EffEctivE StakEholdEr EngagEmEnt

good practice guidelines

Policy Champions Network

Foreword

The NICS faces a challenging agenda over the next few years. The delivery of priorities more than ever depends on the development and implementation of sound, effective and innovative policies.

Key to our future in the public service is improving how we engage with our customers. Indeed, the need for best practice in effective stakeholder engagement is becoming even more crucial as we progress our major reform programmes.

Proper engagement is a demanding job. It requires skills in how we explain and set out our issues, it means we need to use our evidence in a way that others can understand. It needs good planning and time management and perhaps most importantly, it requires us to ensure that those we engage with are listened to and are given timely feedback so that they feel part of the policy making process.

Engaging people and communities is certainly a major part of our work and one in which we have lots of experience. Done well, it can be an extremely valuable tool for both policy-makers and stakeholders alike, leading to better decision-making processes and often better outcomes.

As Head of Policy Profession, I would encourage you to take a fresh look at your engagement practice across the NICS, while of course remaining within the parameters of our existing statutory and legal framework. As we go forward, it is important that we continue to use our experience and successes to develop our engagement practice as an integral part of the policy development process.

Will Haire Head of Policy Profession

Contents

Page Number

1. Introduction 1

2. Towards a broader concept of stakeholder engagement 2

Who are stakeholders?

What is stakeholder engagement?

Section 75

Additional sources of information

3. Whatarethebenefitsofstakeholderengagement? 5

4. Principles of stakeholder engagement 7

5. Puttingprinciplesintopractice 10

Case studies:

Colin Town Centre Project: Addressing ‘Consultation Fatigue’ 11

Transforming Your Care (DHSSPS): Using a range of 14 engagement methods

DARD Strategic Plan 2012 – 2020: Teleconferencing 18

Cabinet Office Government Digital Strategy: A digital approach 20

6. Behaviours and skills 22

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Introduction

1.1 These good practice guidelines provide a comprehensive overview of stakeholder engagement as an integral part of good practice in modern policy-making. They have been developed specifically to assist staff working in policy development but can usefully assist those with an interest in building lasting stakeholder relationships.

1.2 Despite the growing awareness of the benefits of effective engagement, there appears to be room for improvement, particularly in engaging stakeholders more openly in the very early scoping and initiation stages of policy development. When confronted with tight timescales and limited resources, there are often fears that continuous stakeholder engagement, outside of the statutory consultation period, can lead to delays. While it is often tempting to rush ahead when developing policy, failing to appreciate the underlying principles of engagement and indeed, the potential benefits, makes it harder to win the confidence of stakeholders, leads to unexpected criticism and ultimately does a disservice to the whole policy-making process.

1.3 Now, with an increasing demand for transparency and accountability and greater pressure on public resources throughout government departments, there is a critical need to ensure that meaningful and effective stakeholder engagement is embedded within policy development and is reflected and supported by organisational culture. These guidelines therefore explore the underlying principles and benefits of effective stakeholder engagement. Case studies are also used to illustrate good practice methods across the NICS to encourage policy-makers to engage with stakeholders in a way that engenders confidence and trust, embracing the trend towards more open and shared decision-making.

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A broader concept of stakeholder engagement

Who are stakeholders?

2.1 Stakeholders are individuals, interest groups, customers, almost anyone or any entity who affect or can be affected by an organisation’s actions and they can be internal and/or external to that organisation.

2.2 The diversity of policies and services provided across NI government departments means that we interact with an extensive range of stakeholders. However, policy-makers are reminded by the Equality Commission in its Guide to Public Authorities1 that “although the legislation (Section 75 of the Northern Ireland Act 1998) requires a list of persons to be consulted, the Commission recommends that to ensure the most effective use of a public authority’s and the community/voluntary sector’s resources, a targeted approach to consultation is taken.”

2.3 The Equality Commission recommends that “all consultees are notified by email or by post of the policy being consulted on. Public authorities may then consider which consultees have a particular interest in the policy being consulted on and adopt a more targeted approach to consultation with them. In addition, particular policies may be more relevant than others to specific consultees, and we (the Commission) recommend public authorities take this into consideration when consulting to ensure that they consult directly with the most appropriate affected individuals or representative groups.” Indeed establishing good networks between stakeholders and departments/policy teams is recommended as the best way forward.

