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Guidelines for Effective Regulatory Consultations (view source)
Revision as of 15:59, 4 August 2021
, 15:59, 4 August 2021no edit summary
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.
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.
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;">
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.
{| class="wikitable"
|+Checklist 1
!Yes
!N/A
!A clear statement of purpose at the beginning of the consultation plan should:
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|Explain the problem the proposed regulations are addressing
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|Explain why the regulations are being developed (i.e. economic, social, or safety benefits)
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|Define what the proposed regulations will do
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|Describe how the regulations will be developed (i.e. process to be followed)
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|Outline the scope of the regulatory consultation process (i.e. what can and cannot be considered as part of the consultations)
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|Identify the authority for the regulations
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|Be written in plain, easy-to-understand language
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==== Public environment analysis ====
The consultation plan should include an analysis of both the internal and external environments.
An '''internal scan''' is necessary to confirm that there is ministerial and senior management support, policy approval, and consistency with government priorities.
An '''external scan''' assesses the level of public and media interest and the potential positions of stakeholders (e.g. what they may propose, their perspectives on the issue, and potential sources of conflict). This will help to identify any potential communications challenges arising from the consultations and form the basis of a communication plan, if necessary, to address these and any other challenges that may arise.
The public environment analysis is an important component of the regulatory triage process that should be undertaken at the outset of regulatory development. The analysis should consider factors to determine the size and scope of the consultation process and the type of tools needed to conduct the consultation. The checklist below provides some key considerations for determining the importance and scope of the consultation exercise.
{| class="wikitable"
|+Checklist 2
!Yes
!N/A
!A clear statement of purpose at the beginning of the consultation plan should:
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|Determine senior management's commitment to the proposal
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|Confirm ministerial support for the proposal
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|Determine whether there is appropriate policy authority for the regulatory proposal
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|Assess consistency with government priorities (e.g. Speech from the Throne, budget)
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|Research emerging legislation, policy, or litigation that could affect the consultation
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{| class="wikitable"
|+Checklist 3
!Yes
!N/A
!A clear statement of purpose at the beginning of the consultation plan should:
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|Determine the level of public interest (e.g. public opinion research, degree of impact on citizens)
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|Examine how the general public might perceive the issue
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|Assess stakeholders' perceptions of the proposal
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|Review past positions of stakeholders (e.g. websites, previous submissions, letters, past consultations)
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|Determine whether the issue is contentious (e.g. whether there is special interest or media interest)
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|Assess the social, economic, health, and/or environmental impacts of the proposal
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|Examine relevant reports from parliamentary committees
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|Review reports from relevant independent bodies
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|Assess potential provincial, territorial, and municipal government views
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|Review any previous lobbying by stakeholders
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|Assess whether there will be difficult choices or trade-offs
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|Determine whether certain stakeholder groups benefit more than others
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|Determine whether there were similar approaches taken by other governments
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==== Developing realistic timelines ====
The consultation plan should include realistic timelines that identify activities and set milestones for all aspects of the consultative process. It should also be flexible enough to allow for unforeseen circumstances.
The amount of time required for a consultation depends on the complexity of the issue and the consultation methods selected. It is easy to underestimate how long it will take to plan, implement, and evaluate a consultation process.
Involving stakeholders in determining timelines can be an important part of building and securing a positive relationship with them. Whether or not they take part in setting time frames, participants should be kept informed of the schedule and, in particular, of when their input will be solicited. This will keep them focussed and allow for monitoring throughout the process and for any adjustments that may be required in objectives and plans.
Sufficient time should be allowed for groups and individuals to become informed, examine the issues, debate/dialogue/consult within their organizations, and develop a response.
Consultations should be managed in a way that ensures that stakeholder time is well spent, in order that stakeholders feel that their time investment was worthwhile and meaningful. Agendas should be sent to stakeholders in advance of consultation sessions.
Consultations should take place early enough in the policy (or regulatory) development process to ensure adequate time for all aspects of the regulatory process (e.g. drafting by the Department of Justice Canada, senior management approval, ministerial sign-off, Treasury Board of Canada Secretariat review, parliamentary schedule, pre-publication timelines, final approval).<blockquote style="background-color: lightgrey; border: solid thin grey;">
'''<big>Examples of Stakeholders</big>'''
'''<big>Examples of Stakeholders</big>'''
