Guidance on enhancing public participation - Summary

Contents

1. Introduction

2. Starting from where people are at

3. The key challenge

4. Improved comprehension

5. Better communication

7. Strengthening connections

Further information

1. Introduction

Involving the public in the decision-making and judgements of the local authority is a challenging and difficult task. At the same time it can be a rewarding experience which enhances both the legitimacy of decision-making and the value of what is produced. Effective participation can bring a better policy direction, improved services, a new imaginative way of tackling an issue, better understanding and more broadly a sense of hope and a shared commitment to change. Yet it is also clear that participation has the potential to go off the rails. The key issue is how to ensure that participation is done well and effectively in your authority.

Local authorities have considerable experience of participation. Indeed, the research conducted to support the guidance document shows that local authorities have built up a substantial expertise in this area. 'Traditional' forms of participation such as public meetings and consultation documents are well established. So too are 'consumerist' approaches such as service satisfaction surveys or suggestion schemes. But what is also remarkable - given their short history in local government - is the take-up of innovative approaches such as focus groups, citizens' panels and various types of standing fora such as area committees. Indeed, by 1997 a quarter of all authorities had interactive web sites.

The commitment to participation is strongly endorsed and supported by the policies of the government. The LGA has emphasised the importance of enhancing public participation. Taking Best Value seriously means being able to learn from service users and demonstrate how that learning has had an impact on services. Developing 'joined-up' responses to issues such as crime prevention, public health, and traffic congestion demands an ability to work with and through the public. More generally, the Government's White Paper Modern Local Government: In Touch with the People captures the core idea in its sub-title. It argues that local authorities fit for the Twenty-First Century are built on 'a culture of openness and ready accountability'.

There is a consensus that being able to engage effectively in public participation is a key characteristic of successful councils. There is a great deal of good practice out there and the guidance document provides information on where to obtain more detailed advice on particular participation techniques and issues. However, the main message of our research and consequently the focus of the guidance is on the need for local authorities to develop a more systematic and strategic approach to their attempts at deliberately stimulating participation.

Research reveals a preference for ad hoc initiatives with respect to participation, often relying upon the support of key individuals. A lack of formal strategy can reduce the legitimacy and robustness of public participation activity, leaving initiatives vulnerable to political and personality-based changes. It is important to ensure that participation is built into the heart of the local authority. Effective public participation needs to become the responsibility of all councillors and senior officials and not just left to the preferences and commitment of a few. Enhancing the quality of participation is vital to the future of local government.

2. Starting from where people are at

Developing an effective strategy for public participation requires a realistic and hard-nosed assessment of the attitudes of the public as well as the diverse perspectives that are likely to exist within local authorities. The research undertaken to support the guidance document confirms that there is a considerable gap between the understanding of participation held by the public and that of officialdom. That such a gap exists is in many ways not surprising, there always will be some distance between the people and 'authority'. Yet if the gap becomes too great, democracy cannot function. An effective participation strategy needs to recognise the nature and scale of the differences that exist between those inside the 'Town Hall' and the public, and then attempt to do something about closing the gap.

So what typically do the public think when offered the chance to participate? The research undertaken for this guidance reveals that people:

• are most likely to participate in initiatives which address their stated priorities;
• mobilise and work through local leaders;
• welcome being actively recruited or invited to participate.

Equally, they are put off participation by:

• assumptions that the council will not respond;
• a lack of awareness of opportunities;
• a perception that participation is dominated by certain groups or views.

It is clear that some groups - young people and ethnic minority groups - can be particularly hard to reach.

Within local authorities there are a range of perspectives on participation. The research found a complex set of motives among officialdom:

• some emphasise how participation is about encouraging a greater understanding of what the council is trying to do;
• other comments suggested that participation confirmed decisions that had been already made.

There were also a range of other assessments. Many stressed the value of participation in revealing the public's preferences and experiences and thereby improving the authority's decision-making and service delivery.

The research found some fears about participation that were commonly expressed by councillors and officials:

• the danger of raising unrealistic expectations;
• worries about the 'representativeness' of those who participate;
• a concern that the authority's decision-making responsibilities might be usurped.