What is stakeholder engagement?

2.4 The terms ‘consultation’ and ‘stakeholder engagement’ are often used interchangeably. There is clearly an interplay between these two terms however, for the purposes of these guidelines it is useful to consider:

1 Section 75 of the Northern Ireland Act 1998, A Guide for Public Authorities, 2010

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Consultation as a statutory, time-bound process, through which departments ask stakeholders for their views on proposed policies contained in published consultation documents; and

Stakeholder engagement as encompassing formal consultation; a longer term, continuous process, whereby departments/policy teams not only ask stakeholders for their views but also seek to achieve a longer term, sustainable relationship with them.

Section 75

2.5 Consultation is of course a necessary part of the policy development process. Policy-makers are encouraged to refer to their Departmental Section 75 Equality Schemes and are reminded that under Section75oftheNorthernIrelandAct1998, they must have due regard to the need to promote equality of opportunity and to have regard to the desirability of promoting good relations across a range of various groups. Schedule 9 to this Act requires departments to engage in consultation about the likely impact of existing and proposed policies, and in making decisions about such policies, to take the consultation into account.

2.6 The Equality Commission’s Guide for Public Authorities further clarifies that “Section 75 is underpinned by the building of relationships between those who make and deliver public policy and those affected by such policy”. Building and sustaining these relationships relies on effective stakeholder engagement and while it does not in any way replace the statutory consultation process, it is increasingly becoming an essential tool to support the delivery of meaningful consultation.

2.7 Accordingly, the focus of these guidelines is towards the broader concept of stakeholder engagement and to demonstrate the concept of consultation as a continuum of stakeholder involvement.

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Additional sources of information

2.8 Much work has already been done to outline the formalities of the consultation and engagement process, which these guidelines do not intend to replicate. Rather, the work of the Policy Champions Network, has provided a timely opportunity to draw together different sources of information available and to promote and encourage a refreshed engagement culture and practice.

2.9 Policy-makers are encouraged to locate other NICS guidelines and in particular, OFMDFM’s A Practical Guide to Policy-making in Northern Ireland. Additionally, DOE in 2013, developed a Stakeholder Engagement Strategy; and DoJ in 2013, published a User Guide to Stakeholder Consultation which, although primarily aimed at staff working in Criminal Justice Organisations, will also support staff across NI departments to plan and carry out consultation exercises.

2.10 The Centre for Applied Learning also offers a one day course on Public Consultation and Engagement and a one day Equality Impact Assessment Workshop. Furthermore, policy-makers should refer to the Equality Commission’s website which provides a range of advice, in particular, Section 75 of the Northern Ireland Act, A Guide for Public Authorities, 2010 and Let’s talk, Let’s Listen, Guidance for Public Authorities on Consulting and Involving Children and Young People, 2008.

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Whatarethebenefitsofstakeholderengagement?

3.1 Stakeholder engagement can be an extremely valuable tool. Done properly, it creates an information-sharing platform uncovering valuable knowledge and insights at an early stage in the policy development process, allowing both policy-makers and stakeholders to benefit from more effective, responsive and relevant policies and public services. This ‘no surprises’ approach not only empowers stakeholders by giving them the opportunity to frame questions and subsequent discussions about proposed policies, but allows policy-makers to quality assure their work. In effect, the publication of a consultation document becomes the final check, rather than the starting point, resulting in more efficient and sustainable policy-making.

3.2 Effective stakeholder engagement can therefore be mutually beneficial for both policy-makers and stakeholders and the earlier we engage the more likely these benefits will be realised.

For Departments, potential benefits include:

Enhanced reputation: Being proactive and genuinely listening to stakeholders builds trust and increases public confidence.

More sustainable decision-making:

Collaborative problem-solving allows for the pooling of knowledge and diverse perspectives to achieve mutual goals and sustainable and innovative solutions to complex policy issues which are more customer-focused. Early engagement also provides an opportunity to engage with Section 75 groups and individuals and to gather qualitative and quantitative data and information on the equality implications of the policy in question to inform later screening exercises and equality impact assessments.

