Week 11- Consulting with Stakeholders

Question 1

Why is determining who can participate in the policy process not politically neutral?

Answer 1

• Not everyone with an interest in a policy issue will be granted a seat at the table, and even if they are, they will find that not all seats are weighted equally

Question 2

What are legitimate expectations of a democracy?

Answer 2

• It is a legitimate expectation that a well-functioning democracy will ‘grant citizens the right to be consulted between elections about the work of government’
• The questions of who to consult, and how to weight conflicting views on a policy question is a matter of judgement to be determined by the various groups of policy actors
• It is crucial for governments that are seeking to develop the best policy to engage with a range of opinions, however how these opinions are sought and from whom is a contested issue

Question 3

List the (4) values used by the Democratic Audit of Australia as the basis of assessment

Answer 3

1. Political equality
2. Popular control of government
3. Civil liberties and human rights
4. The quality of public deliberation

Question 4

Outline what the quality of public deliberation entails

Answer 4

• Stresses importance to democratic legitimacy of public debate that is inclusive of different perspectives, particularly those of previously excluded citizens (and hopefully non citizens)
• Debate should be informed by diverse sources of information
• Deliberative democracy value entails a commitment to a process of public reasoning and non-manipulative dialogue as a defining feature of democracy

Question 5

What is the importance of NGOs in a deliberative approach?

Answer 5

• A deliberative approach suggests the importance of community based peak bodies or advocacy organisations as forums for deliberation that enable new perspectives to be included in public debate and policy development
• With public support, NGOs are able to build expertise in consulting hard to reach groups and in the substantive policy issues that affect them

Question 6

How do those with a majoritarian view of democracy view NGOs?

Answer 6

• Those who take a more majoritarian or populist view of democracy distrust the role of such intermediary institutions argue that they should not have privileged access to government or parliamentary enquiries
• They see democratic values as being better served by more direct forms of consultation with citizens, including citizen initiated referenda

Question 7

Why does the government consult?

Answer 7

• Ethical and practical reasons
• ‘In a better position to explain and justify their decisions’ (practical dimension) and governments that choose to open up policy debates hold stronger ‘democratic credentials’ (ethical dimension)
• Democratic accountability is enhanced in an environment where ‘the policy process is seen as needing the input of all those who contribute to making it happen’
• Consultative governments can show themselves to be ‘open and trustworthy’, enhancing government legitimacy and creating a stronger democracy
• Can also provide one form of evidence needed to support an ‘evidence-based’ approach to policy

Question 8

Outline themes to support creation of opportunities for public participation in the policy process

Answer 8

• Ideological justifications, which suggest that in a democratic society all citizens can and should join in determining how they will be governed
• Cognitive justifications, which suggest that policy problems are complex and cannot be adequately understood unless those affected are involved both in defining the problem and in developing responses
• Tactical justifications, which suggest that stakeholders will be more likely to accept a policy decision if they were involved in framing and developing it
• Functional justifications, which suggest that policy will be more effective if it is ‘owned’ by a wide range of people, not just government officials
• Developmental justifications, which suggest that the promotion of a more collaborative form of governing through participation and consultation will do more to increase the capacity to govern than command-and-control models

Question 9

What is participatory governance about?

Answer 9

• Collaborative relationships; specifically about the role of non-government players, beyond delivering services to a role in the policy development process
• It requires structures and arrangements which support effective relationships across public, private and community sectors as they collaborate in decision making processes towards agreed objectives

Question 10

Effective consultation should be a part of the policy process that is understood as good for:

Answer 10

• Democracy
• Public policy
• Marginalised groups and interests
• The community at large

Question 11

What strategies and techniques may be involved in consultation?

Answer 11

• Large ‘town hall’ style meetings
• Smaller focus groups
• Interactive websites
• Opinion polls to assess what the public already knows
• Various forms of public inquiry to which groups and individuals may make written submissions

Question 12

What is consultation?

