effective policy making workbook five: from consultation...

55.. FFRROOMM CCOONNSSUULLTTAATTIIOONN TTOO DDEECCIISSIIOONN

Effective Policy Making

Workbook Five:

From Consultation to Announcement

Policy Innovation Unit


INTRODUCTION

This workbook is the fifth in a series of five which seeks to provide a

practical overview of the key steps in the policy development process

as outlined below:

Workbook:

1. Justification and Set-Up

Key Areas Addressed:

Establishing the Need for Policy Intervention

Planning Your Approach and Engaging Stakeholders

2. Developing and Analysing the Evidence Base

Gathering the Evidence

Analysing the Evidence

Presenting the Analytical Report

Agreeing the Aims and Objectives

3. Identifying and Appraising Policy Options

Identifying Policy Options

Costs, Benefits and Risks

Appraising the Options

4. A Practical Guide to Impact Assessments

Defining the Aims

Screening the Policy

Assessing the Impacts

Consultation

Prioritising the Impacts

Agreeing Recommendations and Implementation

Decision and Publication of Report on Results of Impact Assessments

Monitoring and Evaluation

5. From Consultation to Announcement

Formal Consultation Exercise

The Submission


Announcing the Decision


Each workbook seeks to provide practical guidance and draws on

existing guidance material and best practice, in particular A Practical

Guide to Policy Making in Northern Ireland. The workbooks are

intended as an introduction and a reference point for more detailed

guidance. They are structured around the key stages of the policy

process to enable policy makers to dip into the guidance as

appropriate.

In using the workbooks it is important to acknowledge that the policy

process is cyclical and continuous as demonstrated in Figure 1 below.

Policy makers rarely if ever start with a clean sheet and as we work

though the process it is often necessary to consider the other stages.

Therefore, it is advisable that before using the workbooks you

familiarise yourself with the contents and the key messages of the

Practical Guide.

Figure 1: The Policy Cycle

4

http://www.ofmdfmni.gov.uk/policylink-a-practical-guide-to-policy-making.htm

http://www.ofmdfmni.gov.uk/policylink-a-practical-guide-to-policy-making.htm


What is Policy Making?

Policy making is the process by which the administration translates its

vision into actions to achieve desired outcomes. Good policy making is

therefore essential if government is to achieve its aims and deliver real

change and benefits.

There is no single uniform approach to policy making which can be

applied to all areas and all departments. The range of factors and the

environment within which policy makers operate can vary considerably.

The policy maker may be addressing a regional, local or even

international issue. They may need to consider any number of social,

economic or environmental factors. There may also be considerable

variation in the resource consequences of the policy and the number of

groups or individuals which the policy may impact upon. However,

there are a number of broad steps or stages which can be applied to

most policy areas and these are outlined in this series of workbooks.

The key is to tailor the policy process to needs.

5


CONTENTS

5.1 OVERVIEW

5.2 FORMAL CONSULTATION EXERCISE

• When is Formal Consultation Required?

• Minimum Consultation Period

• The Consultation Document

• Template for a Written Consultation Document

• Distribution of the Consultation Document

• Analysing the Responses

5.3 THE SUBMISSION

5.4 ANNOUNCING THE DECISION

6


5.1 Overview

In Workbook One we looked at the importance of consultation and the

need to develop a consultation plan at the outset of the policy process.

It highlighted that consultation should be a continuous process that

needs to be started early in the policy.

This section builds on this and deals specifically with the formal

consultation period which often precedes a final decision and should

involve the issue of a written consultation document. In particular it

looks at planning the formal consultation, provides a best practice

template for a consultation document developed from the Cabinet

Office guidance and outlines the process of analysing responses,

taking account of best practice guidance from Northern Ireland and

beyond.

The Equality Commission for Northern Ireland has set out seven

guiding principles for consultation. These are set out in Appendix One.

