Engagement in government policy

To support the Queensland Government’s commitment to improving community engagement, public sector offi cers should have a clear understanding of engagement as well as an understanding of the link between effective engagement and agency policy making and planning processes.

This chapter presents a conceptual framework for aligning effective engagement practice with agency policy making, strategic planning, and service and program planning. To increase the effectiveness of engagement in policy making and planning processes, clarity needs to be established around:

• the purpose and objectives of involving citizens in policy development, strategic planning, and service and program planning
• the commitment of decision makers to genuine community engagement
• the timing of engagement in the policy development and planning processes
• the risks and benefi ts of involving citizens and, alternatively, the risks of not involving citizens
• the level of citizen involvement
• constraints and limitations in relation to citizen involvement.

Engagement and policy making

Public policy is complex and multi-faceted, but essentially it is the fundamental driver of all government activity. Policy development involves the formulation of initiatives and responses by public sector officers and elected public officials.

Effective policy development requires insight, creativity and imagination in identifying community issues and analysing them, in devising policies that might alleviate them, and in evaluating the effectiveness of the policies and their implementation. There is an important role for citizens and communities in raising public policy issues with government and subsequently working with government to identify policy options and implement solutions.

Cabinet provides structure for the policy process and final decision making, however, significant discretion exists for agencies to establish their own procedures or to recommend a suitable policy process. Therefore, each agency develops unique characteristic ways of developing policy. These differences in policy approaches allow for creativity within the structures of the process, including innovative engagement practices that may result in public policy more tailored to the needs of  communities, and client and stakeholder groups.

Experience shows that good strategy is integral to consistently good policy. While a rigorous approach does not guarantee good policy, it is more likely to identify core issues and a range of feasible solutions than a haphazard approach. In order to consider the role of effective community engagement in policy making, it is important to first consider what makes good policy. Good policy is:

• strategic and contributes to the government’s priorities and long-term commitments
• outcome-focused
• joined-up and works across agency and government boundaries
• inclusive and takes into account the interests of all those to be affected or who have a significant interest in the issue
• flexible and innovative
• robust — i.e. will stand the test of time and work in practice from the start.

Conversely, bad, or ineffective policies, may include:

• policies with outcomes at variance with their goals
• policies with no long-term focus or assessment of unintended consequence
• policies which have no demonstrable positive impact but which absorb economic and social resources for their implementation
• sets of policies which are uncoordinated or contradictory.

Effective engagement in policy development can:

• raise citizen and community awareness about an issue
• identify community perceptions about an issue
• identify what will work in reality and what will not
• verify government information or thinking about an issue (market testing)
• tap into new ideas and expertise
• provide avenues for dialogue with:
  • key stakeholders and interest groups
  • citizens
  • communities
  • government interests
• promote consensus
• achieve negotiated outcomes
• build constituency support
• test options or proposals
• provide feedback/evaluation on existing policies.

The involvement of stakeholders, citizens and communities in policy development should be considered at the earliest possible stage and, where relevant, at all subsequent stages of the policy cycle. Integrating diverse views and perspectives in policy development through effective information sharing, consultation and active participation processes can assist policy officers in:

• gaining a greater understanding of the policy issue being considered
• identifying a broader range of options and possible solutions
• developing more effective and sustainable policies that better meet the needs of citizens and communities.

Policy officers may regularly consult various advisory committees, peak agency bodies or key government stakeholders in the development of public policy. Effective engagement practices provide opportunities for policy offi cers to increase representativeness by reaching beyond the usual stakeholders to tap into the significant expertise and experience of citizens not currently involved in established networks.

Other government agencies should be consulted/engaged early in policy development to ensure a coordinated and cohesive approach and to reduce overlap of policy issues. Policy Division, Department of the Premier and Cabinet, should also be consulted early and can provide assistance in coordinating crossgovernment consultation on policy issues.

When to engage/when not to engage

It is important to acknowledge that not all policy issues provide the opportunity for broad community consultation or active participation. In some cases, the government’s policy agenda or prior commitments require specifi c decisions. In other cases, the government will require only the input of stakeholders with specifi c experience or expertise.

Where there is no genuine opportunity for citizens to inform policy development, a community engagement process should not be undertaken. The following table provides some guidance on when to and when not to engage broadly on a policy issue.

