Workshop: RIA for Prime Ministry Experts

13 October 2009EuropeAid/125317/D/SER/TR

Session 3

RIA Consultation for Public Sector and Government

Why Consult?

Consultation supports greater transparency – an important principle of good governance therefore better regulation

Consultation enhances the clarity and openness of Public Sector processes

Policy making can be enhanced through active participation and contribution of all stakeholders in particular policy developments

Consultation ensures that interested parties can express their views about a particular proposal, decision-making becomes informed and accountable

A sample checklist for better consultation

Are the purpose and objectives of your consultation clear? Are the questions you will ask during consultation clear? Are all the relevant stakeholders identified? Have you decided about the method/s of consultation to be

used? Do you have sufficient resources for consultation? Have you considered all the legal obligations related to the

process? Have you publicized the consultation properly?

A sample checklist for better consultation

Do you have a realistic time table? Have you given sufficient time for all the stakeholders to consider the issues involved?

Is there a plan about how you will analyse the submissions recevied during consultation?

Have you planned the evaluation process of the consultation? Do you you have a mechanism to direct the experience learned

in a consultation process to improve future processes?

Stages of Consultation

Planning

Execution

Analysis and Evaluation

Planning a Consultation

The subject of consultation – i.e. Is it a new policy, a draft legislation, a primary / secondary

legislation?If the public authorities are clear about the subject of consultation

it will provide best effects, determining issues such as Who will be consulted?

What type of consultation method to use?How long should the consultation be?

Planning a Consultation The purpose of consultation – clarity in the objective of

consultationi.e. What is expected to be achieved with the consultation? Are

you clear about the questions to be answered during the consultation?

The time frame of the consultation –i.e. Does the consultation fit with the legislative time frame? Resources –i.e people, money and time to be allocated to the consultation

process Identification of target audience for consultation -

Stakeholder Mapping

InfluenceInterest

Low Influence High Influence

Low Stake Least Priority Stakeholder Group

Useful for decision and opinion formulation

High Stake Important stakeholder group (perhaps in need of empowerment)

Most critical stakeholder group

Planning a Consultation Identification of right methods to be used in consultationi.e. Are the chosen methods suitable for objectives of consultation?

Do you think the stakeholders will be willing to participate in the process using these methods?

Publicity of consultation i.e. Is the consultation properly publisized? Need for external / internal expertisei.e. Is the expertise to plan, manage and evaluate a consultation

available with the institution? Do you need external help? Legal obligations and requirements to be considered –i.e. Are there any legal issues to be taken into consideration

relevant to your institution before, during and after consultation?

Consultation Process

Choosing the right method for consultationi.e. Each consultation method has its strengths and weaknesses,

depending on each case of consultation different methods can be needed

Consultation Process Managing the consultation process

For sucessful management of the process, following issues are important: Identify and create a list of relavant stakeholder well in advance One person should be assigned to deal with the stakeholders, their

questions, and consultation submissions You need to set an indicative consultation period Define a deadline, however leave some fleixibility for possible extension

of consultation Consider the way to handle feedback to stakeholders at the end of

consultation period, i.e publishing the results?

Consultation Process Written consultation This is one of the most used methods in consultation. If you employ this

method in consultation, following issues are important to take into account: Content and style of consultation document Provide a brief summary about the background of topic of consultation

with references to detailed sources of information The questions, for example, should be presented by bold letters Use a simple language, avoid hard core terminology Try to avoid acronyms Be aware that not everybody is informed the way a public institution

works Try to test the draft document for clarity and focus before the

consultation begins

Consultation Process Other methods for consultation

Information technology Advisory Comittees Comment / suggestion mechanisms Questionnaries Face to face interviews Focus groups Public meetings ...Whichever method you choose or you can choose a number of them

together for the process, it is important that it is in line with the circumstances and the topic of consultation.

Each method has its strenghts and weaknesses!

Analysis and Evaluation There are a number of important issues relevant to maximize

the benefit from consultation:

Public sector institutions and the stakeholders must differentiate the evaluation and analysis of a consultation process

Decision-making processes depends on each organization’s structure and internal processes and it should be treated seperately from analysis and evaluation of consultation process

Analysis and Evaluation

Analysing and interpreting results of a consultation

Feedback and publication

Reviewing the consultation process

Analysis and Evaluation Analysing and interpreting results of a consultation

Analysis should begin as soon as consultation ends and it must be able to interpret responses to the key questions asked

It is crucial to take into account in advance the nature of responses that are likely to be received and the levels of analysis to be used.

Analysis and Evaluation Analysing and interpreting results of a consultationRegardless of the method of consultation, for efficient results, the recommended course of action is:

Make sure that you have a complete and accurate record of all the information received

Confirm receipt of submissions Define a methodology to analyse submisions related to key issues Create a profile of consultees and the issues raised Pay attention to major issues raised by the consultees for their policy

implications Try to distinguish between idealistic and pragmatic solutions Try to decide whether further consultation is necessary

Analysis and Evaluation Feedback and publication

When stakeholders participate in a consultation they expect that their views will have an impact in the process, thus publishing consultations would enhance transparency and credibility of the consultation process

When publishing a consultation: Publish the total list of submissions received Summarize key messages and suggestions But beware at the same time on issues of confidentiality

Analysis and Evaluation Reviewing the consultation process

It is an integral part of consultation process and it should be done after the analysis submissions, briefly, when everything finishes.

It enables the public institution to see the effectiveness of the cosnultation process and ways to refine it for future reference

Analysis and Evaluation Reviewing the consultation process

Some important aspects of reviewing: The match between the consultation and reaching the target

audience The equality of participation for stakeholders The match between the methods employed and the objectives

of consultation The resource usage – was it cost-effective? Lessons learned out of the process Usage of time througout the process – any possible

improvements?

Towards Decision Making Process

Finally, integrate the consultation results to RIA

International Best Practices on Consultation Early consultation best practices: Germany, Sweden, Italy and

UK Formalised processes best practices : Germany, Sweden Range of stakeholders consulted best practices: Austria,

Denmark, Finland Techniques of consultation best practices: Finland, Netherlands,

Denmark Duration of consultation best practices: Sweden and UK Publication of comments best practices: Austria and Germany Use of comments best practices: Austria, Italy, Sweden