There was also a recognition that in many cases participation seemed to have very little impact on the operations and decision-making of the authority. On the other hand, many could point to times when participation had helped avoid unpopular decisions and shaped better informed policy-making.

A recognition of this mixed picture of positives and negatives provides the starting point for an effective participation strategy. Each authority needs to review its experience but it is likely to find a complex combination of triumphs and disasters.

3. The key challenge

Every local authority can claim some valuable experience of participation but no authority can yet claim that they have built participation into the heart of their organisation. It is time for participation to be no longer regarded as a luxury or an add-on frill to the normal working of a local authority. To build an enhanced and more effective approach to public participation requires a local authority to develop a systematic and strategic approach. This does not imply the production of some great written plan or set of rules about when and how to organise participation, although some guidance document specific to the needs of your authority might be appropriate. What is necessary is to ask how to deeply ingrain a commitment to participation throughout the authority and ensure that the many tensions and difficulties associated with participation are addressed.

The guidance document identifies four key sets of activities in developing an effective participation strategy:

• Improved comprehension
• Better communication
• Building capacity
• Strengthening connections

4. Improved comprehension

An important element in effective action rests on being clear about goals and capable of selecting the most appropriate participation technique given the circumstances and context. The first task, then, is achieving fitness for purpose.

4a. The objectives of participation

In order to clarify thinking the guidance document suggests that for local authorities the objectives of participation are likely to fall into three categories: information, learning or exchange.

• Information has the prime target of providing an opportunity for the public to be better informed and gain an understanding of the Council's policies or priorities.
• Learning takes as its focus a concern to listen and learn from the public.
• Exchange involves a commitment to define issues and debate problems and solutions with the public.

There are, of course, other more particular objectives at play in selecting a participation technique but clarity about which of these over-arching objectives is dominant can greatly help the achievement of fitness for purpose.

4b. The need to review

Achieving fitness for purpose requires an assessment of the circumstances and context in which the authority is operating. Indeed, a regular review and audit of the experience of participation is appropriate. It is important to gain a sense of best practice, to know what techniques seem to work best, and in what circumstances. It is also necessary to ask if particular groups are being overlooked. Regular reviews will provide an infrastructure of information and understanding for the more particular selection of a participation technique. Reviews can in turn build on a process of on-going monitoring of participation initiatives (see later).

4c. Achieving fitness for purpose

The guidance document identifies a number of steps to be undertaken in achieving fitness for purpose. They include clarity about the objective, identifying who the participation exercise is aimed at, consideration of the time-frame, and an understanding of the appropriate level of resources to be committed.

Some methods are more appropriate for particular purposes as the following table illustrates:

Purpose	Participation Technique
Information	Consultation Documents, Media Coverage, Exhibitions, Public Meetings, Question and Answer Sessions.
Learning	Complaints/Suggestion Schemes, Service Satisfaction Surveys, Citizens' Panels, Advisory Referendums, Co-option, Focus Groups.
Exchange	Interactive Web sites, Citizens' Juries, Vision Exercises, Various Forums.

The final choice of method will depend on a whole range of factors once purpose is clarified. Some techniques are better suited to large groups, others are more targeted. Some require more human resources and financial input than others. Some sit more comfortably with the culture and approach of a particular authority than others. It would be unwise to prescribe techniques for particular purposes. The judgement about fitness for purpose has to be made in the light of each case. The challenge is to establish a procedure so that fitness for purpose can be determined, reflecting the various objectives of the authority.

Beyond striving for fitness for purpose, there are two other broad issues in achieving improved comprehension for an authority's participation strategy: resources and evaluation.

4d. The resource issue will need to be addressed

But the question is not : can participation be afforded? If participation is seen - as it should be - as an integral part of the authority's everyday functioning, the issue is achieving value for money. Participation methods range from the 'cheap and cheerful' to the elaborate and expensive. It is always possible to find one that matches the issue at hand given the constraints of context and budget. Again the key challenge is strategic selection.

Participation spending should be seen as part of the routine activities of the authority and budgeted for appropriately. Although there may still be a case for a special fund in order to stimulate and support particular participation initiatives.

