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Guidelines for Effective Regulatory Consultations (view source)

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An ongoing, constructive, professional relationship between government and stakeholders is key to achieving a quality outcome from consultations. Applying the following principles will help to achieve this type of relationship.
 
An ongoing, constructive, professional relationship between government and stakeholders is key to achieving a quality outcome from consultations. Applying the following principles will help to achieve this type of relationship.
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* Meaningfulness: Officials conducting the consultations should be open to stakeholders' views and opinions and should take these into account in preparing the proposed regulations. They should be impartial with respect to the views expressed and willing to allow them to influence the final version of the proposed regulations, if appropriate. If some aspects of the proposal are not subject to change, this should be clearly communicated, so that participants can focus their efforts and provide meaningful input. Clarity regarding the purpose and objectives of the consultation and the proposed regulations is an essential underpinning of a positive relationship.
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* '''Meaningfulness:''' Officials conducting the consultations should be open to stakeholders' views and opinions and should take these into account in preparing the proposed regulations. They should be impartial with respect to the views expressed and willing to allow them to influence the final version of the proposed regulations, if appropriate. If some aspects of the proposal are not subject to change, this should be clearly communicated, so that participants can focus their efforts and provide meaningful input. Clarity regarding the purpose and objectives of the consultation and the proposed regulations is an essential underpinning of a positive relationship.
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* Openness and balance: All stakeholders, whether directly or indirectly affected, should have an opportunity to contribute their views. Significant effort should be made to identify the "most affected stakeholders." Officials should ensure that an appropriate balance of views is represented in the consultation process.
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* '''Openness and balance:''' All stakeholders, whether directly or indirectly affected, should have an opportunity to contribute their views. Significant effort should be made to identify the "most affected stakeholders." Officials should ensure that an appropriate balance of views is represented in the consultation process.
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* Transparency: The relationship between the department and stakeholders should be transparent. A transparent approach is essential to building trust. Officials should ensure transparency of:
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* '''Transparency:''' The relationship between the department and stakeholders should be transparent. A transparent approach is essential to building trust. Officials should ensure transparency of:
 
** the overall regulatory consultation process
 
** the overall regulatory consultation process
 
** pertinent non-sensitive information
 
** pertinent non-sensitive information
 
** the decision-making process
 
** the decision-making process
 
** how stakeholder input will be used
 
** how stakeholder input will be used
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* Accountability: Departments should demonstrate accountability by documenting how the views of stakeholders were considered during the development of the regulations and informing stakeholders of how those views were used. Where stakeholder input could not be reflected in the proposed regulations, officials should be able to outline the reason(s) why. Accountability also involves ensuring that the consultations take place over a reasonable period of time, so that participants have sufficient time to submit their views.
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* '''Accountability:''' Departments should demonstrate accountability by documenting how the views of stakeholders were considered during the development of the regulations and informing stakeholders of how those views were used. Where stakeholder input could not be reflected in the proposed regulations, officials should be able to outline the reason(s) why. Accountability also involves ensuring that the consultations take place over a reasonable period of time, so that participants have sufficient time to submit their views.
    
Introducing successful regulatory proposals requires the development and nurturing of ongoing relationships between the government and stakeholders. A climate of mutual trust and respect will often carry forward to future consultations. Developing a network of stakeholders allows officials to tap into a wider array of knowledge and information that can greatly assist in the effective and efficient development of regulations.
 
