Guidelines for Effective Regulatory Consultations

Checklist 1

A clear statement of purpose at the beginning of the consultation plan should:

Yes

N/A

Explain the problem the proposed regulations are addressing

Explain why the regulations are being developed (i.e. economic, social, or safety benefits)

Define what the proposed regulations will do

Describe how the regulations will be developed (i.e. process to be followed)

Outline the scope of the regulatory consultation process (i.e. what can and cannot be considered as part of the consultations)

Identify the authority for the regulations

Be written in plain, easy-to-understand language

Checklist 2

In conducting an internal scan, officials should:

Yes

N/A

Determine senior management's commitment to the proposal

Confirm ministerial support for the proposal

Determine whether there is appropriate policy authority for the regulatory proposal

Assess consistency with government priorities (e.g. Speech from the Throne, budget)

Research emerging legislation, policy, or litigation that could affect the consultation

Checklist 3

In conducting an external scan, officials should:

Yes

N/A

Determine the level of public interest (e.g. public opinion research, degree of impact on citizens)

Examine how the general public might perceive the issue

Assess stakeholders' perceptions of the proposal

Review past positions of stakeholders (e.g. websites, previous submissions, letters, past consultations)

Determine whether the issue is contentious (e.g. whether there is special interest or media interest)

Assess the social, economic, health, and/or environmental impacts of the proposal

Examine relevant reports from parliamentary committees

Review reports from relevant independent bodies

Assess potential provincial, territorial, and municipal government views

Review any previous lobbying by stakeholders

Assess whether there will be difficult choices or trade-offs

Determine whether certain stakeholder groups benefit more than others

Determine whether there were similar approaches taken by other governments

Checklist 4

In developing realistic timelines, officials should:

Yes

N/A

Assess the level of knowledge, understanding, and expertise of stakeholders (i.e. determine whether there is a significant level of learning required on the part of the public and/or the government for informed discussions to take place)

Determine what information needs to be developed or collected for stakeholders

Determine the appropriate time of year for the consultations to take place (e.g. account for summer

Assess whether the deadlines for decision making are realistic

Factor in the timing of other 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)

Prepare and implement a communication plan

Assess the time needed for participants and stakeholders to understand material, consult with their constituencies or members, and prepare input

Research the availability of both government officials and stakeholders

Determine the amount of time required for the consultation

Determine the time required for contracting outside help (i.e. bidding times, internal process, approval)

Assess how many consultation sessions are required

Determine how much time is required to analyze the results and report back to stakeholders

Determine the time required for translation of material / background documents and participant input, if necessary

Checklist 5

In developing a consultation plan, officials should:

Yes

N/A

Discuss the proposal with relevant policy centres within the department

Seek the advice of departmental communications and consultation experts

Liaise with corporate services (e.g. financial, contracting, translation, webmaster)

Conduct a file search for similar consultations

Resolve internal departmental issues

Conduct a scan of other departments' roles and mandates to determine whether other departments are concerned (i.e. review websites, liaise with other departments)

Review and update the Consulting With Canadians website

Determine whether other departments have recently conducted consultations on similar topics

Examine potential areas of collaboration with other government departments

Contact regional offices and provinces and territories if required

Hold meetings to brief other government departments on the proposal

Identify the views of different departments on the proposal

Checklist 6

In selecting consultation tools, officials should:

Yes

N/A

Research previous consultations to determine the methods usually used for consulting on this issue and with these stakeholders

Assess the advantages and disadvantages of using various consultation tools

Facilitate stakeholder involvement in selecting the most appropriate consultation tools

Determine whether different interest groups should be brought to the same consultation meeting

Assess whether consensus is the goal of the consultations

Ensure that the consultation tool selected is appropriate for the size and scope of the proposal

Checklist 7

In selecting stakeholders, officials should:

Yes

N/A

Define the range of stakeholder involvement

Identify which regions of the country should be represented

Develop criteria for selecting participants

Determine participant availability

Research who has been consulted on similar topics

Contact key stakeholder groups for advice on who should participate

Do a web search for relevant groups

Consult other officials or departments to identify participants

Post a notice on the departmental website advising of the consultation process

Send a letter to stakeholder groups

Consider advertising in local newspapers or trade publications, or on radio or television

Checklist 8

In developing a budget for a regulatory consultation, officials should:

Yes

N/A

Determine the funds available

Determine whether the consultations will be facilitated by a third party

Assess whether funds are adequate for the scope of the consultations

Examine whether other government departments can contribute to the funding

Evaluate whether contractors are needed for the preparation of written materials

Determine whether translation (written and simultaneous) is required

Determine whether an independent evaluator is required

Assess whether IT support is necessary (e.g. webmaster)

Calculate travel costs (based on regions of the country that need to be visited)

Determine the kind of facilities required (e.g. hotels, conference centres, government facilities)

Calculate the cost of notifying participants or the public of the consultations (i.e. advertising, mail-out, website)

Determine whether arrangements might be required for participants with special needs

Assess whether intervener funding is available

Checklist 9

In conducting an ongoing evaluation, officials should:

Yes

N/A

Determine the tangible results expected from the consultation process

Assess the key activities that need to be carried out as part of the consultation

Determine whether a neutral observer would be beneficial for monitoring the process

Assess whether the methods used are appropriate for the identified objectives

Evaluate whether the timetable allows enough time for input

Develop a tracking document

Ensure that all comments are recorded

Determine whether there is an appropriate number of participants

Assess whether stakeholders feel that the consultation is worthwhile

Checklist 10

In conducting a final evaluation of the process and results of the consultations, officials should ask the following questions:

Yes

N/A

Were the views received what you anticipated?

Was the method effective in engaging different groups and individuals?

Did those consulted feel the process was worthwhile?

Did the methods suit the objectives?

If more than one method was used, what were the advantages and disadvantages of each?

Were the quantitative and qualitative information, response rate, and representative sample anticipated?

Was the timetable clear and adhered to? If not, why not?

Was enough time allowed for input?

Was the information used in the process effective?

Was relevant information made available to the appropriate participants?

Was the information easy to access, relevant to the consultation, produced in plain language, easy to understand, and available in other languages and formats?

Was the process adequately budgeted for?

Were the supporting materials effective? For example, did the consultation document encourage informed deliberation and dialogue? Was the information easy to access, clear, and objective?

Did you follow up with those consulted, and was that input used?

Checklist 11

In communicating neutral, relevant, and timely information, officials should:

Yes

N/A

Determine the level of knowledge, including technical knowledge, and range of expertise among participants

Provide timely information in clear, plain language

Explore whether a learning event is necessary

Distribute necessary background information

Decide whether stakeholders should be provided with a draft regulatory text

Include contact names and related contact information

Ensure that all stakeholders are provided with the same information

Develop a code of conduct for the consultation and obtain the agreement of participants

Checklist 12

In facilitating a regulatory consultation process, officials should:

Yes

N/A

Share expectations for the consultation process with participants and encourage participants to do the same

Establish a participant code of conduct

Let participants express their viewpoints, without expressing their own thoughts or feelings

Understand the importance of the issue for participants, and whether any conflicts need to be resolved or can be set aside momentarily

Separate the problem into components and develop solutions for each component

Determine the potential for satisfactory resolution of a problem

Determine whether participants are willing to explore alternative solutions