Draft Consultation Guidelines

Response to issues raised during the Public Consultation Process

Background1. The then Minister for Public Expenditure and Reform, Mr. Brendan Howlin T.D., published

proposed principles-based Guidelines which aim to foster greater citizen consultation and involvement in policy and service development to strengthen democracy and improve public services in July 2015. A total of 50 submissions were received – see list at Appendix 1 - in response to a public consultation process on the draft guidelines, which concluded on 9 th October 2015. To facilitate the making of a response, details of the key points made in each submissions have been summarised and also grouped under key themes – see Appendix 2.

Improving the Draft Guidelines2. Many of the submissions received relate to improving the draft guidelines, in particular: to

ensure that circulation of proposals is appropriate in terms of who is being consulted (need for proactivity, targeting/tailoring, inclusivity, providing adequate time, etc.); how that should be done (use of multiple media, enhancing the functionality of the consultation portal; and in providing more detail/case studies.

3. The majority of these concerns have been addressed by adding further detail to the document, in particular through the addition of 2 appendices: Appendix 1 sets out in more detail the issues to be considered in each stage of the consultation process; Appendix 2 sets out the main awareness raising and consultation methods. To address the suggestion that more detail/case studies should be provided, text has been added to say that as consultation processes are rolled out and reviewed etc., the outcomes will be made public on an ongoing basis. This will provide other public bodies with information on what worked well or needed to be improved etc. and will help inform the approaches they might consider applying.

Key Strategic Issues 4. Three main strategic issues were raised during the public consultation process. These relate to:

broadening the consultation approach; obliging public bodies to consult; and resourcing consultation processes. These are dealt with in turn in the paragraphs below.

Issue 1: Move from the proposed consultation approach to a participation approach (over time) and show we are systematically progressing in that direction; update the existing guidelines through a more inclusive process, over an 8-10 month period.

5. Response: The approach taken in developing the draft Guidelines is fully in accordance with the commitment in the OGP NAP, which was to

“Review national and international practice to develop revised principles / code for public engagement/consultation with citizens, civil society and others by public bodies”.

In addition, a substantial number of the submissions received welcome the production of new Guidelines.

6. The development of revised draft Guidelines recognises that there has been a substantial change in context since the 2005 Guidelines were developed. The 2005 guidelines were grounded in ‘Better Regulation’ policy and it is not considered possible to build on the social partnership processes and structures that they reference as these are no longer in place. In the revised context of the Open Government Partnership, the draft Guidelines seek to put in place a more up-to-date, structured and more transparent process for the conduct of consultations that is

fully in line with other initiatives to support openness and transparency, in particular the legislation on Freedom of Information and on the Regulation of Lobbying.

7. The 2005 guidelines were aimed primarily at providing guidance for the management of once-off consultation processes and their focus was on process and consultation methods. The new draft guidelines follow international best practice and set out a principles-based approach to public consultation. They recognise that a “one-size-fits-all” approach cannot be applied and the revised guidelines set out the practical issues that need to be considered at each stage of the implementation of the principles (these are also set out in checklist format) rather than setting out setting out explicit processes that must be followed in all cases.

8. One of the three principles set out in the draft Guidelines makes it clear that the opportunity to take part in open consultation should apply at all stages of the policy process:

Government departments and agencies should make systematic efforts to ensure that interested and affected parties have the opportunity to take part in open consultations at all stages of the policy process on significant policy, services and legislative matters: development, implementation, evaluation, and review.

9. Individual organisations in seeking to apply the draft Guidelines, and in considering the scope to deepen the level of the engagement process, must take due account of the fact that Ireland is a representative democracy where public sector bodies are responsible primarily either directly or indirectly to the Minister or the Oireachtas, in line with their remit. Text has been added to the draft guidelines to clarify that while the decisions of the public body should be informed by consultation, with a clear mechanism for considering the views, opinions and concerns of those with a clear interest in the policy in question, the final responsibility for the decision rests with the public body in accordance with its remit.

10. Given that a principles-based approach is being applied, it is not considered necessary to engage in protracted process to add significant further detail to the guidelines. As noted above, revised text has been added to clarify the majority of the issues raised.

Issue 2: Oblige public bodies to consult and respond - this can be done in several ways: through the passing of legislation; reporting through the annual report process; conducting independent reviews and monitoring; providing an obligation to apply a consultation framework such as that provided for under the Aarhus approach.

11. Response: It is not proposed to put the draft guidelines on a statutory footing – instead the draft Guidelines, once approved by Government, will become Government policy and inform consultation processes into the future. The development of legislation to put the guidelines on a statutory footing would be a substantial piece of work, requiring the amendment of existing statutory consultation obligations and processes - for example those required by the Planning Acts. In addition it is not appropriate to apply a one-size-fits-all approach or to oblige consultation in all cases and the application of a statutory framework would likely make consultation processes more unwieldy than the principles-based approach proposed.

12. Some submissions raised concerns that the draft Guidelines references situations where limited or no consultations will be possible, or truncated etc. It should be noted that the draft Guidelines specifically provide that the rationale for the approach taken would be provided in such instances:

“There may be instances where it may be necessary, for reasons such as confidentiality, revenue protection or anti-avoidance measures relating to the tax system, that limited or no

consultations will be possible, and other instances where consultations will necessarily be truncated due to urgency. In such instances, the relevant Department or Agency should explain the rationale for the approach taken.”

13. In relation to the suggestion that compliance with the draft Guidelines should be independently monitored through an annual report process etc, text has been added to the draft guidelines to recommend that a review of the consultation process should be completed and published once the process is completed. It is not considered that an independent review should be carried out as this would add substantially to the time and cost of undertaking consultation processes.

14. In relation to the suggestion that specific references should be made in the draft Guidelines to overarching frameworks (such as the Aarhus approach etc.), it is important to note that officials who have responsibility for particular policy areas will be aware of the full suite of obligations that apply in that policy area, whether required on foot of agreements etc. entered into as a result or membership of international bodies (such as the UN, OECD, Council of Europe and EU for example), imposed by Statute or otherwise required by Government. While additional text has been added to the draft Guidelines to clarify that consultation processes may be determined by such contexts, the draft Guidelines apply a principles-based approach rather than obliging bodies to apply any particular framework. This recognises that a ‘one- size-fits-all’ approach is not practicable - public bodies are not uniform in their structure, size, functions, etc. and they will be required to make pragmatic decisions against the principles to reflect their own responsibilities and the specific circumstances that apply.