The formal consultation should include a written consultation

document; however, it should not be restricted to a mass mailing paper

based consultation. The formal consultation exercise should include

alternative approaches to consultation such as those outlined in

Workbook One. It is useful to consider again at this stage the needs of

those with whom you wish to consult and the objective of the

consultation exercise. This can help identify other approaches, such as

public meetings and face to face meetings with key groups, which you

may wish to undertake alongside the issue of the consultation

document.

7

http://www.cabinetoffice.gov.uk/regulation/consultation/consultation_guidance/writing_consultation_document/template_consultation_document.asp

http://www.cabinetoffice.gov.uk/regulation/consultation/consultation_guidance/writing_consultation_document/template_consultation_document.asp


5.2 Formal Consultation Exercise

When is Formal Consultation Required? A formal consultation exercise is required:

• On matters to which the statutory duties (equality) are likely to

be relevant;

• On equality schemes;

• On the impact of policies.

Formal consultation should be undertaken at least once during the

development of the policy. However, formal consultation is also

required with regard to proposals for legislation, even where

consultation has previously been undertaken on the associated policy

area.

Minimum Consultation Period The recommended period for a formal public consultation exercise is

12 weeks1. However, where re-consultation takes place on the basis of

amendments made in light of earlier consultation, a shorter period may

be appropriate.

Where a consultation takes place over a holiday period or lasts less

than 12 weeks, extra effort should be made to ensure that the

consultation is still effective, in that all persons likely to be affected by

or with an interest in the policy should have the opportunity to engage

with the public authority. This may require additional promotion of the

consultation to raise awareness among stakeholders, utilisation of

additional methods to consult and consideration of requests to extend

the consultation period.

1 OFMDFM (2003), A Practical Guide to Policy Making in Northern Ireland, UK: OFMDFM, page 45.

8


The Consultation Document The consultation document should be as simple and concise as

possible. It should include a summary, in two pages at most, of the

main issues/questions it seeks views on. Documents should set out

the main information and competing arguments relevant to a decision,

or say where they can be found.

The document should be set out in plain language, as free as

possible of jargon (visit the Cabinet Office’s plain written

language guidance for more information). Technical detail may

be unavoidable, indeed central to the issues; but documents

should be as widely understandable as possible.

Paragraphs in a consultation document should be identified by

numbers or letters (in preference to bullets, which are less easy

to refer to in responses). Pages should be numbered.

It should make it as easy as possible for readers to respond,

make contact or complain. Details (address, phone, e-mail, text

phone and fax) should be given of a contact who can respond to

consultees’ questions. Similar details should be given of

someone who will pursue complaints or comments about the

consultation process. This should be a person outside the team

responsible for the document. Details of how responses will be

handled should be given, for example, we will acknowledge

receipt of your response, but will not be able to reply to all the

points you raise.

9

http://archive.cabinetoffice.gov.uk/servicefirst/2000/plainlanguage/guide.htm

http://archive.cabinetoffice.gov.uk/servicefirst/2000/plainlanguage/guide.htm


Template for a Written Consultation Document The following template is a best practice example of a written consultation

document:

1. Foreword/Introduction

2. Executive Summary

3. How to Respond

4. Chapters

5. Impact Assessments

6. Annexes

1. Foreword/Introduction

Many consultation documents carry a foreword from the relevant Government

Minister. This would be particularly appropriate for major or high profile policy

proposals. A ministerial foreword will outline the aims of the consultation and

may add weight to the process.

2. Executive Summary

Provide an executive summary to the written consultation document that

covers the main points of the document, preferably no longer than two pages.

Even if the document is technical, ensure that the executive summary is

accessible to all. Having read the executive summary, consultees should be

in a position to decide whether the consultation is relevant to them, and

whether they need to read further.

The Executive Summary should:

• Be as succinct as possible (no longer than two pages).

• Set out the aims and objectives of the consultation.