Broad community engagement

• When the policy issue is complex and requires considered debate, or when there is a legislative requirement to consult
• When the issue is politically sensitive and requires a level of community consensus or a range of creative options are required
• Agency staff and policy offi cers are supportive of the potential offered by an engagement process
• Government/agency decision makers are prepared to consider the recommendations and outcomes of the engagement process
• When the government/agency wants to include the perspectives of stakeholders beyond established structures and networks
• When there is a need to know what an informed general public would want
• When there is interest in diverse opinions

Key stakeholder engagement

• It is a simple issue or question and connection with existing structures and networks that would achieve a positive outcome
• When diverse opinions will not add to the policy formulation

Engagement in the policy cycle

A policy cycle, designed to provide an active and iterative process rather than a staged and ordered one, outlines the key components to be considered in developing policy. It can be used to understand and structure policy development into manageable units of analysis.

The policy cycle model should not be interpreted as a  mandatory sequence — it identifies the logical connection between the various components but these rarely occur in the order presented as a single iteration for each policy issue. In practice, many policy issues will present a range of opportunities for engaging with stakeholders, citizens or communities.

Policy development involves a mixture of political and community interests as well as a range of administrative, fi nancial, legal and technical realities. Policy making is ambiguous and layered and therefore not a single, uniform process.

The Queensland Government’s approach to the policy cycle is presented in The Queensland policy handbook. Building on the Bridgman and Davis (2000) model, the handbook presents the policy cycle with the following components:

1. Issue Identification
2. Option Identification and Analysis
3. Policy Instruments
4. Community Engagement
5. Coordination
6. Decision
7. Implementation
8. Evaluation

The Queensland Policy Handbook is part of the Governing Queensland suite of documents which provides detail about the processes and practices associated with the effective functioning of the Queensland Executive Council, the Legislative Assembly, Cabinet and government agencies. Other titles in the Governing Queensland series include:

• The Queensland Cabinet handbook
• The Queensland Executive Council handbook
• The Queensland Legislation handbook
• The Queensland Ministerial handbook
• The Queensland Parliamentary procedures handbook
• Welcome aboard: a guide for members of Queensland Government boards, committees and statutory authorities.

 The Queensland Policy Handbook is available on the internet as a printable version at www.premiers.qld.gov.au/About_the_department/publications/policies/Governing_Queensland/Policy_Handbook

The factors critical to the success of community engagement in the policy cycle include:

• good judgement about whom to engage, and when and how the engagement will be undertaken
• managing expectations
• the level of community interest in an issue
• the knowledge and skills of those involved.

Community engagement can be appropriateat any stage in the policy cycle depending on the issue and a range of other variables. Policy officers need to exercise good judgement about whom to engage — specifi c stakeholders or all those to be affected by the policy issue or with a significant interest in the issue. Good judgment is also required when considering the level of engagement and at what stages in the policy cycle to engage to ensure the outcomes properly inform decision making, and what engagement methods and techniques are most appropriate.

Timing of engagement

Engagement in policy development requires careful planning; with key decisions needed to be made about the timing of information sharing, consultation or active participation processes.

Decisions also need to be made about whom to engage, the appropriate level of engagement and the appropriate methods of engagement.
Deciding when to engage citizens and communities in policy development requires an understanding of the policy process, the nature of the political environment and the nature of the issue being considered. An effective engagement strategy should be linked with decision making points throughout the policy cycle to ensure  engagement outcomes feed into decision making processes.

Sometimes there is a need for ongoing engagement with key stakeholders throughout the policy development process. Mechanisms like advisory boards and committees are frequently used to meet this need. It is important to ensure that stakeholders who are not part of these networks are engaged about issues of significance to them.

Following is a description of the stages of the policy cycle as presented in The Queensland policy handbook. A range of community engagement considerations are identified at each stage of the cycle, along with the associated benefi ts of undertaking effective engagement at each stage.

1. Issue identification

Issue identification involves understanding the problem or concern commanding the attention of government and requiring a policy response. These issues form the policy agenda.

Due to the complex nature of public policy issues, policy officers should attempt to understand an issue from as many diverse perspectives as possible. This may require identifying and engaging key internal stakeholders and external stakeholders beyond the established government structures and networks.

Engaging effectively with key internal and external stakeholders will assist policy makers in uncovering all pertinent issues and concerns so strategies can be developed to address them. The method of engagement and the level of engagement at this stage will depend on the nature of the issue and the identifi ed key stakeholders.

Where there is widespread disagreement about how to defi ne a policy issue, participation methods that promote negotiation and compromise may be needed to find a common basis from which to start.

In a high-conflict setting, small workshops and focus groups may be more successful in building consensus about a common starting point rather than a public hearing. The workshop or focus group may provide a better opportunity for differing interests to debate and reach agreement whereas public hearings are more likely to be adversarial in nature.

