Presentation by Rachel Holloway, Department for Business, Energy, & Industrial Strategy, United Kingdom, at the RIA workshop which took place in Lima on 22-24 May 2017. Further information is available at www.oecd.org/gov/regulatory-policy/.

1. Consultation: UK
Rachel Holloway
Regulatory Delivery

2. What is Consultation & why is it so important?
• The importance of consultation
• The UK system
• Examples of how to do it effectively
• Q&A
2
Objectives

3. Consultation and RIA
What is Consultation? & why is it so important?
• A structured way to ask for relevant information from
people who would be affected (directly or indirectly)
by the measure under examination or are
knowledgeable about its effects.
• A research method to gather quantitative data and
opinions and to promote and simplify transparency
and public participation.
3
The RIA Process

4. Consultation and RIA
Why is it so important?
1.Strengthens the information basis of the regulatory
process
2.Increases citizens participation
3.Raises the transparency of Government decision-making
4.Reduces the risk of unintended consequences
5.Improves implementation
4
The RIA Process

5. UK Public consultation
- Public consultation key part of transparent &
accountable governance.
- Usually required for new policy. Its a part of RIA.
- Guidance on how policy departments should consult
as part of IA guidance and Government
Communications Service
- Length of time should be “appropriate” – usually
between 4 – 12 weeks
- Expected to maintain an on-going dialogue with
stakeholders

6. Stakeholder engagement and consultation is
critical

7. The RIA Process
Consultation is a structured way to ask for relevant
information from people who would be affected
(directly or indirectly) by the measure under
examination.
Wide and early engagement with all stakeholders
during the policy making process has been proven to
lead to better policy outcomes and you should
encourage and welcome engagement at every step in
the process.
Step 6
Public
Consultation
7

8. The RIA Process
Checklist
1.Decide who is potentially affected by the measure /
has relevant expertise
2.Develop plan to engage with them, using different
methods to engage them (channels)
3.Identify those consulted and how the process was
undertaken
4.Detail the results of this engagement and how was
the input of stakeholders taken into account?
TIPS
1.ALWAYS provide feedback to your consultees or they
won’t participate next time
2.Publish the responses
Step 6
Public
Consultation
8

9. Consultation is different for each RIA step
RIA STEP(s) OBJECTIVES EXAMPLES
Identify the problem & set
objectives
Agree nature of problem
Evaluate baseline
Identify key stakeholders
Information consultation
Expert advice
Options selection and
assess impacts
Refine options and develop
preferred option
Formal consultation
Focus groups
Notice and comments
Prepare analysis and refine
proposal
Minimize burdens Stakeholder panels
Monitor outcomes
Identify cost of
implementation
Test panels
9
The RIA Process

10. Consultation
Where should we look to
expand PA?
Is the current legal
framework fit for purpose?
What are the good and bad
experiences of PA?
What are the barriers to
the future expansion of
PA?
Research
What are the
unanticipated benefits of
PA, and how do we factor
this into future
evaluation?
Gather evidence of a
causal relationship
between PA and reduction
of costs of compliance for
businesses and regulators
Working together – finding the info?
What impact
does PA have
on the
regulatory
environment?

11. “Consultation was the most quoted type of
evidence. We’ve found that impact
assessments which used a greater range of
evidence sources tended to achieve better
quality ratings.”
National Audit Office
11
The role of consultation in RIA’s

12. Evidence sources used in RIA’s
12
National Audit Office
evaluation

13. The RIA Process: Consultation should be
continuous dialogue
i
Who should be involved?
What Ministries? Which
NGO? Business?
Are there data gaps?
Who can help to fill them?
Who should you speak to
discuss how likely the options
are in delivering the
anticipated change?
What level of consultation is
required?
Is it proportionate?
Who can help?
How should we consult?
How have we; amended the
options to reflect response? used
data supplied to feed back into
RIA? fully communicated changes
made to citizens as well as
Ministers?
Communicating with
citizens, clearly
setting out evidence
provided through
consultation
You should be working with
different groups to collect
information to inform the
evaluation of impact.
13

