial  outlines  of  that  policy.  Consultation  at
more than one stage may be required.

In  addition,  both  the  Commission  and  outside  interested  parties  will  benefit  from
understanding the perspective of the other. The Commission operates within a policy
and political framework that is influenced by many factors. For example, it must take
account of its obligations to the other European institutions under the Treaties, and of
its international obligations to third countries and international organisations.

A  prerequisite  for  effectiveness  is  respect  of  the  principle  of  proportionality.  The
method  and  extent  of  the  consultation  performed  must  therefore  always  be
proportionate to the impact of the proposal subject to consultation and must take into
account the specific constraints linked to the proposal.

A  better  understanding  of  such  factors  and  of  how  the  Commission  works  will  help
outside interested parties to have realistic expectations about what can be achieved.

COHERENCE

“Policies and action must be coherent […].”23

The Commission will ensure that there is consistency and transparency in the way its
departments operate their consultation processes.

The Commission will include in its consultation processes mechanisms for feedback,
evaluation and review.

This will be ensured through appropriate co-ordination and reporting in the context of
the Commission’s  “better law-making” activities.

The  Commission  encourages  interest  groups  to  establish  their  own  mechanisms  for
monitoring the process, so that they can see what they can learn from it and check that
they  are  making  an  effective  contribution  to  a  transparent,  open  and  accountable
system.

22 
23 

idem
idem

18

                                                
Minimum standards

A. CLEAR CONTENT OF THE CONSULTATION PROCESS

All  communications  relating  to  consultation  should  be  clear  and  concise,  and
should include all necessary information to facilitate responses.

The information in publicity and consultation documents should include:

(cid:1)  A  summary  of  the  context,  scope  and  objectives  of  consultation,  including  a
description of the  specific  issues open for discussion or questions  with  particular
importance for the Commission

(cid:1)  Details of any hearings, meetings or conferences, where relevant

(cid:1)  Contact details and deadlines

(cid:1)  Explanation  of  the  Commission’s  processes  for  dealing  with  contributions,  what
feed-back to expect, and details of the next stages involved in the development of
the policy

(cid:1) 

If  not  enclosed,  reference  to  related  documentation  (including,  where  applicable,
Commission supporting documents).

B.

CONSULTATION TARGET GROUPS

When  defining  the  target  group(s)  in  a  consultation  process,  the  Commission
should ensure that relevant parties have an opportunity to express their opinions.

For consultation to be equitable, the Commission should ensure adequate coverage of
the following parties in a consultation process:

(cid:1) 

(cid:1) 

those affected by the policy

those who will be involved in implementation of the policy, or

(cid:1)  bodies that have stated objectives giving them a direct interest in the policy.

In determining the relevant parties for consultation, the Commission should take into
account the following elements as well:

(cid:1) 

(cid:1) 

24 

the wider impact of the policy on other policy areas, e.g. environmental interests24
or consumer policy

the  need  for  specific  experience,  expertise  or  technical  knowledge,  where
applicable

Article 6 of the Treaty establishing the European Community

19

                                                
(cid:1) 

(cid:1) 

(cid:1) 

the need to involve non-organised interests, where appropriate

the track record of participants in previous consultations

the need for a proper balance, where relevant, between the representatives of:

(cid:1) 

(cid:1) 

(cid:1) 

(cid:1) 

social and economic bodies

large and small organisations or companies

wider  constituencies  (e.g.  churches  and  religious  communities)  and
specific  target  groups  (e.g.  women,  the  elderly,  the  unemployed,  or
ethnic minorities)

organisations  in  the  European  Union  and  those  in  non-member
countries (e.g. in the  candidate or developing countries or  in countries
that are major trading partners of the European Union).

Where appropriate, the Commission encourages  contributions  from  interested  parties
organised at European level.

Where  a  formal  or  structured  consultation  body  exists,  the  Commission  should  take
steps to ensure that its composition properly reflects the sector it represents. If this is
not the case, the Commission should consider how to ensure that all interests are being
taken into account (e.g. through other forms of consultation).

C.

PUBLICATION

The Commission should  ensure adequate awareness-raising  publicity  and  adapt
its  communication  channels  to  meet  the  needs  of  all  target  audiences.  Without
excluding  other  communication  tools,  open  public  consultations  should  be
published on the Internet and announced at the “single access point”.

