Consultation Tool Kit

This tool kit is designed to be an easy to understand, step-by-step guide. It is not intended to be prescriptive, but to give you helpful hints, tips and advice for planning and carrying out consultation work.

Whether or not there is a legal obligation to consult, if consultation takes place, it must be carried out fairly and comply with the following principles:

Consultation must be at a place when proposals are still at a formative stage
The proposer must give sufficient reasons for its proposals to allow consultees to understand them and respond to them properly
Give sufficient time for responses to be made and considered
Responses must be conscientiously taken into account

In addition to the eight steps outlined below - you also need to consider and use:-

Minimum Standards
Community/Equality Impact Assessment
Consultation register

If occasions arise where the guidance or timeframe are not appropriate (for example if a shorter consultation period is required)or need to be changed, please indicate the reasons for this.

The tool kit is broken down into eight steps

Step 1 - Defining your project aims and objectives

Step2 - Resourcing your consultation

Step3 - The level and method of consultation required
Step4 -Identifying with whom to consult

Step5 - Making sure your consultation is inclusive

Step6- Planning your consultation

Step7 - Using the results
Step8 - Evaluation of your consultation

By clicking the above links,you will find a range of tools and advice to help you with each step of the consultation tool kit.

If you needhelp, more information or to register a consultation, please contact:

Corporate Policy and Consultation Manager on ext 7573 or

Minimum Standards

Northampton Borough Council minimum standards are –

For key issues, the traditional approach was to allow a minimum of twelve weeks for people to respond. The Government's latest guidance suggests that timescales should be proportionate and realistic to allow stakeholders sufficient time to provide a considered response. In practice, this might typically vary from 2 to 12 weeks.
Your proposals should be clear on who may be affected, what questions are being asked and the timescale for responses.
Ensure that your consultation is clear, concise and widely accessible.
Give feedback regarding the responses received and give information on how the consultation process influences the policy or delivery of the service.
Monitor your services effectiveness at carrying out the consultation exercise and be able to analyse the degree in which consultations affect the eventual policy development/activity.

The Planning department has its own set of minimum standards which are outlined in the "Statement of Community Involvement".

Data Protection

Please let people know when consulting how information collected will be used and stored, in accordance with the Data Protection Act 1998.

Survey Monkey Statement

Northampton Borough Council uses SurveyMonkey to host surveys and collect responses. SurveyMonkey was chosen as it provides the security that the Council regards as essential when handling information. It also provides a service which is widely used and trusted as well as offering value for money. The Council has investigated the data assurance and legal framework which SurveyMonkey provides and has satisfied itself that it meets the requirements of the Data Protection Act 1998.

SurveyMonkey Europe Sarl (SurveyMonkey's Luxembourg subsidiary which servestheir non-U.S. customers), is regulated by European Union data privacy laws. Although respondent information will be held on the servers of the parent company which is based in the US, SurveyMonkey is a member of the US 'Safe Harbor Scheme'. This scheme, which is run by the US government, ensures that data is protected to the same level as it would be in the UK.The Safe Harbor scheme is recognised by the European Commission as providing adequate protection for the rights of data individuals in connection with the transfer of their personal data to signatories of the scheme in the USA.

In addition to this the Council highlights in its surveys where personal information is asked for so that the respondent can make a fully informed decision about whether they wish to give their information or not.

Step 1 - Defining your project aims and objectives

Before undertaking any consultation you should establish why you are undertaking it and what it is you want to find out. Think about what you are going to do with the outcomes and what decisions will be influenced. Consultation with the public raises expectations so you need to be sure the people you engage with understand how you plan to use your results. You may like to use the consultation brief form to help you do this.

Ask yourself and anyone involved in the consultation:

What information or change is wanted at the end and what do we not have now?
What are the key aims?
What type of report do I need to produce at the end?
What will the information be used for?

Think about your objectives for consulting, engagement and involving - which of these do you want to do?

Compare and challenge the existing service
Look for unmet need
Shape the way your service is delivered
Measure satisfaction with the service
Prioritise future spending
Set targets for the service
Check out reaction to new ideas or initiatives
Look out for quality improvements
Check opinions, views and/or attitudes

Think laterally:

Is there any national/regional/local data or research that could help address what you're trying to find out?
If other similar or recent exercises have already taken place - you do not want to repeat work that has already been carried out
What other consultation is currently being undertaken internally and by our partners - watch out for consultation overload
Is there any consultation planned in the near future - you should maximise the opportunity for joined up work.