15. It should also be noted that the necessity to consider many of the issues referred to in the submissions received is already reflected in the Cabinet Handbook, which assists Ministers and officials in the preparation of matters to be dealt with at Government meetings. The Handbook instructs Government departments to either conduct a Regulatory Impact Analysis (RIA) or to indicate clearly in the Memorandum for Government the impacts of the policy or legislative proposals for the following: North-South, East-West Relations, Employment, Gender Equality, Persons experiencing or at risk of poverty or social exclusion, People with Disabilities, Industry costs, Cost to Exchequer, and Rural communities.

16. In relation to suggestion regarding feedback, the draft Guidelines acknowledge the importance of providing feedback and suggest how that might be done, including setting out the key points raised in submissions made in response to a public consultation process and whether these were taken on board or not. Additional text has been added to the draft Guidelines to address the suggestion that that feedback should be provided following each phase of the engagement process (where there is more than one) and notified to those who made submissions where feasible. The draft Guidelines also note the intention to develop and put in place a central repository for all public consultations. The views received regarding the website will be considered in the context of the development work on its functionality and scope.

Issue 3: Enhance/resource the capacity to engage by citizens, civil society and public bodies; put in place a co-ordinating mechanisms; and ensure that circulation of proposals is appropriate in terms of who is being consulted (need for proactivity, targeting/tailoring, inclusivity, providing adequate time, etc.) and how that should be done (need multiple media, consultation portal, provision of more detail/case studies in the draft Guidelines document).

17. Response: The purpose of the draft Guidelines is to present a set of principles to inform Government departments and other public bodies in carrying out consultation processes relating

to their existing remits. Many public bodies are assigned resources to conduct consultations and to support bodies in responding to consultation processes. Given the ongoing need to focus on programmes and projects that will best support economic recovery, as well as the ongoing necessity to achieve expenditure savings and efficiencies, it is not proposed to assign additional resources for that purpose. It is considered that public bodies should be given an opportunity to acquire a reasonable level of expertise in the direct application of the consultation principles before the case for and against putting in place a central co-ordination/support unit is considered further.

18. In relation to the targeting of consultations, the draft Guidelines are self-explanatory: “Consultation should be targeted at and easily accessible to those with a clear interest in the policy in question. There is no ‘one size fits all’ approach to consultation. The size, type and scope of the consultative process depends on the proposed policy, the type and scale of the potential impacts of the proposal or decision being taken, the number of people or groups affected by them, and where relevant particular requirements of the child and young people and those who may be marginalised or vulnerable.”

An additional appendix (Appendix 1) has been added to the Guidelines which includes text in relation to issues to be considered in identifying stakeholders and methods during the planning phase of the Consultation process.

19. In relation to concerns regarding capture of the public consultation process by commercial interests, the draft Guidelines seek to put in place a more up-to-date, structured and more transparent process for the conduct of consultations that is fully in line with other initiatives to support openness and transparency, in particular the legislation on Freedom of Information and on the Regulation of Lobbying.

20. In relation to the time that should be allowed for consultations, the draft Guidelines provide that there is no set formula for establishing the right length. A small text change has been made to the existing text as highlighted below to make that clearer:

“The amount of time required for a consultation will depend on the specifics of the proposal, its objectives and complexity, its likely impact, and the diversity and number of interested parties. Consultation should not make unreasonable demands of people being consulted or assume that they have unlimited time to devote to the consultation process. Consultations should take place over a reasonable period of time, so that participants have sufficient time to submit their views. Sufficient time should be allowed for all relevant stakeholders to become informed, examine the issues, debate/dialogue/consult within their organizations, and develop a response. Officials should be cognisant of the burden that the whole of government may be placing on stakeholder groups. However, if it is necessary to consider a proposal promptly, some limitations on the timing and length of consultation may be unavoidable. Depending on the significance of the proposal, a consultation process would ordinarily be expected to vary from 2 to 12 weeks, however the length of a consultation should be decided on a case-by-case basis; there is no set formula for establishing the right length.”

21. The draft Guidelines note that consultation can take a variety of forms and an appendix has now

been added to provide details in relation to the main options available. This appendix notes the importance of using Plain English and that online consultation using surveys can represent a narrowing of consultation in some cases.

22. In relation to providing further details of best practice etc., Appendix 1 provides further detail on

the issues to be considered at each stage of the consultation process and Appendix 2 provides

details of awareness raising and consultation methods, which notes the role of the PPN’s. In addition, text has been added to the Guidelines to note the importance of reviewing each consultation process at its conclusion, to identify the lessons learned and how they will inform future processes. As consultation processes are rolled out and reviewed etc. it is intended that the outcomes will be made public on an ongoing basis. This will provide other public bodies with information on what worked well or needed to be improved and will help inform the approaches they might consider applying.

Government Reform UnitMay 2016

Appendix 1

List of those who made submissions

1. John Player. 2. NALA3. Environmental Pillar4. Shedd-WEC5. Citizen Information Board6. Eirgrid plc7. Centre for Cross-border Studies8. Chris McInerney and Cian Finn, UL 9. Vanessa Liston 10. Irish Medical Organisation11. Shane Waring12. Rosemarie Webb 13. St Anthony’s Community Development Initiative 14. Tara Skryne Preservation Group: 15. Direct Democracy Ireland 16. Mayo Community Engagement Network17. Monkstown, Passage Branch of CHASE18. Social Justice Ireland19. St Vincent de Paul20. Ballyfermot Chapelizod Partnership21. Community Workers’ Co-operative (CWC) 22. Jeff Agar23. Professional Insurance Brokers Association Ltd24. Hedge Laying Association of Ireland 25. Martin Hawkes 26. Billy Coman27. Chris Chapman28. Lucy Weir29. Una Ruddock30. Aileen Gleeson31. Irish Wind Energy Association (IWEA) 32. Dublin Bus33. Commissioner of Irish Lights34. Anne Colgan35. St Patrick’s Cathedral36. A O Brien and Murray Scott NUIG37. Irish Heart Foundation38. Brendan Donohoe39. The Wheel40. Theresa O’Donohoe 41. Second Republic42. Birdwatch Ireland43. FLAC44. PaulPartnership 45. Justin Byrne46. National Women’s Council of Ireland 47. Conradh na Gaelige