Better policy-making: Having the opportunity to ‘road test’ and refine policy proposals with stakeholders before implementation, enables better planned and more informed policies that have broader acceptance.

Strengthened skills and competencies:

Delivering effective stakeholder engagement provides policy-makers with opportunities to develop a range of transferable communication skills, building confidence.

Improved risk management and managing stakeholder expectations:

Controversial issues can be anticipated and managed earlier in the policy development process thereby reducing the likelihood of unexpected criticism emerging at a later stage (e.g. during a statutory consultation period) which can slow down the overall policy-making process.

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For stakeholders, potential benefits include:

Empowerment and motivation:

Stakeholders feel respected and valued having the opportunity to directly influence policies that affect their lives and those whom they represent.

A sense of ownership and inclusion:

Stakeholders feel a greater sense of responsibility for decisions, thus improving their acceptance.

Capacity-building: Stakeholders gain a better understanding of the policy, political and decision-making processes and how they can influence these processes effectively with realistic expectations.

Increasing the accountability of government:

Through more open and transparent communication.

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Principles of stakeholder engagement

4.1 Achieving the benefits of stakeholder engagement requires a commitment to the following guiding principles:

Timeliness

• Be proactive and engage as early as possible in the proposal development stage so that opportunities for stakeholders to influence the decision-making process are maximised.

• Allocate sufficient time to build relationships and trust with stakeholders.

• Adequate time should also be allowed for stakeholders to consult amongst themselves as part of the process of forming a view, in order that their contributions to any formal public consultation may be informed.

• Engagement should be ongoing throughout the policy development cycle.

Transparency, openness and clarity

• Have a clear engagement strategy and share this with your stakeholders.

• Clearly articulate your purpose, objectives and scope including any constraints; how and when stakeholders can input; and how you intend to use the results while managing expectations.

• Develop a culture of shared learning. There should be no hidden agendas but ensure confidentiality where appropriate.

Integrity

• Engage in a manner that engenders mutual respect and trust.

• Actively listen and show willingness to be open-minded.

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Inclusivity and accessibility

• Equitably identify and involve stakeholders who are likely to be interested in, or affected by your policy.

• Provide stakeholders with early, comprehensive and accessible information so that they can participate in a meaningful way.

• Ensure the methods of engagement used are accessible and suitable for those Section 75 groups that you are aiming to seek views from.

• Ensure marginalised groups have the opportunity to engage.

Proportionality

• Ensure your engagement strategy is fit for purpose. The scale of your engagement should be proportionate to its purpose, context and objectives.

• Actively engage with stakeholders listed in Departmental Equality Schemes but recognise that levels of interest and ongoing engagement will vary depending on the particular policy issue. It may therefore be necessary to target ongoing engagement with specific stakeholders to avoid ‘consultation fatigue’.

• Tailor your approach to the particular needs of your project, particularly in relation to those limited in scope (i.e. of a specialist or a technical nature).

• To ensure effective use of resources, consider whether other teams within your department (and across other departments) could benefit from joined up working where there is a need to engage with similar stakeholders.

Innovation and creativity

• Your engagement strategy should be managed but it should also be free enough to promote creative thinking.

• Embrace different perspectives as they will force you to think differently.

• Done correctly, collaboration can identify new opportunities, lead to innovative solutions and create value for everyone involved.

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Reciprocity

• Don’t forget that stakeholder engagement is a two-way dialogue.

• Be responsive and ensure a continuous feedback mechanism is in place to facilitate engagement as an ongoing process and further strengthen the trust built up with your stakeholders.

• Communicate final decisions back to your stakeholders and demonstrate whether they have, or have not, influenced the outcome and why.

4.2 In putting these principles into practice, it is important to recognise that there is no ‘one size fits all’ approach when it comes to stakeholder engagement. There is a wide range of engagement methods and tools available and selecting those that are most appropriate will depend on a variety of factors such as the scale and scope of your project, the resources available and the needs of stakeholders, as illustrated in the next Section.