Answer 12

• Government consultation processes have drawn heavily on market research techniques in order to create imaginative ways of encouraging citizens to engage in the policy process
• Good consultation should not be a one-off event during a ‘stage’ in policy process. Should take place with key stakeholders throughout policy process, though may involve more formal consultations to inform community or test an idea

Question 13

What are the types of consultation from ‘information’ to ‘control’?

Answer 13

• Information- people are merely informed about government policy in a one-way process that is primarily focused on educating the public about a particular policy initiative and its objectives
• Consultation- input from individuals and groups is sought and ideas exchanged, but decision makers remain in control of the outcome. Goal is to make policy more acceptable by accounting for the views of those most affected
• Partnership- policy decision makers actually hand some control over decisions to the public, who can have a meaningful say over policy content
• Delegation- decision making is given over to a group outside government, such as a commission of inquiry or a statutory authority
• Control- decision making is passed entirely to the public by means of instruments such as referenda or through the privatisation of government activity

Question 14

Outline notification in the consultation process

Answer 14

• The communication of information to the public
• A one-way process of communication in which the public plays a passive role of consumers of government information
• Notification does not, itself, constitute consultation, but can be a first step
• In this view, a prior notification allows stakeholders the time to prepare themselves for upcoming consultations

Question 15

Outline consultation in the consultation process

Answer 15

• The active seeking of opinions from interested an affected groups
• A two way flow of information, which may occur at any stage of regulatory development, from problem identification to evaluation of existing policy
• May be a one stage process or, as is increasingly the case, a continuing dialogue
• Consultation is increasingly concerned with information to facilitate the drafting of better policy

Question 16

Outline participation in the consultation process

Answer 16

• The active involvement of interest groups in the formulation of policy
• Participation is usually meant to facilitate implementation and improve compliance, consensus and political support
• Governments are likely to offer stakeholders a role in policy development and implementation in circumstances in which they wish to increase the sense of ‘ownership’ of, or commitment to, the policy beyond what is likely to be achieved via a purely consultative approach

Question 17

Outline Michael Keating’s models of consultation

Answer 17

• A summit where the nation’s leaders are directly engaged along with leaders of the major relevant interest groups
• Advisory committees that can operate at a very high level
• Committees of inquiry, although these committees, their teams of reference and their secretariats are typically established by the government. Such committees can either be permanent like the productivity commission, or they can last only as long as their Inquiry
• Workshops where key participants can exchange information, which can be especially helpful early on in achieving agreement about how a problem should be defined
• Think tanks and academics who can be commissioned to research and run seminars, but this typically represents a relatively closed form of consultation
• Parliamentary committees on inquiry

Question 18

What is the impact of consultation processes with a high degree of independence from the government?

Answer 18

Consultation processes that have a high degree of independence from government tend to produce higher levels of public confidence in their policy conclusions, however it is doubtful that conclusions will feed directly into the policy process as they are unlikely to fit with the government’s overall policy orientation

Question 19

What is the impact of consultation processes with a low degree of independence from the government?

Answer 19

Consultation processes that are less independent from government may be far more influential despite the fact that their policy conclusions have less legitimacy in the eyes of the public

Question 20

Who is a stakeholder?

Answer 20

Any individual or organisation who may be affected by a particular problem or its proposed solution

Question 21

Define ‘real’ citizens

Answer 21

Thought to be unbiased and uninvolved in collective activity

Question 22

Define ‘usual suspects’

Answer 22

Community leaders and those representing organisations are seen as having an ‘axe to grind’

Question 23

Why are both ‘real’ citizens and ‘usual suspects’ important?

Answer 23

• Uninvolved community member will rely on their own personal experience and media or anecdotal evidence to form views
• Representative or expert will rely on experience or knowledge gained over often considerable periods of involvement with a particular group or issue
• Bringing together an ‘interpretive’ community allows deep understanding of issues

Question 24

Why are NGOs and other organised interests necessary?

Answer 24

Can be ‘indispensable intermediaries’ between community and government, conveying important information about the needs and preferences of a wide range of groups to governments that would otherwise remain remote and uninformed

Question 25

Where is there significant asymmetry in policy work?