10


• Provide a summary of the issues and options being consulted on so

that respondents can quickly decide whether or not the rest of the

document is relevant to them.

• Make clear the period for which the consultation is open.

• If the consultation is running for less than 12 weeks, state clearly the

reasons for this and emphasise the measures that have been taken to

ensure that the consultation is as effective as possible.

• Ask respondents to also look at your attached impact assessment and

to comment.

It is also useful to include a very brief overview of each chapter of the

document, or each option under discussion. This will enable those

respondents who have little time to quickly decide which sections of the

document they should focus on most closely.

3. How to Respond

This section should include:

• A summary of the questions on which you want respondents to

comment.

• The closing date of the consultation.

• The name, postal address, email address, telephone and fax numbers

of the person to whom responses should be sent.

• A brief outline of other consultation exercises running alongside the

written consultation and details of how to get involved in these.

• Information about how the responses will be used.

• A standard disclaimer on Freedom of Information and confidentiality.

The consultation document should state the date when, and the web address

where, responses will be published, if applicable and/or where the summary of

responses will be published. As far as possible this should be within three

11


months of the closing date of the consultation.

It should be made clear that responses may be made public unless

confidentiality is specifically asked for. With some subjects – such as where

the responses may concern individuals’ private lives, or matters of commercial

confidentiality, this may need to be flagged up especially prominently, so that

no-one inadvertently fails to register a wish for confidentiality. In some cases,

confidentiality cannot be guaranteed, for example, where a response includes

evidence of serious crime: this may also need to be brought out. In addition

you will wish to highlight to potential respondents that under Freedom of

Information, public bodies cannot guarantee confidentiality.

4. Chapters

Each chapter should give information on a discrete issue relevant to the

consultation, or one of the proposed policy options. Chapters should be

comprehensive, but as concise as possible. Ensure that you use plain

language throughout and explain fully any unavoidable abbreviations,

acronyms or technical language.

It is useful to summarise the information contained in the chapter in a very

brief introductory paragraph – draw attention to this by highlighting the text in

bold or a different colour. Similarly, make sure that each chapter has a clear

conclusion.

If your chapter outlines a key policy option, you should:

• outline the current situation

• set out the proposed option clearly and comprehensively

• briefly outline the potential costs and benefits of implementing the

policy option. Remember to include a ‘do nothing’ option here: what

would happen if you made no policy changes at all and things

remained as they were?

12


In each chapter, reiterate the questions from your summary of questions

which are pertinent to that particular topic/policy option. Highlight these in a

shaded box or a different colour so that they stand out clearly.

Include relevant case studies or practical examples wherever possible in each

chapter. This breaks up what might otherwise be dry, sometimes theoretical

or technical, text and allows the reader to identify with the issues under

discussion more easily. Again, it is useful to distinguish these from the main

body of the text by highlighting them in a different colour or a shaded box.

5. Impact Assessments

The outcome of any impact assessment or screening exercises must also be

included, inviting comments from consultees. Where the impact assessments

are made available separately, an overview of the findings should also be

included in the consultation document.

6. Annexes

The annexes can be used to accommodate any additional information not

included in the main body of the consultation document. It is often useful to

include more complex data or tables in an annex rather than the main body of

the document.

In addition, the following items should be included somewhere in your

consultation document and it is usually best to attach these as annexes at the

end.

• Membership of the Steering Group Where a steering group has been established to take forward the policy

area, it is useful to provide the names and organisational details of

those involved.

13


• List of Stakeholders Consulted You should attach a list of all stakeholder organisations you have

consulted informally, as well as all those who have received copies of

the consultation document. You should also invite respondents to

contact you with the names of any other stakeholder groups not on the

list who they feel might be able to contribute. This will help to ensure

that all those who wish to are given ample opportunity to comment on

your consultation, making it as broad and diverse as possible.