48. Irish Small to Medium Enterprises49. Tom Jordan50. Maurice O’Connor

Appendix 2

Views received on foot of Public Consultation Process

A: The “Reaching Out” Guidelines of 2006 should be improved and built on rather than replaced – want this to be done in a broadly consultative process over an 8-10 month period

Specific Views Consultation process should build on 2006 Guidelines (they should have been reviewed for their

effectiveness and the extent to which capacity issues were addressed should be examined). #3 Not clear why the previous framework is being replaced and not built on. There is no evidence of

a review of previous principles - what worked, what is no longer appropriate; no evidence that more effective consultation will be progressively realised or what supports structures and skills will be required to do so. #19

Guidelines should build on the "Reaching Out" guidelines, which were more supportive of engagement in policy making and better help deepen the quantity and quality of engagement #39

Should replace the existing approach with an 8-10 month process to up-date the existing guidelines, focussing on what worked well in the application of the existing guidelines, analysing the experience of consultation / engagement since 2005, and taking account of major developments in social media and digital communication technology. #39

Guidelines should build on and improve the "Reaching Out" guidelines, #43

B: Need to move from consultation approach (at minimal end of spectrum) to participation approach (maximum end) and to show we are systematically progressing in that direction

Specific Views The Guidelines focus on consultation more so than on participation and they should encourage

movement towards deliberative and co-governance innovations. Where engagement is at lower levels, this should be done in a way that is inclusive, empowering and demonstrates a capacity to listen. #8

Not clear what kind of relationship with the citizen that the State envisages. Language used needs to be more empowering and enabling and Guidelines should set out how consultations will be enriched #19

Review should aim to deepen participation in policymaking by citizens and communities - in line with OGP principles. #39

Welcome several initiatives including by DCYA, DSP and the National Economic Dialogue but concerned that consultation at this level and depth is infrequent #19 Guidelines need to be clear on the distinction between consultation and participation - the

latter implies user involvement in the definition of the needs and in the planning, management and delivery of services and that needs to change with reference to information available and peoples experience and expectations. #5

Need to move to a system-based view of consultation: consultation should have a positive impact on citizens, enhance social learning, promote a culture of dialogue and trust in public institutions, and lead to innovations that can be applied in other social or institutional decision-making contexts. #9

Concerned that the guidelines are seeking to rationalise the consultation approach at the expense of engagement #19

Managing expectation and understanding the scope and limitations of consultation boundaries is important - raising expectations and failing to meet these will have the effect of disempowering citizens. #20

The adoption of a real culture of change is required at the heart of government and public institutions. The extent and scope of public lobbing bodies and advocacy agencies could be seen as a failure of the state to listen and respond the needs of citizens - particularly in more marginalised and disadvantaged communities and target groups whose voice is generally silent. #20

The status and tone of the Guidelines: The status of the Guidelines needs to be made clear. The tone of the Guidelines needs to be more assertive in support of the right of the public to have a say on crucial issues that affect them. #34

Provide clear, open and accessible procedures for civil society participation at all stages of policy-making, particularly at the decision-making stage. #43

The status of the guidance document needs to be enhanced - concerned that the power to decide with whom and how to consult may be decided without recourse to other stakeholders. #21

The term "citizen" should be replaced by "public". The guidance should apply to all public authorities. The word "consultation" should be replaced by "participation". #3

There should be a mechanism to allow for the challenge or review of a particular consultation approach or timeframe and the qualitative differences in different forms of consultation should be recognised, with an explicit objective that the highest quality engagement and most participative approach possible should be sought with a strong rationale required if that cannot be achieved. #46

Legislation and the modernisation of the Constitution should be implemented directly by the people, as is done in other countries. #15

Citizen engagement in translating the political agenda into public policy and in how public funds are allocated is a challenging ambition. This will require some devolution of responsibility to the citizen - public service customer charters will not be enough. #20

There is no legitimacy in a consultation with a handful of responses. The expected number of responses should be indicated up front and if less that number is received, re-run the consultation process. #45

The document needs to be more explicit about the bodies that will be subject to the guidance; #21

Apply a weighted test to determine where consultation is necessary (how many are affected, what is the severity of the impact and is the issue controversial) #22

C: Need to specifically reference overarching frameworks and principles as well as exemplars of best practice: such as Denmark, Scotland, Australia and New Zealand; Aarhus Convention; UN Rights and Frameworks such as CEDAW, ICCR and Sustainable Development Goals; Strategic Environmental Awareness Process; Monaghan Model; EU Directives; National Women’s Strategy; Social Impact Assessments; Wellbeing Framework proposed for Northern Ireland; County Development Plans; Health; Poverty; Equality; Gender; Subsidiarity; International Human Rights; Community Development principles; Budgetary processes; Irish Language

Specific views Recognise the Council of Europe's good practice code for civil participation and set a target for

participation at national and local level to reach the Partnership level identified in that code. #18 "Forms of Communication” needs to be further developed with more detailed practical

examples of what public consultation looks like in different contexts/scenarios. It should include more specific and tangible recommendations on what actions to take at various stages of the process. Examples of more detailed frameworks from New Zealand, Australia, and Scotland outlining effective consultation mechanisms/guidelines should be referenced. #44

Need to apply the "Monaghan Model" - Guide to Good Practice in Community Consultation. This will ensure that the consultation process in inclusive, consistent and transparent at all stages. . #4

The baseline for all decisions should be based on the foundation of sustainable development, to ensure that natural resources are not exhausted. #4

Legislative footprint should be set within a policy context that encompasses a national outcomes framework (such as the Wellbeing Framework proposed by the Carnegie Roundtable in Northern Ireland) to help avoid assessment of policies in isolation. #7