Answer 25

There is significant asymmetry between the amount of information the ‘average citizen’ and the policy worker has on any given policy issue, creating the possibility that consultation processes may be manipulated by government representatives to achieve a particular outcome

Question 26

What does the language of ‘community’ imply?

Answer 26

• Language of ‘community’ implies intimacy and trust, conveys idea that policy is made by people who know and trust each other
• Policy community may also involve ignorance, misunderstanding and conflict
• Can be oppressive and exclusive
• Nevertheless, it is an important advance from dualism of the state and the market

Question 27

List (3) features that should be present during all attempts by governments to engage citizens in a meaningful form of policy consultation

Answer 27

1. It should be an ongoing process, rather than a one-off consultation
2. It should entail a genuine exchange of views about different options
3. Policy makers should provide feedback to those consulted about their reason for determining a final choice of policy option

Question 28

What might governments need to do in consultation to reconcile competing interests and mobilise consent?

Answer 28

• May need to let go of some control and listen
• Suggests need for more independent processes that are open and transparent and take place early in the process before positions become entrenched
• Early consultations should be exploratory and encourage reflection and debate so participants can fully explore different ideas and arguments

Question 29

What qualities make consultation meaningful for participants and effective for governments?

Answer 29

• Qualities of openness, reflection and deliberation make process meaningful
• To be meaningful to groups and citizens participating, requires a reconceptualisation of the flow of power and information away from ‘paternalistic and top-down conceptions of state administration’ to a more genuinely open, inclusive and participatory model
• The democratic legitimacy of public policy processes and outcomes rest on ‘the character and quality of public deliberation, and the relationship between public deliberation and state decision making’

Question 30

Why should meaningful processes involve negotiation?

Answer 30

• Most meaningful processes involve negotiation between many players with a stake in the outcome and who may bring to the table various levels of power and influence
• Consultation should involve discussion and deliberation that affords ‘equal respect, if not necessarily equal weight’ to a wide range of views, interests, values and sensibilities

Question 31

What happens when consultation is viewed as tokenism?

Answer 31

• If consultation is viewed as tokenism, those who have participated will ‘view the whole process with a cynical eye and refuse to recognise the legitimacy of its outputs’
• Viewed as tokenistic as decisions are actually taken elsewhere

Question 32

List forms of consultation engaged in by NGOs and how effective participants believed these were

Answer 32

• Round table meetings
• Focus groups
• Written submission
• Appearances by inquiries

Majority of respondents reported that they felt their involvement in the consultation process had been constructive, but also believed their concerns were not reflected in current government policy

Question 33

What is one official response to demand for a consultative policy process?

Answer 33

To establish a consultative body, including departmental officials and participants from outside government

Question 34

Define concertation

Answer 34

Consultation can then turn into what is known as ‘concertation’ or institutionalised consultation that becomes a routine part of the policy process

Question 35

Outline the process of concertation

Answer 35

• Policy ‘outsiders’ may be drawn into the formal policy process and experience a new level of influence
• This close relationship with government is often a strategic goal for NGOs and other advocacy groups

Question 36

What are advantages to concertation?

Answer 36

• Such relationships may have rewards including a seat at the policy table, funding and an increase in status and influence
• Organisations without relationships with government are often seen as ‘outsiders’ and may find themselves with little power, funding or influence
• In general, the benefits are seen to outweigh the potential threats

Question 37

What is a disadvantage to NGOs having a close relationship with the government in the long term?

Answer 37

• Risk a loss of:
  -Legitimacy
  -Independence
  -Organisational resources
  -Vision

Question 38

Outline (3) risks to the government due to consultations

Answer 38

• Overload, whereby governments become exhausted by excessive demands and the many resulting programs they are expected to deliver
• Capture, whereby government regulatory institutions become captured by the interests that have been established to control who may proceed to close an agenda that others might want to see opened
• Free-riding, an idea that suggests that the majority of citizens will find it more rational to allow others to participate or agitate for change because the costs of participating are higher than the likely benefits

Whether governments can avoid or minimise risks will depend upon the institutions and processes that they have in place to manage participation and consultation