• Relevant Current Government Legislation If your consultation and policy proposal will directly affect, or be

affected by, existing Government legislation, it may be useful to include

a summary of this. Include a web link or contact name / address for

respondents who may require further information on this, or who would

wish to access the legislation in full.

14


Distribution of the Consultation Document On issuing the consultation document, departments must also take

steps to raise awareness among the public and relevant groups about

the consultation exercise. This may include press releases, prominent

advertisements in the general press and specialist press of affected

groups, the Internet and direct invitations to key groups to respond.

Once again, it is important to consider the needs of potential

consultees.

Consultation must be both meaningful and inclusive, in that all persons

likely to be affected by or with an interest in the policy should have the

opportunity to engage with the public authority. Therefore, relevant

interest groups as well as the Equality Commission, other public

bodies, political representatives, relevant Assembly/Parliamentary

Committees, voluntary and community sector, trade unions and other

groups with a legitimate interest in the area should as a minimum be

made aware of the consultation exercise.

Feedback from consultees indicates that mass mailing of a full

consultation document to all groups on the public authority’s list of

consultees is not particularly effective. Recognising this, it is

recommended that initially departments should circulate an executive

summary, so that consultees can decide whether or not they would like

to obtain the full document or respond to the consultation. Where

appropriate, this can be in the form of a letter from the department and

should include the following points:

• The proposal;

• The timeframe for consultation;

• The aim of the policy;

• The key issues; and

• A contact point for further information.

15


Analysing the Responses Responses to any consultation exercise should be carefully and

objectively analyzed, and the results made widely available, with an

account of the views expressed, the policy makers response to those

views and reasons for decisions finally taken. Analyzing responses is

not a science and the precise method of analysis will depend on the

public involvement technique used. Policy makers also need to be

mindful that analysis can often be complex and time consuming.

Sufficient time, therefore, needs to be built into the policy timetable to

facilitate this process.

It is important to bear in mind that analyzing responses is never simply

a matter of counting votes. Single-issue groups should not be allowed

to monopolize the debate. However, due regard should be given to the

views of representative bodies, such as business associations, trade

unions, voluntary and community sector, consumer groups, and other

organisations representing Section 75 groups especially affected.

Eventually it is for Ministers to assess the argument and evidence and

reach decisions in the public interest.

However, the following broad steps can be applied to most exercises:

Step 1: All responses should be acknowledged on receipt where

possible. Ensure that accurate and complete records are

kept of all responses received, whether through a formal

written consultation or more interactive dialogues. It is

useful to keep a copy of all responses, both formal and

informal in a central file, not only to ensure that

everyone’s view is fairly considered, but also to help

address any allegation of privileged access.

Step 2: Try to sort the responses into particular types, for

example, the views of business groups in one,

employees’ representative groups in another, individual

16


views in a further category. This will help you to identify

variations in perspectives on particular issues.

Step 3: Develop a ‘framework grid’ for analysis by identifying the

key policy issues, themes and proposals, and then

summarize the primary viewpoints on each aspect.

Step 4: Examine the primary viewpoints and consider the

implications for the policy. In particular, responses should

be analyzed for:

• Possible new approaches to the issue / question

consulted on;

• Further evidence of the impact of proposals; and

• Levels of support among particular groups.

Step 5: Draw together the three facets of the consultation

analysis (i.e. the different strands of viewpoints; an

assessment of the implications for the policy; and an

outline draft government response) into a single

‘outcome’ paper.

Step 6: Deliberate with relevant stakeholders in government to

develop a clear position on the ramifications of the

consultation analysis as set out in the outcome paper.

If significant new options emerge from consultation, it

may be right to consult again on them, though a shorter

consultation period may be justified.

Step 7: Decisions in the light of consultation should be made

public promptly, with a summary of views expressed

(subject to respondents’ requests for confidentiality), and

17


clear reasons for rejecting options that were not adopted.

As far as reasonably practicable, this material should be

accessible to all who responded, including on a

departmental website. Respondents who ask why

individual proposals have been rejected should receive

an explanation.