Health should feature as a policy consideration during all public consultations #10 Directives should include obligation to conduct poverty, equality and human rights impact

assessments #13 Ensure that human rights principles underpin the guidance document. #43 Guidelines on meaningful consultation should be issued as directives and subsequently put on a

statutory footing - similar to "public duty" obligations under IHREC legislation #13 Need to adopt community development principles: participation, capacity building, local

decision making, meaningful engagement, feedback, are all key components for successful consultation frameworks #20

The rules of engagement cannot be prescribed for every civic engagement opportunity, but a common set of principles should apply. #8

Need to apply the principle of subsidiarity #20 Need to build in a process to address the increasing influence of the EU and its institutions in

framing budgets controls and setting policy agenda for member states. #20 The principles outlined in this document are implementable where significant change is

occurring and does not impact on an organisations ability to effect its work in an efficient manner, in particular on regular systems of work. #32

The Strategic Environmental Awareness Process (SEA) should be followed in relation to giving feedback. This approach should be provided for in legislation. #42

Consultation process should take account of Aarhus Convention's Recommendation on participation in environmental decision-making #3

Additional principles should be inserted. In line with Aarhus process, public authorities must provide proactive information on an ongoing basis and on request. Public should have right to comment on and have due account taken of them at early stage of process while options are still open. #3

Guidelines must take account of the Aarhus convention which outlines what should be done in a public consultation and constitutes a legal requirement. It applies a rights-based approach: the right to know; the right to participate and the right of access to justice. #39

The Aarhus Convention process and principles should be applied to all consultations. Consultation should be commenced early in process, before options are reduced and continued until the final decision are made. #45

Guidelines need widen international comparison and references - include examples from Scotland and Denmark as well as UN Rights and Frameworks such CEDAW, ICCR and the Sustainable Development Goals; include references to National Women's Strategy and Europe 2020 national anti-poverty targets. #46

Gender proofing needs to be explicitly recognised and supported in the Guidelines and the National Women's Strategy and Action Plan for Women should be used as a key reference in policy development. Consideration should be given to equality proofing and guidance given on measures to support a wider diversity of participation #46

Guidelines will need further development and consultation. In addition to references to the RIA, they should also reference Social Impact Assessments, Poverty Proofing and Gender mainstreaming as well as the Public Service Duty for Equality and Human Rights #46

Guidelines need to be ambitious and set targets if they are to have impact. Budgetary processes should be comprised by them. #46

Information about consultation processes should be available bilingually from the start of the consultation period. People who want the information through Irish and to participate in the process through Irish should have a translated version in Irish available, or they should be able to ask the body for an Irish version - where this is absent, it adds to delays in the preparation of submissions. #47

Ensure that public officials take into account the State’s international human rights obligations when deciding whether or not to consult with civil society and other relevant stakeholders. #43

D: Need to underpin in law the requirement to consult and respond. Need to restrict the use of confidentiality or to clearly explain why a policy is not consulted on. Need to review and independently monitor the implementation of the Guidelines.

Specific Views Principles will not change practice unless people are directed to behave in a particular way

(enforcement) and given the capacity and support to do so #3 Level of adherence to the guidelines should be subject to continuous monitoring and jointly

evaluated by civil society and the public body; consideration may also need to be given to putting them on a statutory footing #7

Guidelines should be part of legislative framework, to allow people to raise issues and to ensure that these are dealt with #14

Stakeholders affected by a planning application being made by a state body should be consulted before the planning permission is applied for. #17

If an application for an infrastructural development is rejected, citizens shouldn't have to go through a full consultation process again on an amended application. #17

In planning applications, site selection should be dealt with first. #17 If government fails to consult, citizen has the right to legal recourse. #19 Would suggest that the guidelines be given legal force. #21 If consultation is genuine, the process of consultation will follow - the emphasis needs to be put

on establishing the foundations and the rules governing processes of engagement and consultation; #21

Need to ensure the principles are fulfilled to the letter and the spirit and the guidelines should have legal force. #24

Require all Government Departments and public bodies to formally sign up to the principles and demonstrate their use in practice. #37

The guidelines need a section on compliance - no indication how accountability is provided #42 Place the guidance on a statutory footing. #43 Citizen consultation/engagement needs to be more clearly defined: how is citizen defined; is it

the legal definition of citizen; who/what are stakeholders; how is ‘consultation’ defined; how is ‘engagement’ defined? #44

Compliance has to be part of the consultation process - there should be defined penalties for failure to comply and an administrative review of the process by e.g. OCEI. #45

Could develop mechanism to allow stakeholders to report those who do not meet standards recommended in the Guidelines. #1

There needs to be a genuine willingness to consider the results of consultations. #45 The Guidelines should provide an onus on officials to consult on new policy initiatives and to

justify any decision not to consult. #34 To ensure accountability, an annual report should be published outlining the nature and number

of consultations undertaken, tracking progress on the quality of consultation. Two way

engagement could be strengthened by allowing the public to call for or initiate public consultation on a key policy area. #46

Guidelines should include provision that "the publication of policy of proposals and seeking of views from the public is a specific requirement of public transparency that cannot be waived or circumvented by any other form of consultation that might take place" #46

Findings of consultation processes should be substantiated, and an independent arbitrator should be able to examine decisions made to ensure they are based on facts #14

Confidentiality: Guidelines should set out when confidentiality agreements should be put in place, what level of justification and evaluation of the public interest should be applied, what level of scrutiny and accountability should be applied to prevent abuse. #3

The Guidelines should ensure that the efficiency of the consultation process is balanced by its effectiveness and checked against the delivery of effective and efficient outcomes. #46

The use of confidentiality to limit or truncate consultation should be very exceptional and the rationale for them explained. #7

It is not clear when decisions on confidentiality will be made and what level of scrutiny will be applied to these to prevent abuse. #42

There is a requirement to move from "tick box" exercises to meaningful participation; there should be a process to evaluate compliance and efficacy of consultations; there should be an incentive/requirement to comply with the principles. The Guidelines should have a section on compliance and the public should have recourse when consultations are not held in a constructive manner, at little or no cost. #3

Ensure there is real and effective monitoring and impact assessment of policy implementation using an evidence-based approach. Involve a wide range of perspectives in the process #18

Introduce systematic human rights and equality impact assessments of policy measures in all Government departments, particularly in the budgetary process. #43

There should be an appeals process established where concerns over particular consultations can be raised and investigated independently. #24

Monitoring and complaints mechanism is a prerequisite to ensuring that this guidance will have a positive impact. #21

Independent evaluation of consultations should be conducted, at least on a sample basis, to ensure that the Principles & Guidelines are being adhered to. #24

Decisions around public consultations should be documented and freely available; a specific person should be accountable for the public consultation process; the extent to which public participation has been taken into account should be documented. #3

E: Need to include more detail, more guidelines, case studies, best practice, reviews of what worked previously.