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Putting principles into practice

5.1 These guidelines select four good practice examples to demonstrate what is involved in putting the principles of engagement into practice:

1. Colin Town Centre Project

2. Transforming Your Care (DHSSPS)

3. DARD Strategic Plan 2012 – 2020

4. Cabinet Office Government Digital Strategy

5.2 Collectively, these case studies demonstrate the wide range of engagement methods available and that increasingly, more innovative forms of information sharing are being utilised, such as the teleconferencing approach taken forward by DARD and the use of modern digital tools/social media, as encouraged by the UK government.

5.3 Often the most effective approach is to combine a range of complementary methods, an approach seen in the Colin Town Centre and Transforming Your Care projects. Certainly, this approach is recommended if you wish to reach a wide range of people.

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Case Study 1: Colin Town Centre Project

Addressing ‘consultation fatigue’

5.4 The approach taken by the Colin Neighbourhood Partnership (CNP) in its aim to develop a new town centre for the Colin area was very positively received, involving widespread stakeholder and community consultation on the initial concept and throughout all stages of the town centre project.

5.5 CNP, before commencing its engagement process, undertook an intense period of planning and as part of that process, recognised that in order to address the high levels of ‘consultation fatigue,’ CNP needed to be innovative in its approach. The extracts below provide a summary of CNP’s consultation methodology as contained in CNP’s Public Consultation Report2 (http://www.dsdni.gov.uk/colin-consultation-report-2013.pdf).

Understanding ‘consultation fatigue’

“Over the course of the consultation process it became apparent that whilst people were not averse to contributing to the dialogue, in order to be motivated to take part, they needed to feel convinced that their input would influence tangible outcomes. Also it was evident that the community wished to be kept briefed on the project’s progress via ongoing two way information sharing.

In order to address this ‘consultation fatigue’ there was clearly a need to devise an innovative approach to engaging with the public. Particular emphasis would be required to engage with the traditionally hard to access groups such as the under 25s, especially given the high percentage of young people in the Colin area (nearly 50% of Colin’s population are aged 25 or under).

Our approach

Before starting the public consultation process on the ground (26th March 2012), an intense period of planning and programming took place. The development of the consultation approach dispensed with the traditional ‘static exhibition in a hall’ technique and embraced more pro-active and ‘hands on’ methods of public engagement and outreach work. This approach prioritised going out and personally meeting people in a bid to maximise the level of participation and response.

2 A New Town Centre for Colin, Public Consultation Report, April 2013

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Consultation media partner

To support the town centre public consultation process a comprehensive marketing and media campaign was developed in partnership with the Andersonstown News, as the town centre project media partner. In advance of the official start of the public consultation process weekly communications meetings were convened between the project team, its Communications Advisor, representatives of the Colin Neighbourhood Partnership and a senior manager from the Andersonstown News. At these meetings discussion focused on how to maximise exposure of the project and to encourage the local community to contribute their valuable views and opinions. The objective of the advertising campaign was to raise awareness of the town centre project, its brand and the imminent public consultation outreach exercise.

Information regarding the public consultation exercise was advertised in the Andersonstown News, starting one month in advance of the public consultation and ran weekly over a six-week period. This ‘media partner’ approach helped raise the profile of the consultation and gave the local community as much time as possible to consider their own personal responses. A number of local ‘project champions’ were also identified to feature in themed editorials with the Andersonstown News. These individuals provided their personal thoughts on specific elements of the town centre proposals. These positive personal interviews stimulated local discussion and healthy debate on the town centre development.

Use of social media

A social media presence was established in advance of the public consultation outreach. Twitter and Facebook were identified as an effective way of relaying information to the wider Colin community, particularly the under 25 age group. This was an excellent way of creating additional interest around the project as well as providing frequent online updates. Locally elected representatives, members of the business community and the wider public used this medium to stay informed about the public consultation outreach activities. An online version of the consultation questionnaire was also created and this was promoted through the social network sites, allowing greater accessibility to those who wished to convey their views via the internet. The social network sites and the Colin Neighbourhood Partnership website offered platforms through which vital consultation information could be shared freely on an open and transparent forum.

Roll out on the ground

The public consultation process began on 26th March 2012. A briefing pack, including a town centre project information leaflet and consultation questionnaire was distributed to every household in the community (circa 8,000 homes). The information was also made available online through the CNP website and social network sites such as Facebook and Twitter were used to encourage feedback and comments on the content of the draft town centre proposals.