Think about whether you really need to undertake the exercise:

The council has limited staff and financial resources and we need to ensure that we use them as efficiently as possible. Below are some circumstances in which carrying out consultation may not be justified or needed.

Those decisions subject to strict direction from government
A problem that can be resolved without the proposed exercise
When a similar exercise has been carried out recently
When the decisions have been made and nothing would be gained by further work
If there is not enough time or resources to do it properly
If people don't have enough information to give adequate answers.

Think about communication and feedback:

If participants see nothing happening as a result of their involvement they will be disillusioned, dissatisfied and much less willing to get involved again. Try and avoid this by building feed-back mechanisms into your project, in particular to summarise how the consultation has helped shape any subsequent proposals.

Please contact the Corporate Policy and Consultation Manager on 01604 837573 for help.

Step 2 - Resourcing your consultation

Before you start any consultation, think about the resources you need. Careful planning at this stage will help you avoid running out of time and money.

Costs could include:

Anticipated cost for carrying out the consultation itself, including any analysis of the results.
The anticipated capacity required in terms of people and other competing priorities.
The potential resources required implementing changes required following the outcomes of the exercise.

Step 3 - The level and method of consultation required

Consultation is just one form of engagement. You therefore need to decide if consultation is the most suitable approach to achieve the outcome required . . .

Different types of engagement include:

Engagement for information (Communication) - Letting people know what will happen.
Engagement for consideration (Consultation) - Letting people know what could happen and what scope would be for their comment
Engagement for improvement ( Consultation) - Seeking customers and service users views specifically to bring about an improvement in services
Engagement for involvement (Involvement) - Involving people in the development of service standards and delivery.

Consultation Methods

The method that you choose will need to be based on what helps you to achieve the aims and objectives of your exercise.

There is a range of consultation methods that you can use across any part of the spectrum. These can be split broadly into two categories:-

Quantitative methods

Qualitative methods

Step 4 - Identifying who to consult with

You need to ensure that you consult with an appropriate number and range of people, groups or organisations because:

We want to find out the views of a robust cross section of the community
People are individuals and have different needs and aspirations
We want to hear the voices from all sectors of our community
We need to be accountable to people locally in providing the right services in the rights ways to meet their needs

The following are examples of the groups of people or individuals that you may wish to consult:

External Customers

Users of collective services/indirect users e.g. people who have their waste collected by us
Users or customers of your service or proposed service: (include those who pay directly and those who pay indirectly e.g. through council tax, as appropriate)
People we enforce against or who are regulated (e.g. Landlords)
People affected by policies or developments (e.g. Planning Suppliers/businesses/Services providers)

Internal Customers

Staff
Elected members
Other directorates/sections
Trade Unions
Cabinet members/Portfolio holders
Overview and Scrutiny Committees
Ward members
Audit Committee
Licensing Committee

Current non-users

People who are unaware of the service
Dissatisfied ex-customers
People who might need the service at a later date

Partners

Partner organisations (e.g. voluntary and community sector, health, probation, other councils - parish, county, districts, government, businesses, contractors, MPs etc.)

Interest groups and others

Interest or pressure groups
Everyone living in a specific location or neighbourhood
Community forums
People who work in the area
People passing through

Particular demographic groups (includingprotectedcharacteristic groups we are required to involve and consider under our legal duties)

Children and Young people
Families and carers
Lone parents
Pregnancy and maternity
Students
Minority/diverse ethnic groups including Gipsy and travellers
Older people
People facing geographical or technological disadvantage
Disabled people (we need to recognise that there are a wide range of disabilities and to reflect this in our consultation)
Gay, lesbian, bisexual, transexual people
Transgender people
Low income families
New arrivals
Women
Men
Employed/unemployed
Religious/faith groups and those of no particular faith/religion e.g. humanist, secularists, atheists
Communities and neighborhoods
Peoples who voices are seldom heard or not traditionally recognised

Carrying out a community or equality impact assessment on the issue you are considering will help you identify who needs to be included both in developing the impact assessment to be published for the main consultation and in terms of the range of people, organisations and media you will want to encourage people to take part in the consultation.

Stakeholder analysis and mapping

For details, see:The six tests for StakeholderIdentification analysis

Step 5 - Making sure that your consultation is inclusive

The Council is committed to giving equality of opportunity (including having a say on things that matter to them) for everyone who lives, works in or visits Northampton.

When carrying out engagement work, Councils and other public authorities have a duty to assess and address the barriers to engagement with groups or individuals who voices are seldom heard. Consider what information you have about your potential customer group to understand who you ideally want to be able to reach.