Specific Views The guidelines are too high level and unspecific to provide clarity and consistency of approach;

they don't set out complementary training requirements. The checklist approach is too inadequate for those with little experience and redundant for those with good experience. There is a need for guidelines, case studies, suggestions of alternative approaches. #3

This Guideline could be supported by examples of both good and poor practice #34 Develop guidelines and tools to operationalise the use of the principles in practice. #37 It is not evident from the draft document how and where this review of international experience

is reflected in the draft principles. The document would benefit from including specific (referenced) examples of good practice/literature/documents from other countries. #44

Review should identify and describe existing good practice in government departments so that these can be learned from and used as a resource. #39

Guidelines need to be more robust and more widely framed - they need to: include an audit of level and form of public consultations currently taking place and a qualitative study of the experience and perceptions of those who have contributed; #46.

F: Circulation of Consultations needs to be proactive, targeted to experts as appropriate, open, fully inclusive, tailored to the needs of the hard to reach. Need to avoid capture by vested interests.

Specific Views Fair and equitable access should be provided to all stakeholders to participate in the

development and implementation of public policy #1 The application of a proactive participation model is required to ensure that account is taken of

the level of awareness of the audience being targeted. #40 Publicising opportunities for the public to have a say: Guidelines should be stronger and clearer

about the need for public bodies to invest both effort and money in bringing important consultations to the attention of the public. #34

DPER should continue to use Plain English for the information it presents to the public #2 Issues being raised in consultation process should be clearly set out up front, at beginning of the

process and documents etc. should be easily understandable to all #14 Develop a process of social dialogue involving all - not just some - sectors of Irish society #18 A focused abstract/background paragraph to a consultation is very important. #33 It should be possible to view the questions in online questionnaires before commencing on

reply, to allow people plan responses and gauge time to respond. #3 It is important to develop a participatory approach which targets comparatively disadvantaged

groups and captures the perspectives of people who may be hard to reach. #5 Eirgrid has recently published a document which focusses on delivering 12 commitments to

improve consultation and engagement processes with external bodies and specific documents responding to concerns of key industries such as agriculture, equine and tourism. #6

Consultation process must address requirements of diverse interests; views must be widely sought and catered for #7

Welcomes the Guidelines and agrees that consultations should be targeted at particularly relevant groups but it is vital to maintain a public element to all consultations. #48

Consultations processes should be "open" and have a broad scope. They should include citizens or intended end-users; avoid reliance on networks of practitioners, academics and experts; and ensure citizens involvement in all stages of the policy process. #7

A clear communicative structure should exist to allow dialogue between public bodies and contributors #10

Apply these principles at local as well as national level: should guide the engagement of LA's within the PPN's #18

Consultations need to identify relevant sectors and contact their representative bodies. #19 Consultation mechanisms have to be planned and the elements of the consultation plan should

be communicated widely, appropriate methods of consultation need to be negotiated with communities and representative organisations, #21

The onus should be on the public body to ensure that consultation mechanisms are appropriate and adequate and not on communities and community organisations to respond to unrealistic deadlines; #21

Guidelines should clarify what is meant by "balance of views" and supplement it with a commitment to "ensure gender equality and diversity are represented within the participation process". #46

It would be beneficial in certain circumstances (e.g. matters involving regulatory policy) to have a pre-consultation meeting with relevant stakeholders; this would help identify pertinent areas for consultation and discussion and narrow the focus to the main issues at hand. #23

A structured consultation may be appropriate at the early stages of the process (think tank, brainstorming, or specialists) #38

In consultations, there should be demonstrable good faith by all; should deal with the substantive issue; take place before the decision has been made; and be balanced to take account of a wide variety of views. #22

Suggest that consultation processes should invite solutions as well as comments #30 It is necessary in the design stage to determine the expected or ideal outcome of consultation

and good communication is vital to ensure no mismatch of expectations between consulters and consultees. #30

Direct engagement with the public and key stakeholders is vital. #31 Suggest that there should be a clear role for relevant sectoral stakeholders within consultation

processes to provide sectoral expertise and key insights #31 Support and agree with the draft principles/ guidance and welcome the new principles as a

positive step forward. Targeted consultation is necessary. #33 Important to proactively ensure that representative agencies and individuals in the community

are consulted and ensure that timing provided is adequate to facilitate this #35 Need to ensure that marginalised voices are heard and their views are incorporated - need to

supplement written consultation with community forums, public meetings and stakeholder engagement. #35

Ensure that marginalised, or hard-to-reach groups are actively included in consultations. #37 Prioritise the use of open, public consultation as the primary means of consultation #37 It is important to ensure that those most directly affected by a proposal are advised about the

proposal and have an opportunity to make an input to it. Guidelines do not set out how this would be done. #38

Ensure that all those who are directly affected by a policy decision, particularly vulnerable and marginalised groups, as well as those advocating on their behalf, are afforded the opportunity to meaningfully engage in consultations. #43

Important to tailor the consultation process to ensure it is understood, to give adequate time for people to respond and to recognise the resources required in terms of time etc. for them to do so. #38

Clear and transparent processes of consultation must be developed #21 Minutes of meetings with stakeholders should be published on public body's website #1 Ensure that vested commercial interests cannot capture the public consultation process #37 Meetings between private groups and public stakeholders should be registered and conflicts of

interests declared up front #14

G: Timing needs to be adequate to allow people the opportunity to consider the issues, consult among themselves and prepare thorough responses