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Consultation questionnaire responses could be physically returned via a number of drop-off points locally, including; Cloona House, the Dairy Farm Library, and of the local schools, the Dairy Farm Post Office or Stewartstown Road Health Centre. As an added incentive, those who took the time to provide feedback were entered into a prize draw for iPad and iPod products.

The collation of primary data collected through the consultation questionnaires was complemented by an extensive series of focus groups, individual meetings and presentations that were arranged throughout the day, evenings and weekends. A wide variety of local associations and key service/facility providers were involved. They included, schools, youth and sports clubs, pensioners, disability and specialist interest groups, in order to engage with as many local people as possible and to maximise the level of local participation. Meetings and presentations were also arranged with elected representatives and members of the various Government departments. A door to door campaign throughout Colin afforded the opportunity to share information on the project. Maintaining a presence along the Stewartstown Road and in other areas where people meet also helped to raise the profile of the consultation.

A series of 30 one-to-one in depth interviews were conducted with local people who were happy to share their opinions for publication in order to give greater human resonance to the findings of the consultation.

The public consultation was originally intended to run for a period of two weeks. It was, however, extended by a number of months in order to facilitate the large number of individuals, groups, organisations and local schools who wished to meet the project team and provide feedback and comment.

The questionnaire responses provided essential primary data. However, the project team considered that the focus groups, one to one discussions, presentations and in-depth interviews provided a greater insight into the thoughts and wishes of the local community. These methods provided the team with the opportunity to explain the proposals and discuss the concerns and aspirations of local residents in much greater detail than would otherwise be possible.

In summary, the public consultation exercise was extremely constructive and informative. The project team was very impressed by the enthusiasm, passion, detailed interest and general commitment of everybody both young and old, that contributed.”

LagmorePoleglass

TwinbrookUpper Dunmurry Lane

How to Participate In The Public ConsultationAttached to this information leaflet is a questionnaire which asks a number of questions aimed at finding out what you would like to see in the new town centre and seeking your views on the draft Plan, including details of a competition in which you can win one of 2 iPads and 11 iPods! Usual terms and conditions apply. To see these visit www.newcolin.com.

Completed questionnaires should be returned on-line to colintowncentre@yahoo.co.uk Further information is available at:

The Colin Neighbourhood Partnership website (www.newcolin.com), • Facebook (www.facebook.com/colinneighbourhoodpartnership), • Twitter (@colintowncentre) •

Additional guidance notes to help you complete this questionnaire are available at www.newcolin.com.

Completed questionnaires can also be dropped into the dedicated boxes located at the following locations no later than Monday 09 April, 2012:

* Cloona House * Dairy Farm Library * Any of the Local Schools

* Dairy Farm Post Office * Stewartstown Road Health Centre

* The Chemist opposite the Health Centre

Please note that if you require any assistance in completing the questionnaire, help will be available as part of the door-to-door survey.

Alternatively, if you would like immediate help or would simply like to find out more about the public consultation and the draft Plan, please phone 07581 236003 and speak to Bronagh O’Kane. You can also email her at bokane14@googlemail.com.

LagmorePoleglass

TwinbrookUpper Dunmurry Lane

BUILDING A NEW TOWN CENTRE FOR COLINWHAT DO YOU THINK?

An exciting Plan focussing on a central area around the Health Centre on the Stewartstown Road and illustrating a possible mix of land uses and facilities, is currently being prepared to develop a new Town Centre for Colin.

The draft Plan is to be the subject of a full public consultation exercise taking place within the Colin community between 26 March and 06 April which is aimed at getting the views of ALL local people of ALL ages to help ensure the Plan meets the future needs of the whole community.

In addition to using social network media such as Facebook and Twitter to seek comments, a mobile exhibition will be touring the Colin area carrying out door-to-door surveys and going into the schools and meeting with local groups to get the views and comments of as many people as possible in the community.

Key elements of the draft Plan are a potential new multi-use community building; additional shops, cafés and restaurants; a potential new education/child health facility; an improved health centre; a new town square, town park and formal play area; improved public transportation provision; and, some supported housing.