Careful consideration should be given to the advantages of engaging broadly at this stage and to the associated risks of involving/not involving citizens at an early stage. Focus groups or well-facilitated visioning exercises can be useful tools.

Benefits of effective engagement at this stage:

• identifying key stakeholders beyond established structures and networks
• reaching beyond organised interests and advocacy groups to defi ne a policy issue based on community opinions and values
• identifying the most appropriate methods to involve stakeholders in later policy development stages
• awareness raising and context setting for stakeholders around the policy issue
• understanding an issue from diverse perspectives
• identifying risks, issues and challenges
• identifying opportunities for a coordinated government/community approach to the policy issue 
• building the capacity of stakeholders to participate in policy deliberations from the outset
• citizens can often reconcile a range of different perspectives on a policy issue (i.e. the perspectives of a citizen, member of a community or organisation, of a taxpayer etc.).

2. Option identification and analysis

Policy analysis involves detailed consideration of the options available to address a policy issue. It also includes determining the consequences or implications – both intended and unintended – of a particular policy option.

Specifically, this stage involves:

• defining the policy issue
• collection of data and relevant research
• setting objectives
• developing options to proceed with policy development.

The results of the policy analysis will determine the level and extent of citizen involvement at this stage. If given the chance to consider in depth a particular policy issue, citizens can often bring individual perspectives to bear on the issue at the same time. Those perspectives include:

• those of a taxpayer who must ultimately pay for the cost of a public policy decision
• those of a consumer or user of government programs and services who have expectations about the quality of programs and services they want
• those of a member of a local or broader community
• those of a service provider or co-producer.

By bringing these perspectives to bear on a policy issue, citizens may often be better placed than public offi cials to identify policy options more consistent with  community values.

Deliberative processes where stakeholders and decision makers are brought together and fully informed about an issue can help analyse a policy and develop workable policy options.

Benefits of effective engagement at this stage:

• involving diverse perspectives at this stage may assist in identifying a broad range of policy options and reveal a range of possible consequences of particular options
• increasing awareness of the complexities of government policy development
• increasing awareness of the constraints and limitations of government in policy development
• increasing the capacity of stakeholders to participate in policy deliberations.

3. Policy instruments

Policy instruments are the methods used to achieve policy objectives. They allow the ideas of policy to be converted to reality. Successful implementation of policy would not be possible without the correct choice of instrument.

Examples of policy instruments include:

• laws (Act of Parliament or regulations)
• programs administered by public servants or others
• funding and grants programs
• information mechanisms, such as education and awareness activities
• infrastructure (hospitals, schools, roads, dams or buildings)
• a combination of the above. 

Benefits of effective engagement at this stage:

• canvassing the perspectives of those who may be affected by the policy outcome, or have a signifi cant interest in the policy outcome, may help to identify a suitable policy instrument
• broader input could assist in understanding any potential risks associated with various instruments
• identifying any potential implementation difficulties
• assist with targeting the policy instrument to the community

4. Community engagement

Community engagement in policy development refers to the many ways government connects with citizens and communities in the development of public policy.

The benefits and risks of engaging citizens in the policy development process should be well considered at all stages of the policy cycle. If engagement is viewed as a limited exercise in the policy development process, it is likely to offer little benefit in achieving a better policy outcome. For example, a stand-alone, one-off consultation exercise encourages the onesided imparting of information, often in a highly technical and unproductive way.

Often in the development of complex policy, government relies on the expertise of those working in the fi eld. Through identification and effective engagement of those key stakeholders, policy proposals are improved, ideas tested and, when appropriate, support gathered.

Policy makers should be clear how the results of engagement will be used in policy development. It is also important that citizens be informed about the stage of the policy process at which their views are being sought and their level of influence.

General canvassing of citizen views is not appropriate if there is already a preferred policy option. Seeking comment on a preferred option late in the policy process will raise community expectations and reduce confidence in the integrity of the policy engagement process.

It is also important not to duplicate engagement on a range of related policy issues. Therefore, at this stage in the policy cycle, effective crossagency and cross-government consultation is vital.

Benefits of effective engagement at this stage:

• identifying and tapping into community experience and expertise relevant to the policy issue
• testing the strength of policy analysis
• testing the feasibility of proposed options
• providing an important feedback loop in the policy development process.

5. Coordination

Coordination of policy across agencies is important to achieve consistency with the government’s overall strategy, priorities and objectives. The policy will not work if it conflicts with an existing policy in another agency. The key contacts for whole-of-government coordination are the Policy Division in the Department of the Premier and Cabinet, Queensland Treasury, and the Cabinet Legislation and Liaison Offi cers (CLLOs).