Specific Views Set timelines for public consultations should be recommended #1 Sufficient time and resources should be allocated to ensure a high quality and effective

consultation process which achieves genuine and widespread citizen engagement #7 Guidelines need to be further developed: time allocated should be sufficient to ensure decision

makers have time to read all submissions and form a judgement; should include the option of a deliberative meeting between consultees and the decision makers after submissions are made and before the decision is made; remove the ban on recording devices at local authority meetings; use Q-methodology to identify all the perspectives that should be part of the consultation. #9

Timeframe for making submissions must be generous #10

Timeframe for making submissions must be generous, and holiday periods etc. taken account of. An early warning system should be put in place to allow public time to prepare in advance and process and timing for consultation should be set out up front. #3

Citizen participation requires timely and accessible information and an adequate time to respond to proposals #17

Consultations should give adequate time for responses and take account of holiday times etc. Two months is a more reasonable minimum than two weeks. #19

It is important that realistic timelines are given in order to allow contributors to reflect on the policies which are been put forward and to carry out research in order to be able to make a meaningful submission. #23

Tight timelines can exclude all but strong well-resourced organisations - the suggested timelines of 2-12 weeks needs to be reviewed. #34

Extend the minimum consultation period to 6 weeks, except in exceptional circumstances. Time available for responses should be adequate to facilitate same and take account of holiday

periods. An early warnings process should apply re consultation topics so that people have opportunity to prepare responses. It should be possible to view the questions in online questionnaires before commencing on reply, to allow people plan responses and gauge time to respond. #42

Adequate time should be provided to allow consultation processes to happen. Public bodies should input the resources to ensure consultation process works better. #45

It is important to provide adequate time for consultations and the Guidelines should recognise a longer timeframe (than 2-12 weeks) as standard and preferred practice, with explanations given where shorter timeframes are proposed #46

Twelve weeks is suggested as a maximum time for the making of submissions. If a period less that that is being considered, it would be important to ensure that sufficient time is allowed to allow bodies to conduct research and to consult with their membership prior to make submissions -six weeks is the minimum time required. In Australia for example, a minimum period of 30-60 days is recommended. #47

H: Consultation Portal welcome: the fullest possible detail, data, background info should be openly and readily available (and further info available on demand) on an ongoing basis throughout the process

Specific Views The proposed central website should make all documents relating to every stage of policy

development available #7 Public bodies need to enhance comprehensiveness and accuracy of data they make available

#10 Welcome the suggestion of a central website for all public consultations. Suggest that

departments are divided in a logical manner on the website so that users may sign up to automatic alerts for when a new consultation is launched. #33

Need to recognise the importance of using technical media to create communications channels with citizens #36

Makes specific recommendations on putting in place an accessible, engaging and central (one-stop-shop) location for citizens to engage with public consultations #41

Portal should link to background material and record submissions received; these should be available for review and comment by all, as they are received; Open data formats should be used and the source code for the portal should be open source; it should be possible to make "quick inputs” or lengthy reports and it should be possible to share via social media; it should be possible for those making submissions to amend them to take account of views made; #41

Central Portal should cover local authorities and Departments and include assessments conducted under EU Directives. It should be possible to get alerts specific to geographic areas. #42

Ensure that the proposed website for consultations is accessible and user-friendly. #43 Documents provided must be OASIS compliant and data must be Open (fix API's so people can

extract data). #45 The proposed central website is welcome and should also include sample templates, practical

tools to support submissions, and case studies of how consultation has made a difference in the past, as well as linking to the legislative footprints and Annual Report on Consultations #46

Welcome the proposal to create a central repository for consultation processes. This should enable interested parties to get all relevant information easily and provide for relevant links or contact information to enable them to get further information if necessary. This should be available on the site as soon as the consultation period starts. #47

Welcomes the proposal to have a central repository for all consultations - this must be promoted to interest groups and the general public. #48

I: Multiple media and multiple processes should be used to obtain views - e.g. submissions, meetings and townhalls, phone-ins, social media, tactical urbanism, co-design facilitators, theory U, Social Labs, Q methodology etc. Recognise the limitations of ICT and on-line surveys

Specific Views Use practical tools for idea generation and go beyond minimum requirements: idea generation,

participatory budgeting, citizen dialogue, and use of alternative decision making methods such as De Borda Count Method #9

Tactical urbanism, co-design, and design-thinking methodologies should be included among the approaches to be considered to trial, assess and better discuss citywide polices and local changes #11

Emerging active community co-design processes, facilitated by community co-design facilitators, should be included in the methodologies to be applied to changes to the built and natural environment. These include design workshops, learning days and tactical urbanism. #12

Utilise both ICT and on-the-ground methods of consultation #37 When the issue is complex or unpredictable/messy, other practical approaches that generate

innovation, openness and build relationships are needed. In particular two 'state of the art' approaches to working with different kinds of problems in different ways are useful - the U Lab approach and Social Labs. #27

Advocates the use of emerging digital and analogue tools to provide feedback and for citizen auditing #12

"Town hall’ consultation process could provide a model where stakeholders are brought together to discuss issues of importance to their local community, where each are held to account - the inclusion of public bodies and Departments of State in this process is worth examining. #20

In using ICT's, allow facility to record a broad range of comments and ideas #22 The process should be defined and documented at the outset and the checklist of actions should

follow that rather than drive it. #22 Online tools can represent a narrowing of consultation in some cases and the use of these and

questionnaires should always incorporate space for additional comment. #46 The limitations of certain survey tools (e.g. Survey Monkey, which can be severely limiting on the

opportunity to give a viewpoint) should be mentioned in the guidelines #34 Where a person makes a contribution via survey monkey for example, they should be able to get

a record of that to share as they consider necessary. Online availability of material is necessary but not the only channel of communication. #19

Submissions made should be publicly available, immediately. Where online questionnaires are completed, the answers should be saved and copied to the person making the submission. #42

There should be an ongoing commitment in Government and public bodies to examine innovative methods and means of ensuring more active participation; that the quiet voices are heard (an ICT only approach will not facilitate this). There is a real challenge here for consulters to ensure balanced input. #24