14. On-going stakeholder engagement
UK Example: RD Business
Reference Panel
• Over 100 organisations
representing over a million
individual businesses
• Focussed on regulatory issues
• Sector trade associations
• Honest feedback and good
dialogue
• Tri-annual meetings

15. “Consultation was the most quoted type of
evidence. We’ve found that impact
assessments which used a greater range of
evidence sources tended to achieve better
quality ratings.”
National Audit Office
The RIA Process
Quality RIA - How the UK got there
15

16. Plan your consultation
• Effort to consult should be proportionate to the scale
of the problem being considered
• Clear objectives should be set
• Actively manage timing and timeliness
• Budget for the consultation process
• Adapt and mix consultation mechanisms according
to the issue being considered and range of
stakeholders
16
The RIA Process
Step 6 – Public Consultation

17. Who to consult? – Stakeholder Analysis
• Planning a stakeholder consultation strategy
• Develop a consultation strategy
• Consider all stakeholders who should be consulted – internal
and external to government
• Consider the importance of each group of stakeholders
to the RIA process – this will help to determine how
you consult with them
• Consider consultation tools that you could use for each
stakeholder group
17
The RIA Process
Step 6 – Public Consultation

18. Step 6 – Public Consultation: Mapping Stakeholders using the
Stakeholder Quadrant
Importance to RIA outcomes:
Influence on outcomes
LOW
HIGH
HIGH
The RIA Process
18

19. People
Many
Few
Complexity / cost HighLow
Focus Groups
Semi-structured
interview
Public meetings
& panels
Notice and comment
Survey
19
PR/Social
media
The RIA Process
Step 6 – Public Consultation
Mix of
Mechanisms

20. Which mechanism?
• The selection of a consultation tools depends on:
• Who and when
• Time constraints
• Resources available (time and costs)
• Benefit/Cost balance
• Reliability and consistency of the expected results
• Exhaustiveness and utility of RIA aims
20
The RIA Process
Step 6 – Public Consultation

21. Analyse and validate responses
Analysis:
• Differentiate positive and negative impacts
• Follow up questions raised
• Monitor results for representativeness
• Double check opinions and facts
• Investigate outstanding responses if key stakeholder
group
Validate with experts:
• Consultation is not a public vote
21
The RIA Process
Step 6 – Public Consultation

22. Integrate analysis into the RIA Report
• Where evidence is used in RIA report provide the relevant
sources
• Dedicate a section to consultation:
– Who, when and how did you consult?
– How representativeness and credibility was ensured?
– What were the results of consultation and how was the
information gathered used?
• Provide additional information in annexes e.g. models of
questionnaires, tables and graphs (such as charts, summary of
responses, % in agreement etc)
22
The RIA Process
Step 6 – Public Consultation

23. Step 6 Example of stakeholder analysis
STAKEHOLDER
GROUP
KEY CONTACT VIEWS ON THE ACT VIEWS ON THE
STATUTORY
INSTRUMENTS
POLICY
ISSUES/COMMITM
ENTS
IMPORTANCE
Business BRC, Graham
Wynn,
Graham.Wynn
@brc.org.uk
- CBI, Clare
Noble-Nelson,
Claire.Neilson@
cbi.org.uk
Businesses were
broadly supportive of
Parts 1 and 2 of
RESA, although it
was argued that the
amendments to the
Primary Authority
scheme before the
Act’s introduction to
Parliament seriously
weakened the
scheme.
Businesses have also
been vocal in their
opposition to the cost
recovery provisions in
Part 2 of the Act.
Business’ main
concern will be to
ensure that the
definition of
enforcement
action is kept as
wide as possible.
Business may also
oppose the
exemptions of the
Licensing &
Gambling Acts &
Fire Safety from
the provisions of
the scheme.
There are no
outstanding policy
issues or
commitments in
relation to business
High – Ensuring
business buy in
the Primary
Authority
scheme remains
essential.
23

