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Effective Policy Making
Workbook Five: From Consultation to Announcement
Policy Innovation Unit
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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-UpKey Areas Addressed:
Establishing the Need for PolicyIntervention
Planning Your Approach and EngagingStakeholders
2. Developing and Analysing the Evidence Base
Gathering the Evidence
Analysing the Evidence
Presenting the Analytical Report
Agreeing the Aims and Objectives
3. Identifying andAppraising 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 andImplementation
Decision and Publication of Report onResults of Impact Assessments
Monitoring and Evaluation
5. From Consultation toAnnouncementFormal Consultation Exercise
The Submission
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Announcing the Decision
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Each workbook seeks to provide practical guidance and draws on
existing guidance material and best practice, in particularA 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
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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.
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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
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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 theCabinetOffice guidanceand 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.
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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 Officesplain written
language guidancefor 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.
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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.
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Provide a summary of the issues and options being consulted on sothat 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 thereasons 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 andto 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 thewritten 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
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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?
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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 GroupWhere 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.
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List of Stakeholders ConsultedYou 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 LegislationIf 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.
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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 authoritys 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.
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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
everyones 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
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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 thekey policy issues, themes and proposals, and then
summarize the primary viewpoints on each aspect.
Step 4: Examine the primary viewpoints and consider theimplications for the policy. In particular, responses should
be analyzed for:
Possible new approaches to the issue / questionconsulted on;
Further evidence of the impact of proposals; and Levels of support among particular groups.
Step 5: Draw together the three facets of the consultationanalysis (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 todevelop 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 madepublic promptly, with a summary of views expressed
(subject to respondents requests for confidentiality), and
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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.
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5.3 The Submission
Overview
Detailed guidance on handling of submissions will be available from
each Private Office. Those guidelines usually detail the Ministers
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 Ministers 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.
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Example of a Ministerial Submission
FROM: Ann Other
Date: 1 February 2007
Copy Distribution List BelowTO: Colleagues
Issue: To Notify Colleagues of the AppropriateStyle of Submission
Timescale: Immediate
Presentational Issues: Likely interest from Media, PoliticalParties, Interest Groups
FOI Implications: Most Submissions are likely to bedisclosable if in doubt speak to your
Local Information Manager
View of Special Adviser: Must be here before in certaincircumstances before going to the
Minister please seek advice from your
Special Advisers Office
Financial Implications: Outline the financial implications of theissue under consideration
Legislation Implications: Include relevant information about thelegislative implications in respect of any
proposal.
Recommendation: That this form of submission is alwaysused in future
Background
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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 Ministers 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 StrategyCommunication 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 teams 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
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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 asan issue throughout;
Be based on a sound awareness of the political and widercontext 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 mediaand 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.
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Be as open as possible, secrecy adds interest and value to astory.
Be fully briefed and know the facts.
Avoid the void: if you dont provide some information, someoneelse will.
Create a Question and Answer brief to cover areas that themedia will be interested in.
Dont be tempted just to answer the easy questions or cover theareas they shouldbe interested in. Test the answers to ensure
that they are robust.
Consider whether a press briefing or conference is required andwhether there are any key stakeholders that the media will
automatically contact. If so consider briefing them in advance.
The Prime Ministers Strategy Unit has produced aStrategy Survival
Guidewhich highlights some key points to note in relation to the launch
strategy, including:
Detailed briefing notes are vital for any launch. The Questionand Answer brief must be exhaustive and must address
sensitive issues.
If possible, the launch strategy should include a large number ofbriefing sessions to cover stakeholders and the media. This is
extremely time-consuming but effective.
Briefing small groups of the media helps to improve theirunderstanding 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.
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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 earlyas possible;
consideration must be given to which method of consultation ismost 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 identifyhow best to consult or engage with stakeholders is
recommended;
the accessibility of the language and the format of informationmust 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;
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specific training should be considered to ensure that thosefacilitating consultations have the necessary skills to
communicate effectively with consultees;
adequate time should be allowed for groups to consult amongstthemselves 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 fullparticipation 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 meaningfulconsultation. This should include relevant quantitative and
qualitative data and other documentation such as consultants
reports.