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Case Study 2: Transforming Your Care (DHSSPS)

Using a range of engagement methods

5.6 In October 2012, the Minister for Health, Social Services and Public Safety launched a consultation on the future of Health and Social Care entitled ‘Transforming Your Care: Vision to Action’ (TYC). The consultation exercise was undertaken by the Health and Social Care Board (HSCB) and ran from 9 October 2012 to 15 January 2013. The extracts below provide a summary of the engagement strategy as contained in the HSCB’s post consultation report3 (available at http://www.tycconsultation.hscni.net) and demonstrates that the consultation exercise was both thorough and successful.

Overview

“The stated aim of the consultation was to be clear and transparent about what we are doing in a co-ordinated way rather than introducing piecemeal changes which people cannot see or fully understand. It was to focus on those areas which would see the most significant change and be as specific and explicit as possible, to enable everyone to contribute to the difficult choices ahead.

In achieving this aim, it was important to make the consultation as accessible as possible using all established methods of engagement, such as printed materials in a range of formats, up-to-date online information and face-to-face contact through a variety of meetings and events, as well as embarking on new channels of engagement through social media.

Promotion and Accessibility of the Consultation Exercise

There were a number of modes of contact open and promoted to those who wished to contact the Health and Social Care Board TYC Team or respond during the consultation exercise. This multi-channel approach included: phone (including text phone); post; email; fax; website (www.tycconsultation.hscni.net); online questionnaire; downloadable forms and documentation; Facebook (facebook.com/tycconsultation); and Twitter (@tycconsultation).

The Vision to Action document was made available in the following formats: Hard copy (circa 2000 were distributed); Downloadable; Braille; Audio; Easy Read; and Large Print. A Questionnaire was also produced alongside the Vision to Action document, to support those who wished to respond to the questions posed in the document.

3 Transforming Your Care: Vision to Action, A Post Consultation Report, March 2013

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To ensure that everyone in Northern Ireland had the opportunity to read some introductory detail on TYC, the consultation exercise, and the ways they could get involved, an information leaflet was delivered to every home in Northern Ireland in autumn 2012. This leaflet provided details on the consultation exercise and also gave contact numbers, website address, and links to Twitter and Facebook. The leaflet was made available in various formats: hard copy and downloadable; and audio.

The website developed for the consultation included the following:

• Information on TYC

• All documentation including draft Population Plans, draft Strategic Implementation Plan and Equality Screening

• Frequently Asked Questions

• Four Podcasts on aspects of TYC

• Online Questionnaire and contact channels.

The table below sets out usage information on these channels of engagement:

Communication and Contact Activity Number of Contacts

Household leaflet 758,780

Hard Copy documents distributed 2000 circa

Requests for alternative formats of consultation document1

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Public Meetings / Numbers in attendance 16 / 533

Stakeholder Meetings / Numbers in attendance 26 / 280

Website Unique Visitors2 / Website Total Hits3 6258 / 26,140

Facebook likes 40

Twitter Followers 145

Tweets / Interactions 182 / 156

Finally, a number of activities were undertaken to raise awareness of the consultation exercise:

• Media briefings, press releases and articles in local and regional press at the launch and during the period.

• Adverts placed in local press providing details of the public meetings being held across Northern Ireland.

• John Compton, Chief Executive of the HSCB, wrote to over 500 individuals and organisations on our stakeholder list at the launch of the consultation and again to publicise the public meetings.

• A number of stakeholders were contacted directly to encourage response and offer focussed meetings or support to respond.

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Public Meetings

As part of the public consultation, the HSCB led a series of public meetings across Northern Ireland, working closely with the Local Commissioning Groups and the Trusts for each area. There were 16 public meetings held in total... Each meeting ran to a similar format with a standard presentation, a series of TYC podcasts (short videos) and Q&A debate.

An independent facilitator supported each of the public meetings, which was intended to ensure that all participants were enabled and supported to have their say and also that the public could be reassured that the process was open and transparent.

In addition to public meetings which were open to the general public and interest groups, there were some specific engagements with organisations such as NI Council for Voluntary Action (NICVA), senior clinical staff in Trusts and Staff Side partners.