24. Step 6 Example of written consultation – template for consultees’
QUESTION 10: Do you agree with the proposed approach to removing
licensing under the Licensing Act 2003 and the Gambling Act 2005, and fire
safety under the Regulatory Reform (Fire Safety Order) 2005, from the
definition of enforcement action to be used for the purposes of the Primary
Authority scheme? (Paras 46-63 Consultation Document)
Yes No
If not, please specify reasons why
24

25. Primary Authority simplification and expansion: high level timeline
July Aug DecOctJune Sept JanNov
Discuss
ion
paper
drafted
2015 2016
Govt.
response to
consultation
in White
Paper
Agree policy
requirements &
draft written
instructions
Amend
instructions
for Parlia.
Counsel in
light of
engagemen
t
Agree policy
position post
engagement
Analyse
responses
Call for evidence: paper & engagement with
stakeholders
4 week engagement 17 July- 10 August
Instruct
Parliamentary
Counsel
Bill enters
Parliament
2nd
Readin
g
Refresh
Impact
Assess
ment
PolicyandlegislativeStakeholderengagement
Discussion
paper
published
on Citizen
Space
Draft &
submit
Regulatory
Triage
Assessment
Write
round
clearanc
e
Engagement
events
Draft
Impact
Assessme
nt
Peer
review of
ACL
research
Parliamentary passage
Likely Introduction 7 – 18 Sept precise date TBC
Dates after this are educated estimates
Committee
Stage
Report
Stage
Third
Reading
Bill passed
to the
Commons

26. Engaging our stakeholders
Aim: To raise stakeholder awareness of the proposals to extend and simplify Primary
Authority and engage them in the design of the revised scheme.
Key Messages:
•There are plans to simplify and extend Primary Authority so thousands more
businesses can benefit
•We want to hear your views to help shape the changes – here’s how/when you can
work with us
Strategy:
•Commencing week of July 13 launch engagement activity - will be a 4 week period
•Publish a discussion paper on Citizen Space and call for evidence 17 July
•Disseminate to all BRP, REF, PA User Groups and all other relevant panels we
participate in, via PA Newsletter, link via PA Register etc
•Post a news item on the PA Register and Gov.uk (BRDO pages)
•Inform Expert Panels and Better Enforcement Programme Board
•Include in news bulletins
•Meetings with stakeholders – piggybacking on pre-arranged – Age Restricted Products
Group 15 July and targeting those of specific value. Late July/early August
•Use social media – Twitter, Linked In Group – PA, Yammer
•Work with BIS communications teams to drive messages
•Communications with Devolved Administrations

27. Engaging our stakeholders
Platforms:
•Citizen Space
•Social media (Linkedin/Twitter)
•PA Register
•Gov.uk
•News bulletins
•Business Reference Panel
•REF, PA User Groups
•Emails
•Expert Panels
•Staff!
External Internal
 Businesses
 Local regulators
 National
Regulators
 Professional
bodies
 Local authority
leaders
 LGA
 Trade Press
 Devolved
Administrations
 RD
 OGDs: particularly
Home Office &
Communities and
Local Government
 NMRO
 Associates
 BRE/BIS

28. Engaging our stakeholders
Engagement Lead Date
Business audience Gemma/ Gordon &
someone from bill
team
5 & 11 August - London
Local authority audience Kathryn P & someone
from the Bill team
29 July 10am-12pm
Birmingham
Professional body audience
o Regulatory Excellence Forum
Helen B / Dennis
National regulator audience
o Regulatory Excellence Forum
o Better Regulation Units
Helen B & Jo K
Rachel & Jo K
15 July
16 July
Devolved administrations – phone calls Rachel From 13 July
Age Restricted Products meeting Dennis – Jo K
attending
15 July