Individual responses should also generally be made available to

anyone else who asks for them. Failure to make material available

may be incompatible with Open Government or Freedom of Information

provisions. It is legitimate, in accordance with those provisions, to

make a reasonable charge for copying and postage. However, where

respondents have sought confidentiality, it should generally be

respected. It may also be necessary to keep confidential those

responses that may unfairly affect third parties’ interests or privacy.

18


5.3 The Submission

Overview Detailed guidance on handling of submissions will be available from

each Private Office. Those guidelines usually detail the Minister’s

personal preference regarding, for example, font, layout, timings, and

distribution lists. This document does not seek to replicate that

guidance, as it will vary according to each Minister’s preference.

However, there are some general key points to take into consideration

when preparing a submission to the Minister. In addition, an example

of a Ministerial submission is available on page 20 below.

The Submission You will have determined at the initiation stage who the key decision-

maker is, usually the Minister. The next stage is to present to the

Minister the detailed options and recommendations.

Having analysed your options and consulted widely with stakeholders,

you will make a recommendation to the Minister and they will agree the

way forward for the policy. This will take the format of a formal

submission to the lead Minister. (It is assumed that you will have had

ongoing meetings/correspondence with the Minister throughout the

policy process, so this will take the form of a signing-off of the agreed

option and arrangements for presentation and delivery.)

Special Advisers In certain circumstances, advice should be included from the Special

Adviser on submissions going to Ministers. Policy makers are advised

to check with their Special Advisers’ Office for up-to-date guidance.

19


Example of a Ministerial Submission

FROM: Ann Other

Date: 1 February 2007 Copy Distribution List Below

TO: Colleagues

Issue: To Notify Colleagues of the Appropriate Style of Submission

Timescale: Immediate

Presentational Issues: Likely interest from Media, Political Parties, Interest Groups

FOI Implications: Most Submissions are likely to be disclosable – if in doubt speak to your Local Information Manager

View of Special Adviser: Must be here before in certain

circumstances before going to the Minister – please seek advice from your Special Advisers’ Office

Financial Implications: Outline the financial implications of the issue under consideration

Legislation Implications: Include relevant information about the legislative implications in respect of any proposal.

Recommendation: That this form of submission is always used in future

Background

20


5.4 Announcing the Decision

Detailed guidance on handling announcements/policy statements will

be available from the individual Private Offices. Each Private Office will

issue guidelines on the Minister’s preferences regarding the

preparation and format of announcements. The Departmental Press

Office should also be contacted regarding requirements and advice.

This document does not seek to replicate such guidance. However,

there are some general key points to take into consideration when

preparing an announcement.

Communication Strategy Communication of government policy should be an integral part of

policy development. To ensure that your policy will really benefit those

it is designed for, and can be successfully implemented, you should

ensure that communication is part of all stages of the development of

the policy. It is important to consider both internal and external

communication strategies.

A communication strategy should set out the team’s approach to

handling both stakeholders and the media at all stages of the strategy

development process. It should include the formal launch, the

consultation process, the presentation of analysis to stakeholders, the

publication of the interim report, the communication of the conclusions

and the publication of the final report. The plan should identify

activities, responsibilities and timescales. After each phase of the

project, communications should be evaluated to monitor success and

identify any learning points.

It is therefore important to discuss your policy with the Executive

Information Service (EIS) from an early stage in the policy process.

EIS provides the full range of news and public relations services to

Ministers and their departments. There is a central unit and staff are

also out posted to provide the service in departments. The Press

21


Office within EIS will arrange press conferences; issue news releases

and articles; and provide advice on media handling.

The following points should assist planning in this area.