Seeking multiplicity of perspectives can only enhance decision making. Re ‘what to consult on’ - a useful framework is in the work of Cynefin. #25

Public bodies need to be willing to deploy state-of- the art methodologies as the situation requires - public bodies should be ready to work with practitioners/facilitators familiar with Art of Hosting methodologies as well as Theory U, Social Labs and Transformative Scenario Planning as the situation/context requires #25

To ensure meaningful consultation, it is necessary to include a specific strategy for citizens and communities, who experience exclusion. This includes advance notification to community development organisations; having specified duties for elected representatives; using local radio; and providing appropriate information for discussion in the school curriculum. #29

High quality information is the key to high quality consultation: Information should be given in a way that people can follow and understand. It is the responsibility of the public service to invest in making technical matters accessible. Otherwise matters that are clearly of public interest are confined to ‘experts’. #34

Important to create a participation base: use a communication campaign to target those most interested and involved and broaden out to all; utilise information already held by state bodies and frontline workers. #36

Public bodies should draw up a list and consult with lobbying or advocacy groups or experts that have specialised expertise in an area or who act in a representative capacity on particular issues. Conradh na Gaeilge have been appointed by Foras na Gaeilge to improve communications and services in Irish for the country as a whole and they, together with other Irish groups who indicate an interest, should be consulted in relation in relation to proposals ain that regard. #47

Herbicide use is excessive in some areas and the consequences of use is detrimental. People should be consulted on whether they want areas near their homes sprayed with herbicides. #49

In addition to submissions, alternative mechanisms for providing input should be provided for, such as on line surveys and public meetings. #47

Welcomes Guidelines. Can be difficult to know what consultation processes are ongoing and this can make it difficult for groups or individuals to allocate time to prepare submissions or to participate in consultation processes in an efficient way. #47

Existing consultation processes haven't yielded action plans and don’t take account of the input of those involved or clearly reflect the extent which that was done in the majority of cases; many consultation processes have been centrally driven and controlled, the inputs made are not generally available or the impact of them is not always clear. #40

Important to ensure that there is organic engagement with individuals and groups - not solely a focus on the requirements of the service provider #5

Important to use Plain English, optimise the role of social media and cater for those who are not ICT literate or who do not have access to the internet. #5

J: Suggestions on enhancing and resourcing the capacity to engage, in respect of both public bodies and the general public and representative bodies. Need to use Plain English

Specific Views Agreement on the Guidelines should be accompanied by an implementation plan to improve

government departmental practice in consultation, including the specification of the resources to support the structures and skills necessary for implementation #39

Training in consultation with individuals and representative groups is required for departments and for frontline statutory agency personnel to maximise engagement with the public. #5

NGOs need to enhance their potential to respond effectively to consultation opportunities and should be resourced accordingly #5

Existing flaws in the current engagement process can be overcome if those managing and supporting civic engagement have appropriate knowledge and skill and a belief in the value of participation #8

Barriers to participation including the well documented barriers preventing the participation of women must be identified and addressed and supports (including childcare/social care and disability supports) put in place to ensure maximum participation of those whose voices are frequently absent, #21

Concerned that operational capacity is not addressed in the Guidelines#8 To ensure equal participation by a variety of groups, marginalised and inadequately resourced

communities and groups must be facilitated and supported in policy making processes. All voices and views must be heard and not negatively judged because of how they are expressed #8

Implementation will require the putting in place of specialist capacity and support and to develop the capacity to monitor the design and operation of the rules of engagement at national and local level. #8

There is a requirement to build the capacity of communities and the skills of public officials and elected representatives to participate in this process. Participation costs need to be factored in. #20

Important to view civil society as a resource that can add value at each stage of the policy design and implementation process, rather than a burden to be accommodated. #36

A one size fits all process will not support the engagement of public discourse or enable the participation of diverse communities. #20

Need to build awareness of officials to appreciate the importance of stakeholder engagement, build their capacity to engage and ensure their commitment to do so #21

Gender proofing also requires recognition of the obstacles to participation. #46 The systems to become involved in, or participate in, public debates and decisions on policy and

strategy are obscure, and are not negotiable by the average citizen. As such it is extremely difficult to influence decision making. #28

Broadening access to consultation: This matter deserves a separate and more detailed section, highlighting the need to make sure that steps are taken to include everyone who should be included. This will mean, for example, making sure that people with communication disabilities, or children, or older people who may not have access to technology, or marginalised groups, or people with poor levels of literacy, can take part in the consultation. Making sure the consultation is inclusive will mean time, cost and detailed planning. #34

Work with citizens to embed engagement within the broader context of government organisations. This requires government to provide the tools to enable citizens to create public value. It must also be clear where the outcomes of facilitation fit into policy process #36

Undertake awareness-raising and capacity-building measures to ensure that all those who are directly affected by a policy decision, or those advocating on their behalf, can engage in the policy development process. #43

Capacity building is crucial to ensuring meaningful participation. it is essential that the right to an autonomous critical voice is not compromised by funding fears; there is an urgent need for reinvestment and target resources for advocacy and grassroots engagement; need to build capacity of public servants to engage in consultation and provide training in outreach, gender sensitive engagement, Plain English, unconscious bias and gender mainstreaming methodologies. Also need to support participation through providing students in school system with skills and opportunities to share views on local issues #46

To support wider participation consideration should be given to measures such as childcare, engagement with stakeholders in their own area, allowing phone-in submissions. #46

The three pillars of social inclusion, environment and community and voluntary should be equally represented in decision making. The PPNs are an ideal mechanism for the flow of information to the community and consultation with these must be meaningful. There must be leadership and commitment to make this happen. #4

Need also to promote community capacity building and meaningful communication with stakeholders. #4

K: Suggestions of the use of co-ordinating mechanisms (centralised public sector expertise/fora, PPN’s, local authority fora etc.) to facilitate consultations and to provide expertise and the need to provide supports to specific groups, communities and individuals to assist them to engageSpecific Views Adequately resource the PPN structures for citizen engagement at local level and ensure

capacity building is an integral part of the process #18 The PPN (Public Participation Network) platform should be used for consultation processes #26 Appointment of a consultation co-ordinator (or a network of these) should be considered: could

share best practice and help avoid duplication. #30 Need ongoing forums of discussion on key policy areas to foster social learning and build

relationships, constructively identify issues and develop appropriate policy responses. #30 A sense of community should be designed into the participation process - through on-line

communities, use of social media, and virtual communities. Creating a shared identity and providing good feedback play key roles in this process. #36