Use of electronic communications & social media

A number of electronic communications and engagement channels were set up specifically for the purposes of Vision to Action consultation. We have evaluated the use of these channels and it is the view that social media and electronic communications were an extremely useful and effective way to spread information to raise awareness about the consultation, and we found it started to host debates about the TYC proposals, but that more could be done in future to use these means as a way of capturing the views and opinions of groups and the general public to promote debate.

There were over 160 comments/interactions from followers. Those commenting include politicians, voluntary and community sector, charities, campaigners, professional bodies and individuals. The majority of comments were positive from followers with many forwarding information about the TYC public meetings and key proposals to their own social media followers inviting them to respond to the consultation.

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Compliance Assessment of Consultation process and data analysis

As part of the consultation process, the HSCB engaged the Consultation Institute to provide a compliance assessment to:

• Conduct an independent compliance assessment of data analysis, methodology, both quantitative and qualitative

• Assess the quality control mechanisms in place and determine if they have been adhered to

• Assess whether the presentation and reporting of the material is in an acceptable manner, to comply with The Consultation Charter in respect of feedback to respondents and others, and ‘feed-forward’ to decision-makers.

They were able to provide assurance of our practice and commented that the data analysis methodology was “conscientiously planned and executed”, and the quality control mechanisms were... “well considered and executed”.

The Consultation Institute have awarded the HSCB a Certificate of Best Practice and endorsed our approach to these aspects of consultation as a quality assurance measure.”

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Case study 3: DARD Strategic Plan 2012-2020

Teleconferencing

5.7 The Department of Agriculture and Rural Development (DARD) undertook a consultation exercise to seek views from interested parties on the contents of its draft Strategic Plan 2012 – 2020 which detailed actions intended to achieve the Department’s vision of a thriving and sustainable rural economy, community and environment. This consultation closed on 29 March 2013.

5.8 Formal consultations were supplemented by the use of a teleconference at which a number of stakeholders engaged with the Permanent Secretary and Executive members of the Departmental Board. To encourage as many as possible to take part, the teleconferences were also advertised in local press and on the DARD internet offering three dates and times, with the following press release published on 7th January 2013:

DARD 2020 Strategic Plan teleconferences

“The Department of Agriculture and Rural Development is seeking further views on its draft Strategic Plan to 2020 and is holding a number of teleconferences to receive these.

For the cost of a local call, individuals and groups with an interest in the various issues that DARD covers – agriculture, rural development, fisheries, rivers and forests etc, will be able to share their views on the draft 2020 Strategic Plan and its Equality Screening and listen to discussion at a series of teleconferences planned for January 2013.

The events are scheduled to last around an hour with an introduction by DARD Permanent Secretary Gerry Lavery and other Departmental officials on hand to answer any questions.

Announcing details of the teleconference events, Gerry Lavery said: “This alternative forum will enable the local community to share its views with us on the draft 2020 Strategic Plan and its associated Equality Screening.

“Unlike other focus groups this one doesn’t require individuals or groups to come to us, it will be held in the home or place of work, over the phone line, for the cost of a local call.”

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Those interested in joining the teleconference will need to register their details with DARD. Those who have registered to ring in will then be contacted with the number to call to join other stakeholders to take part in the discussions on any of the following dates:

• Monday 21 January, 2.00pm – 3.30pm.

• Wednesday 23 January, 10.30am – 12 noon.

• Monday 28 January, 6.30pm – 8.00pm.

To sign up for the teleconference events, please contact DARD Central Management Branch, Room 509, Upper Newtownards Road, Belfast, BT4 3SU; Tel: 028 9052 4175 or e-mail

The draft Strategic Plan and associated Equality Screening can be viewed on the DARD website”

5.9 All those who took part gave positive feedback to the use of teleconferencing and officials involved have confirmed that DARD will be encouraging its use in future consultations. One participant commented: “an excellent method of communication this teleconference presented”.

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Case study 4: Cabinet Office Government Digital Strategy4

A digital approach

5.10 The Cabinet Office, in November 2012, published a Government Digital Strategy (http://www.publications.cabinetoffice.gov.uk/digital/strategy/) which included as a key action, that policy teams will use digital tools and techniques to engage with and consult the public, as part of the overall ambition of open policy-making in government.