Introducing successful regulatory proposals requires the development and nurturing of ongoing relationships between the government and stakeholders. A climate of mutual trust and respect will often carry forward to future consultations. Developing a network of stakeholders allows officials to tap into a wider array of knowledge and information that can greatly assist in the effective and efficient development of regulations.
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{| class="wikitable"
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|+Examples of Stakeholders
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|
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* Citizens and community groups
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* Industry groups
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* Non-governmental organizations
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* Provinces, territories, municipalities
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* Foreign governments
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* Unions
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* Individual companies
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* International organizations
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* Professional associations
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* Consumer groups
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|}
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=== Consultation Plan ===
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Good regulatory proposals begin with good planning. A clear and comprehensive consultation plan is key to achieving the goals and objectives of the proposed regulations and facilitating a smooth consultative process. The development of the consultation plan requires an upfront investment of time, budget, and effort.
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The consultation plan should frame the boundaries of the consultation process. It should precisely state the objectives of the process and include the issues under review, a public environment analysis, key participants, timelines, and a mechanism for reporting consultation results. It should clearly describe the proposed consultative approach and "rules of engagement," so that interested parties can decide whether or not to participate and, if so, how.
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Where appropriate, stakeholders can be invited to provide input on the development of the consultation plan, including on how the consultation should be conducted and which consultative tools would be most appropriate. Stakeholder input can also be requested during the consultations that take place at the policy development or instrument choice analysis phase. Pre-consultations also help stakeholders to plan their input, budget, and time.
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The consultation plan should be commensurate with the expected impact and scope of the proposed regulations. A well-designed regulatory consultation allows stakeholders to provide input through a variety of mechanisms (e.g. public forums or advisory groups) that are both convenient and adapted to their abilities and resources. However, in some circumstances, a detailed consultation plan may not be necessary. For example, in many cases, departments use established ongoing committees or councils made up of all stakeholders affected by a particular regulated area (e.g. civil aviation). In such cases, "terms of reference," a charter, or other similar document should be developed to support the work of the consultation mechanism. As well, for routine or low-impact proposals (e.g. administrative amendments), a detailed plan may not be necessary.
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==== Statement of purpose and objectives ====
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The consultation plan should begin with a clear statement of the purpose and objectives of the consultations. A well-defined statement of purpose will help to keep the consultations focussed and on track and will clarify the scope and boundaries of the consultative effort.
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The statement of purpose should plainly set out the problem or outcome that the proposed regulatory initiative purports to address. The ''Cabinet Directive on Streamlining Regulation'' requires that interested and affected parties be given the opportunity to contribute to issue identification and the objectives for government intervention. Seeking stakeholder input on the problem or issue statement can help to ensure that the regulatory solution effectively addresses the problem. The statement of purpose should also present a compelling argument for government intervention, clearly demonstrate the need for the proposed regulations, and explain why regulation is the tool of choice over other instruments such as legislation, policy, or voluntary codes.
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Invariably during a consultation process, some stakeholders will raise issues that are not central to the consultations. A clear statement of purpose and objectives can help officials to maintain a definite focus and to deflect distractions that are outside the consultations' parameters. The statement of purpose should be broad enough and flexible enough to accommodate stakeholders' views, but precise enough to keep the discussion centred on the issue at hand.<blockquote style="background-color: lightgrey; border: solid thin grey;">
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'''<big>Examples of Stakeholders</big>'''
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Citizens and community groups
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Industry groups
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Non-governmental organizations
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Provinces, territories, municipalities
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Foreign governments
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Unions
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Individual companies
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International organizations
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Professional associations
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Consumer groups</blockquote>
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<blockquote style="background-color: lightgrey; border: solid thin grey;">
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'''<big>Regulation of 2-butoxyethanol (2-BE)</big>'''
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'''Issues and Objectives'''
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*In conducting the cost-benefit analysis for the proposed regulation over a period of 20 years, the first step is to establish a baseline scenario of what the outcomes would be over time with no regulation in place.
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*By observing the historical data, it was discovered that the quantity of 2-BE used in Canada was growing in the 1990s and peaked in the year 2000 at approximately 8 kilotonnes (kt). Since 2001, the quantities of 2-BE used have been declining, reaching about 4.6 kt in 2004. This represents an average annual decline rate of 12.6 per cent because of the replacement of 2-BE with alternative formulations.</blockquote>
Nancy.luo
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