Government needs to put appropriate infrastructure in place to enable citizens to participate; this would assist in bridging the disconnect between citizens and the public service. Need intermediary bodies at local and central level to oversee participation, ensure it is appropriately tailored, and ensure upskilling of those involved and providing information and expertise where necessary. #40

The PPN structure could be adapted to cater for these suggestions. PPNs need to be autonomous, put on a long-term sustainable basis and adequately supported and resourced: Staff must be trained in community engagement to liaise with the PPN; time should be allocated to building working relationships; a separate website with links to individual PPN's should be put in place. #40

Identify a focal point within each Government department and other relevant public bodies who will assume responsibility for liaising with civil society and other relevant stakeholders. #43

Additional mechanisms are needed at local level to allow people to channel views and experiences. #5

Supporting the Guidelines: Departments and agencies need to build capacity in public consultation; they need to set aside both time and budget for this work. Ongoing advice and practice guidance should be available from the Department of Public Expenditure and Reform and consideration given to a specialist unit within the Department in the area of citizen participation. #34

The Guidelines should propose that officials will, as part of planning, work with communities or others with knowledge of how best to access particular groups, so as to ensure that the tools used are appropriate. This planning task is an essential way of ensuring effective access. #34

Engagement could be improved by the setting up of the role of Community Information Officer at county level as a central point of information and to liaise with companies and public bodies. #4

Need to legitimise, advise and incentivise consultation process. #8 Legitimise: Need to develop a comprehensive national quality framework to inform best quality

in participation, to be done by a specially convened national monitoring committee, drawn from

the public service, civil society and higher educational institutes; in parallel there should be local participation committees to monitor and comment on the quality of the civic engagement process #8

Advise: Civic engagement units should be set up in government departments to support public participation processes; partnerships could be developed with academic institutions for this purpose; similar units should be set up for clusters of local authorities; national support should be given for training and the development of a curriculum designed to support public participation ethos and capacity; #8

Incentivise: individual champions should be rewarded within existing performance measurement processes; institutions should encouraged financially to champion public participation #8

There needs to be a stronger focus on the local level and a reconnecting of local government with citizens. The PPNs have a key role in this, but needs to address some inherent flaws. #8

Important to optimise the role of the community and voluntary sector as a bridge between the citizen and the State while enhancing the role of the individual citizen. Important also to use and data collected through CIB service delivery partners more widely. . #5

Guidelines should include provision for: review and evaluation of consultations for continuous improvement in collaboration with citizens and stakeholders; ongoing professional development of relevant staff in consulting bodies in the skills of facilitation and public consultation. #9

L: The importance of feedback and the need for ongoing, iterative, opportunities to respond to the outcome of consultation process as they progress

Specific Views Need to move away from 2-way information flows and open up all data generated during a

consultation: publish submissions electronically on receipt, in a format legible on mobile devices; provide a facility to submit different types of data and information, including video and maps; facilitate citizens and groups to share consultation and electronically published submissions on social media #9

All submissions should be published as appendices to consultation reports #10 Summarisation of feedback should be conducted independently, to avoid bias. #24 Managing feedback and informing the public about outcomes: The report on the consultation

feedback should always be available. In the case of a sensitive consultation, an independent analysis of the feedback should be considered. Feedback reports should be available before the policy decision is made. #34

Need for impartial record of non-written consultation processes. #35 Feedback reinforces sense of political efficacy, trust and feelings of citizenship and makes people

more likely to participate and co-create value in the future #36 Provide fulsome feedback on consultations and document how consultations have impacted on

decision-making #37 Feedback should be further developed to explicitly illustrate the transparent mechanism/loop by

which views are sought; fed into policy development; and then communicated back to show how these views impacted/did not impact on policy development. #44

Effective and meaningful consultation is about asking for opinions and also about acting on that feedback, even if that means changing the direction/content of a particular policy stance. Policy makers must be willing to not just listen but to act on an alternative view point. #44

The main points of submissions should be summarised and the response to each noted. #45 Ongoing engagement and follow up are essential parts of the feedback process and those

making submissions will be frustrated if their contribution is neither acknowledged nor reflected in the final document. The final report should issue to all who made a submission and they should be able to request and explanation as to why their suggestions were not reflected, as well as getting an explanation as to why a significant change in policy occurred. Where focus groups

and other fora are uses, these should also be informed of the decisions arising from their inputs. #46

Consultation needs to be an ongoing process and is important in the monitoring of implementation of policies. Citizens should have the opportunity to influence decisions, post implementation. #46

Specifically the Guidelines should: indicate a willingness to respond to requests for consultation on an aspect of policy area; identify relationships and obligations of public bodies in identifying relevant context and commitments and providing relevant data sources. #46;

Feedback should be provided to allow those who made submissions to see the impact of the submissions they made and to allow them to learn about the policy. The proposal on statutory footprints is welcomed in this context. There should be an ongoing opportunity to make inputs following the initial consultation phase and to respond to any redraft of proposals following the initial phase. #47

All submissions, and all individual responses should be acknowledged and made public in a timely manner, and the feedback on all submissions should make it clear whether or not that submission has been fully accepted, partially accepted, or rejected, with accompanying reasons in each case. #50

The consultation processes should be sufficiently flexible to allow those who made submissions to review other submissions made to make further submissions in response. #47

Needs to be clear how a statutory body engaged with the issues made in submissions by citizens. #19

There should be an imperative on public bodies to provide feedback and an explanation for decisions; #21

Need to feedback to consultees and explain why certain policies were pursued and others were not #19

When the consultation period is over, a reply should be given to each submission made indicating how their input was used i.e. which elements are likely to impact on the policy or service delivery #41

Directives should include obligation to publish reports on public body website within limited time period and a copy issued to those who engaged in the consultation process #13

Government Reform UnitMay 2016