Communication should:

• Be planned from the start of the policy process and tackled as

an issue throughout;

• Be based on a sound awareness of the political and wider

context within which the policy is being developed;

• Be focused on what is likely to be of greatest public interest,

highlighting the policy proposal and resulting likely criticisms,

and include an overview of the consultation responses, outlining

how these have been taken into account;

• Target relevant audiences and make use of a range of media

and formats in order to reach those audiences; and

• Involve all those who will have a part to play in presenting policy

– Ministers, policy-makers, press officers and service

deliverers/implementers.

The Announcement For significant policy decisions, Ministers will want to ensure that the

Assembly/Parliament is informed (usually before the media). The

Minister may also wish to ensure that relevant Assembly or

Parliamentary Committees are informed of the proposed

announcement in advance. You will want to get a steer on how the

Minister would like to present this to Parliament.

The team should always work with and through the Press Office rather

than dealing directly with the media. When communicating with the

media it is important to remember:

• Keep it simple and ensure that the story is clear.

22


• Be as open as possible, secrecy adds interest and value to a

story.

• Be fully briefed and know the facts.

• Avoid the void: if you don’t provide some information, someone

else will.

• Create a Question and Answer brief to cover areas that the

media will be interested in.

• Don’t be tempted just to answer the easy questions or cover the

areas they ‘should be interested in’. Test the answers to ensure

that they are robust.

• Consider whether a press briefing or conference is required and

whether there are any key stakeholders that the media will

automatically contact. If so consider briefing them in advance.

The Prime Minister’s Strategy Unit has produced a Strategy Survival

Guide which highlights some key points to note in relation to the launch

strategy, including:

• Detailed briefing notes are vital for any launch. The Question

and Answer brief must be exhaustive and must address

sensitive issues.

• If possible, the launch strategy should include a large number of

briefing sessions to cover stakeholders and the media. This is

extremely time-consuming but effective.

• Briefing small groups of the media helps to improve their

understanding of the report – especially for non-specialist media

– and results in measured and accurate reporting of the key

recommendations. It also allows specialist media more

opportunity to delve into their areas of interest.

• Do not forget to plan for the dissemination stage post-launch.

Activity should not stop the day after the launch.

23

http://www.cabinetoffice.gov.uk/strategy/

http://www.cabinetoffice.gov.uk/strategy/


APPENDIX ONE Guide to the Statutory Duties at Section 4 paragraph 2(c)

The Equality Commission for Northern Ireland has set out seven

guiding principles for consultation. These require that:

• consultation with groups and individuals should begin as early

as possible;

• consideration must be given to which method of consultation is

most appropriate in the circumstances. Consideration should be

given as to whether face-to-face meetings, small-group

meetings, focus groups, discussion papers with the opportunity

to comment in writing, questionnaires, or internet discussions

are best;

• engagement with affected groups or umbrella groups to identify

how best to consult or engage with stakeholders is

recommended;

• the accessibility of the language and the format of information

must be considered to ensure that there are no barriers to the

consultation process. Information should be available on

request in accessible formats for example Braille, disk, and

audiocassette and in minority languages to meet the needs of

those who are not fluent in English. Public authorities must

ensure that systems are in place to ensure that information is

available in such accessible formats in a timely fashion. In

addition, specific consideration should be given to how to best

communicate information to young people and those with

learning disabilities;

24


• specific training should be considered to ensure that those

facilitating consultations have the necessary skills to

communicate effectively with consultees;

• adequate time should be allowed for groups to consult amongst

themselves as part of the process of forming a view. The

Commission recommends a period of at least two months for

consultation exercises;

• appropriate measures should be taken to ensure full

participation in any meetings that are held. Different groups

have different needs and may have different customs. Public

authorities will need to consider the time of day, the

appropriateness of the venue, in particular whether it can be

accessed by those with disabilities, how the meeting is to be run,

the use of appropriate language, whether a signer is necessary,

and the provision of childcare. Public authorities should

recognise and in good faith meet access related costs; and

• Information should be made available to ensure meaningful

consultation. This should include relevant quantitative and

qualitative data and other documentation such as consultants’

reports.

25