For  addressing  the  broader  public,  a  single  access  point  for  consultation  will  be
established  where 
relevant
documentation.  For  this  purpose,  the  Commission  will  use  the  ‘Your-Voice-in-
Europe’ webportal.25

interested  parties  should 

information  and 

find 

However, at the same time it might be useful to maintain more traditional alternatives
to  the  Internet  (e.g.  press  releases,  mailings).  Where  appropriate  and  feasible,  the
Commission  should  provide  consultation  documents  in  alternative  formats  so  as  to
make them more accessible to the disabled.

25 

http://europa.eu.int/yourvoice

20

                                                
D.

TIME LIMITS FOR PARTICIPATION

The  Commission  should  provide  sufficient  time  for  planning  and  responses  to
invitations and written contributions. The Commission  should strive  to allow at
least  8  weeks  for  reception  of  responses  to  written  public  consultations  and  20
working days notice for meetings.

The  main  rule  is  to  give  those  participating  in  Commission  consultations  sufficient
time for preparation and planning.

Consultation periods should strike a reasonable balance between the need for adequate
input  and  the  need  for  swift  decision-making.  In  urgent  cases,  or  where  interested
parties have already had sufficient opportunities to express themselves, the period may
be shortened.

On the other hand, a consultation period longer than eight weeks might be required in
order to take account of:

(cid:1) 

the need for European or national organisations to consult their members in order
to produce a consolidated viewpoint

(cid:1)  certain  existing  binding  instruments  (this  applies,  in  particular,  to  notification

requirements under the WTO agreement)

(cid:1) 

the specificity  of a  given proposal (e.g.  because of the  diversity  of  the  interested
parties or the complexity of the issue at stake)

(cid:1)  main holiday periods.

When  the  deadline  for  transmission  of  comments  has  expired,  the  Commission  will
close  the  consultation  and  take  the  next  steps  in  the  administrative  process  (e.g.
prepare for the decision by the Commission).

E.

ACKNOWLEDGEMENT AND FEEDBACK

Receipt  of  contributions  should  be  acknowledged.  Results  of  open  public
consultation should be displayed on websites linked to the single access point on
the Internet.

Depending  on  the  number  of  comments  received  and  the  resources  available,
acknowledgement can take the form of:

(cid:1)  an individual response (by e-mail or acknowledgement slip), or

(cid:1)  a  collective  response  (by  e-mail  or  on  the  Commission’s  single  access  point  for
consultation  on  the  Internet;  if  comments  are  posted  on  the  single  access  point
within 15 working days, this will be considered as acknowledgement of receipt).

Contributions will be analysed carefully to see whether, and to what extent, the views
expressed can be accommodated in the policy proposals. Contributions to open public

21

consultations will be made public on the single access point. Results of other forms of
consultation should, as far as possible, also be subject to public scrutiny on the single
access point on the Internet.

The  Commission  will    provide  adequate  feedback  to  responding  parties  and  to  the
public  at  large.  To  this  end,  explanatory  memoranda  accompanying  legislative
proposals  by 
the  Commission  or  Commission  communications  following  a
consultation process will include the results of these consultations and an explanation
as  to  how  these  were  conducted  and  how  the  results  were  taken  into  account  in  the
proposal. In addition, the results of consultations carried out in the Impact Assessment
process will be summarised in the related reports.

22

ANNEX

List of contributors (COM(2002)277)

Governments

Member States

Germany

Sweden

United Kingdom

Non-member countries

United States of America

Private Sector

European organisations

Employers federations:

UEAPME 

European Association of Craft, Small and Medium-sized Enterprises

UNICE 

Union of Industrial and Employers’ Confederations of Europe

Chambers of Commerce:

EU Committee of the American Chamber of Commerce

EuroChambres

Professional federations:

ACE 

Architects’ Council of Europe

EuroCommerce

ESBG 

European Savings Banks Group

EWLA 

European Women Lawyers' Association

FEE 

Fédération des Experts Comptables Européens

PGEU 

Pharmaceutical Group of the European Union

23

Service and production federations:

AIG 

AIM 

Advertising Information Group

European Brands Association

AMDEA 

Association of Manufacturers of Domestic Appliances

BIPAR 

European Federation of Insurance Intermediaries

CEA 

CEPF 

CEPS 

Comité Européen des Assurances

Confédération Européenne des Propriétaires Forestiers

European Confederation of Spirits Producers

Coalition on Fair Trade

EFCO&HPA  European  Federation  of  Camping  Organisations  and  Holiday  Park

Associations

FEDIAF 

Fédération européenne de l’industrie des aliments pour animaux familiers

HOTREC 

Hôtels, Restaurants et Cafés en Europe

WFA 

World Federation of Advertisers

National organisations

Employers federations:

CBI 

EEF 

REC 

Confederation of British Industry (UK)

Engineering Employers Federation (UK)

Recruitment and Employment Confederation (UK)

Chambers of Commerce:

BCI 

WKÖ 

DIHK 

Birmingham Chamber of Commerce & Industry (UK)

Austrian Federal Economic Chamber (A)

Deutscher Industrie- und Handelskammmertag (D)

Professional federations:

BFB 

Bundesverband der Freien Berufe (D)

BStBK 

Bundessteuerberaterkammer (D)

24

Service and production federations:

AA 

BAB 

BBA 

BRC 

CDV 

Advertising Association (UK)

Bureau de l’Agriculture Britannique (UK)

British Bankers’ Association (UK)

British Retail Consortium (UK)

Gesamtverband der Deutschen Versicherungswirtschaft (German Insurance
Association) (D)

LIBA 

London Investment Banking Association (UK)

NAM U.S. 

National Associations of Manufacturers (US)

NEMA 

National Electrical Manufacturers Association (US)

NNR 

Board of Swedish Industry and Commerce for Better Regulation (S)

Smallbusiness Europe (UK)

Others:

BAK 

Bundeskammer für Arbeiter und Angestellte/Bundesarbeitskammer (A)

Small Business Council UK (UK)

Companies

Barclays

The Boots Company

Telefónica

RPA Risk & Policy Analysts

NGOs

European organisations

Consumer protection:

BEUC 

European Consumers’ Organisation

25

Environment:

EEB 

European Environmental Bureau

EPRO 

Environment Platform for Regional Offices

IFN 

Friends of Nature International

Social sector:

Caritas Europe and Eurodiaconia

CEDAG 

European Council for Voluntary Organisations

ESAN 

Le réseau européen d’action sociale

Social Platform

Family and youth:

COFACE 

Confederation of Family Organisations in the European Community

Citizens rights:

ECAS - 

Euro Citizen Action Service

National organisations

Polish NGO Office (PL)

CA 

NCC 

Consumers’ Association (UK)

National Consumer Council (UK)

NCVO 

National Council of Voluntary Organisations (UK)

FMR 

Forum Menschenrechte, European working group (D)

Regional and local interests

European organisations

CEMR 

Council of European Municipalities and Regions

CPMR 

Peripheral Maritime Regions of Europe

26

Eurocities

Group of European Regions

National organisations

ALFRA 

Association of Finnish Local and Regional Authorities (FIN)

DStGB 

Deutscher Städte- und Gemeindebund (German Association of Towns and

 Municipalities) (D)

EERA 

East of England Regional Assembly (UK)

LGIB 

Local Government International Bureau (UK)

Provincia di Pordenone (I)

Region de Murcia (E)

Region Skåne (S)

Scottish Executive and COSLA (Convention of Scottish Local Authorities) (UK)

WOSEC 

West of Scotland European Consortium (UK)

Religious interests/Churches

European organisations

CEC 

Church and Society Commission of the Conference of European Churches

COMECE 

Commission of the Bishops Conferences of the European Community

National organisations

Diakonisches Werk der Evangelischen Kirche in Deutschland (D)

EKD 

Evangelische Kirche in Deutschland (D)

Think tanks and research institutes

EPF 

European Policy Forum

Risk Forum of the European Policy Centre

27

Individual contributions

Mr Mark Boleat

Mr Ulrich Paetzold

Others

Euro Info Centre network

Hungarian-Swedish Advanced Quality Management Associates International

28