4e. Evaluation and Monitoring

Evaluation is also important to developing a more effective approach to participation. Plainly any evaluation effort needs to be linked to the scale of the participation initiative that is being undertaken. Indeed, ahead of any formal evaluation it is appropriate to consider how to establish an effective monitoring system for participation initiatives.

A formal after-the-event evaluation is appropriate for more large scale participation initiatives. The guidance document outlines a schema for undertaking such an evaluation.

5. Better communication

If the first set of activities revolve around objectives and developing a sense of fitness for purpose in choosing participation techniques, the second set of activities rest around letting people inside and outside the authority know what you are doing. A good strategy and associated practice need to be effectively communicated if the quality of participation is to be enhanced.

Within the authority the commitment to, and value of, participation needs to be communicated. Partners - in the public, private and voluntary sectors - also need to understand the authority's approach to participation.

Communication with the public is also an important ingredient in enhancing public participation. It is vital to be clear about what is on offer with respect to any participation initiative. It is also appropriate and valuable to feed back what you have learnt to the public. They need to know they are being heard.

The general lessons of good communication apply : use plain English, get the message across through a variety of media.

6. Developing capacity

A strategic approach to participation means recognising the need, over the long run, to build an infrastructure to sustain participation. Initiative after initiative is not enough, the issue is how to establish participation both within the authority and among all sections of the community.

To install participation at the heart of the authority it may be necessary to identify 'champions' for participation, support appropriate training and advice services and develop incentives to facilitate participation initiatives. What is required is not 'rocket science' but standard good management practice.

Among the public, it is clear that the capacity to engage in participation is not universally or evenly distributed. This situation places two linked responsibilities on a local authority:

• a concern to see that community organisations that make representations are as representative of their communities as possible;
• a commitment to ensure additional opportunities for access to participation to 'non-joiners'.

It is reasonable to ask organisations in the community to display the qualities of internal democracy and openness that support their claim to speak for a particular neighbourhood or community of interest. This issue is particularly relevant when dealing with neighbourhood councils, tenants' associations etc, that take as part of their task the representation of a wide group of people. Equally, it is important not to become too narrowly concerned with the 'representativeness' of particular groups or organisations. There will always be some limits to the representativeness of any particular organisation and the issue of ensuring that all voices are heard is better addressed by encouraging a wide range and variety of participation opportunities.

The key to ensuring the widest access to participation is to invite a broad range of people to participate rather than wait for people to come forward. There are barriers affecting particular groups - for example frail elderly people - that will need to be overcome. In addition, a wider programme of community development and citizenship education may have a part to play in an overall strategy to build capacity to engage in participation.

7. Strengthening connections

The final element in developing a more systematic and strategic approach to participation is to recognise that participation has got to make a difference. It has got to have an impact on the decision-making of the authority and on the way it delivers services and meets community needs.

Participation needs to be linked into the political processes of the authority. Participation can improve and support councillors in the various executive, scrutiny and representative roles. Participation also should become integrated into the everyday management processes of the authority.

There are tensions that will have to be managed. Participation when difficult resource issues are at stake or sensitive issues are under discussion is not an easy task. In some circumstances, there is no point in denying that the local authority is in a 'no-win' position. The best that can be done is to be honest with the public about what is open for discussion and what cannot be changed.

Participation needs also to be linked to the wider system of governance as well as the immediate decision-making of the local authority. People want to influence more than the services directly in the control of the authority. Equally, if local authorities take on the community leadership role then participation needs to be built into their partnerships.

Further information

Guidance on Enhancing Public Participation in Local Government, priced at £10 (ISBN 1 85112 124 2), is available from:

Department of the Environment, Transport and the Regions
Publications Sales Centre
Unit 8, Goldthorpe Industrial Estate
Goldthorpe, Rotherham S63 9BL

Tel: 01709 891318

Fax: 01709 881673

For further information on public participation in local government or additional copies of the summary contact:

Mark Fox
Local Government Sponsorship Division
Department of the Environment, Transport and the Regions
Eland House, Bressenden Place
London SW1E 5DU

Tel: 0171 890 4082

Fax: 0171 890 4109

This guidance is informed by research undertaken as part of an ongoing joint programme of research involving the LGA/LGMB Democracy Network. The research project was carried out by De Montfort University and the University of Strathclyde.