5.11 A digital consultation undertaken by the Department of Health on its Care and Support Bill is cited as a specific case study below:

“The Department of Health has taken the first steps in making this a reality with its consultation on the Care and Support White Paper and draft Bill, published in July 2012. This will create a single modern statute for adult care and support, replacing more than a dozen pieces of legislation in the most comprehensive reform of social care law for more than 60 years.

“This is about the way we provide care for the elderly and vulnerable, and the way we fund it. It is a big issue for the department and the country,” says Rachel Neaman, departmental Digital leader.

Stephen Hale, Head of Digital, added “We needed to explain the ideas in the White Paper in a way that helped people to understand what the changes would mean for them. And invite people to contribute to the legislation at the draft stage to improve the proposals and make sure the final Bill is fit for purpose.”

The department used Digital to engage with the public and stakeholders on this policy, creating 2 new dedicated engagement spaces to invite public comments on the draft Bill and explain the White Paper policies, supplementing this with the new use of social media.

People could publicly comment on individual clauses or answer questions by topic, or respond to other people’s comments and generate discussion. This was the first time a government department had made a draft Bill available for comment online in this way and at such an early stage in the process. The department is ‘closing the circle’ by explaining how people’s comments are influencing changes to the Bill.

Rachel believes that this was a far more open, and potentially wide-reaching consultation than has been attempted before on draft legislation. “By opening up the draft Bill to online comments, we enabled anyone to help shape the legislation, not just the main stakeholder organisations who will give evidence in Parliamentary pre-legislative scrutiny.”

4 Cabinet Office, Government Digital Strategy, November 2012

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A dedicated twitter feed was also created, @caresupportbill, which summarised each clause in a tweet and influenced debate in social media (including triggering discussion in independent podcasts). This was the first time draft legislation has been shared in this way.

The Department of Health, in its Digital Strategy5, explains that users were encouraged to leave a comment against each clause, against areas of particular interest to them, about the drafting, or about how they felt the legislation would work in practice. Comments were published on the site alongside the clauses, which in turn triggered threads of discussions. 600 useful comments were posted on the site. Some were complimentary, some were challenging, but all were insightful. All these online comments have been analysed by the Bill team and are now being used to help create better care and support law.”

5.12 Read how policy teams within other English government departments are using digital tools and techniques to engage with and consult the public: (http://publications.cabinetoffice.gov.uk/digital/strategy/actions/14/).

5 Department of Health, Digital Strategy, Leading the culture change in health and care, December 2012.

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Behaviours and skills

6.1 Following good practice principles will provide a starting point towards meaningful stakeholder engagement but for the process to be truly credible, it demands wider behavioural change. Indeed, it is important that Departments meet their Equality Scheme training and awareness commitments so that policy-makers can build upon and deploy the right behaviours, skills and knowledge to support meaningful engagement, such as:

Leadership: setting aspirations and motivating others to encourage a responsive culture of participation and collaboration with stakeholders.

Project management skills to drive engagement strategies forward in a timely manner and within budget.

Thinking strategically and planning ahead to anticipate problems, issues and potential solutions.

A strong analytical mind-set to interpret evidence in a way that balances competing interests and captures the key messages and insights and equality considerations; and to feed that analysis back into final policy.

For analytical skills to be effective, they must be complemented by developing other interpersonal skills needed to build trust among stakeholders such as the ability to demonstrate patience and empathy whilst remaining impartial.

Communication is a core competency for stakeholder engagement which draws on crucial skills of active listening and rapport building and requires continual development.

Adaptability: Being flexible and comfortable with change and uncertainty.

Facilitation skills to manage group dynamics, including the ability to break down issues into manageable components and the ability to resolve conflict.

Building capacity of consultees through meetings and forums etc. to ensure meaningful consultation and engagement and, in particular, encouraging participation of disabled people in public life, in line with duties under Section 49A of the Disability Discrimination Act 1995.

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6.2 Strengthening these skills and abilities, coupled with leadership support, is critical to improving engagement capacities across the NICS. Though generic to many lines of work, the ability to communicate, not just presenting and persuading but listening and understanding, will enhance our understanding of best practice in engagement and ensure that our relationships with stakeholders and ultimately our engagement methods are meaningful.

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Notes:

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