Managing the public policy process is not the responsibility of one policy maker or a single agency, but rather it is the responsibility of many. Well-coordinated policy development will ensure alignment with existing policies and overall government direction and therefore more integrated, robust and sustainable policy outcomes.

Better policy coordination across government will provide more responsive policy priority setting and assist policy makers in identifying government issues, constraints and limitations in the early stages of policy development. This will help policy makers manage community expectations about the level of citizen infl uence.

Better coordination will also help in reducing ‘consultation overload’ as a result of many agencies consulting independently with the same citizens or communities on related issues.

At the coordination stage, policy makers:

• identify all government agencies with an interest in the policy
• ensure appropriate mechanisms have been developed to test agency thinking and gain their support
• discuss the policy proposal with the Cabinet Legislation and Liaison Officer
• discuss the policy proposal with the Policy Division, Department of the Premier and Cabinet
• discuss the policy proposal with Treasury if financial resources are required
• ensure all relevant agencies and relevant staff within those agencies are notifi ed of the policy proposal.

It is important that key stakeholders involved in the issue identification and policy analysis stages of the policy development, particularly those from across  government, be involved in the coordination stage to assist with validation of the final draft policy.

Benefits of effective engagement at this stage:

• more coordinated and integrated policy development across government
• better aligned government policies
• more robust and sustainable policy outcomes for communities
• managing expectations about the level of citizen influence
• reducing consultation overload through better policy coordination
• validation of the fi nal draft policy.

6. Decision

Seeking approval from the relevant decisionmaker to implement the chosen policy. Cabinet is the principal decision making body of the government. If there are financial implications of the policy, the Cabinet Budget Review Committee (CBRC) must consider it prior to submission to Cabinet.

The policy decision and approval process serves many purposes. The process:

• allows decision makers to ensure the organisational alignment of the policy’s strategic direction
• confers authority on the policy objectives and actions
• presents an important opportunity to assign resources and responsibility for implementation and to map resulting accountabilities.

It is important throughout the policy cycle, but particularly at the decision stage, that citizens and communities involved in policy development are provided feedback on their input. It is also important that decision makers are well informed about the results of engagement.

Citizens will expect policy makers to provide them with clear reasons for adopting a particular option and how the concerns and ideas raised by them during the  engagement process were addressed. Without feedback at this stage in the policy cycle, citizens may become frustrated and cynical about the value placed on their
involvement.

A process to provide stakeholders with effective feedback at this stage will add integrity and transparency to the policy engagement process. It will also assist citizens and communities to better understand the policy decision making process.

Benefits of effective engagement at this stage:

• effective stakeholder feedback will add integrity and transparency to the engagement process
• it will assist citizens and community to better understand the policy and decision making process.

7. Implementation

Implementation involves introducing the policy into practice after the decision to adopt a course of action has been made.

The purpose of the implementation step is
to ensure a smooth transition from policy development to policy implementation. It is important at all stages of the policy development cycle to consider practical, achievable implementation strategies.

Due to the possible impact on citizens and communities, the processes of policy development to policy implementation may
present some of the greatest challenges in the policy process.

During this stage, policy makers develop and clarify timeframes for the implementation of the policy and allocate resources. Effective engagement of stakeholders during the implementation stage will assist in gaining broad support for the policy.

Effective engagement of citizens and communities that will be affected by the policy or who have a signifi cant interest in the policy will assist in identifying any arising risks or issues in the implementation stage.

Benefits of effective engagement at this stage:

• engagement of government and community stakeholders will assist in gaining broad support for the policy
• engagement of impacted citizens and communities will assist in identifying risks or issues
• a cooperative approach to implementing the policy.

8. Evaluation

Evaluation is an assessment of whether a policy is working in practice. Evaluations are important to ascertain if they are effi cient (good value for money) and effective (delivering the desired outcomes).

Evaluation enables government to examine learnings about the policy development and implementation process and to gauge the impact of a policy and adjust or  rethink policy design as appropriate.

In effect, evaluation starts the policy cycle afresh, with a new look at the problem and a reconsideration of the recommended instruments and the policy development processes.

Key stakeholders and representative samples of the citizens affected by the policy can assist in evaluating the policy, implementation and resulting community outcomes.

Benefits of effective engagement at this stage:

• to identify the effectiveness of the policy in practice
• to identify the appropriateness of the policy instrument
• to identify the effectiveness of the policy implementation
• to assist in evaluating the quality of the engagement process in policy development
• to examine learnings about the policy development and implementation process.