Community/ Equality Impact Assessments should be considered as a key tool in policy making and form an integral part of most consultation exercises.It is important to involve people with protected characteristics (e.g. young people, older people, people with disabilities, etc.) early on and to recognise that sometimes how people experience what we do may not be what we expected or intended. Involving people early on can help to shape proposals and approaches to consultation to make them work for as many people as possible. Impact assessments are vital for credibility and reliability.

What do we mean by communities or individuals whose voices areseldom heard or recognized?

We used to say 'hard to reach' people or communities. The reality was that sometimes we did not meet the different needs, cultures and ways of working with all of the different communities that we want to work with. It was also sometimes the case the views of these communities, if they were sought, were not then taken seriously. Here are some examples of the barriers that different groups and individuals face.

Age related - children, young people, some people with disabilities and some older people may require innovative ways of consultation. Sometimes young people can be helped to take part by posting the consultation information on Facebook, perhaps on the Northampton Youth Forum with a link to help them complete surveys online - or invites to events. When working with children, young people and vulnerable adults remember to take account of safeguarding duties.

Attitudes/prejudices - toward certain groups. Ensure that people within your own team (and of any external researches used), have the understanding, training empathy and objectivity to consult effectively with all demographic groups. Sometimes people may fear attitudes or prejudices based on experience with other organisations. Using NBC's Northampton Forums networks may help to reach out to people (e.g. to transgender people) and show we're serious about wanting to hear from them, prepared to meet in safe spaces and treat them with dignity and respect.

Lack of understanding - of a different culture or religious custom. See above.

Physical barriers - for disabled people, such as easy access to buildings, requirement for hearing loops in meetings. If the venue you are using is in the Disabled Go access guide ( then mentioning this in your invites may help people with disabilities and their carers plan to take part. For some people with less access to cars or with disabilities that fluctuate during the day, remember that it may be easier to meet you in an afternoon rather than an evening.

Information - our equality duties require us to communicate accessibly with people. So be sure to publish in accessible formats. Use simple language and style e.g. RNIB Clear print guidance. You can find helpful links to make documents accessible in our equalities web pages at .

Jargon - all communications to the public should be in plain English. You can find a jargon buster in our equality web pages at and you can run a readability check on your work in Word.

Geographical remoteness - try to hold consultation in the community and make use of social media networking, email networks etc. where appropriate. Check that venues are accessible to your target audience e.g. sometimes dark roads and driveways may deter people travelling on foot.

IT - remember some people have no access to a computer or are not confident using them. The equality duties require you to consider how you can provide information to people without such access - your equality impact assessment and involvement of people at the early stage may help you identify efficient and effective ways to do this.

Inconvenience - such as limitation on the time they are available, as experienced by commuters, parents or voluntary groups.

Low income - they may feel that they won’t be listened to or can’t afford to get there and so choose not to take part.

Homeless or temporary residence - such as Gypsies/travellers, students, migrant workers. Go to where they are and at an appropriate time.

Holidays - consider the potential impact of holiday period and religious festivals when many people are away, fasting etc.

Technical issues that affect the way responses may be treated.

If there are technical reasons for the way we subsequently use the results of any consultation or research with a particular group, we must explain this.

For example:-

Weighting of responses - there will be occasions when expected response rates may vary depending on the issue under consideration and on the level of public feeling that may apply. Please explain how information will be analysed and also the importance/relevance that will be placed on responses.

Minimum response rate - indicate if there is a minimum response level when you may consider repeating the exercise or modifying your approach. You may like to check sample size calculators available on the web.

Step 6 - Planning and doing your consultation

Consultation with our communities should inform service planning and decision-making. You will need to establish when the results of your exercise are required to enable deadlines to be met. Please consider availability of Management Board, Cabinet or other decision-making forums. If the results of your consultation work leads to a key decision then it needs to be included in the forward plan. If in doubt always check with the meeting services team.

If follows therefore that adequate time be allowed for an effective consultation.

The time available can be an issue for some community groups for a number of reasons:

They may need to have consultation materials translated
They may need to convene a special meeting
They may need to avoid specific religious holidays or other events
They may need to make arrangements to be able to attend your consultation meeting (e.g. transport, people with caring responsibilities)
Young people may need to be at school during the day and unable to stay late in the evening particularly on school nights

Some people may prefer to be able to participate online due to the barriers that make it difficult for them to attend meetings.