Better Practice Checklist - 12. Online Policy Consultation
May 2004 (organisational details updated January 2008)
Introduction
An objective of the Australian Government's e-government policy is to enhance closer citizen engagement. Through the use of new technologies, agencies are engaging more widely with the public through online policy information, feedback and consultation. Online consultation provides opportunities to enhance and compliment traditional consultation mechanisms and generate better policy outcomes.
A key role of the Australian Government Information Management Office (AGIMO), Department of Finance and Deregulation is to identify and promote 'Better Practice'. This checklist has been provided as a guide to help agencies consider key issues, and to maximise the effectiveness of their online policy consultation activities. The items in the checklist are, however, not mandatory. The checklist does not cover generic issues related to general policy consultation.
This checklist is intended to be a guide for policy analysts and managers responsible for consultative processes. IT managers may also find the checklist useful in establishing online consultative mechanisms on behalf of policy units in their agencies. This checklist focuses on non-technical issues.
It should be noted that the checklist is not intended to be comprehensive. Rather, it highlights key issues for agencies. The checklist is iterative and draws on the expertise and experience of practitioners. The subject matter and issues are reviewed and updated to reflect developments.
Download PDF of Checklist 12 - Online Policy Consultation [
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Acknowledgments
This checklist was developed with the assistance of Australian Government agencies. In particular, we would like to thank the Department of the Prime Minister and Cabinet, the Australian Bureau of Statistics, Centrelink, the Department of Industry, Tourism and Resources, and the National Occupational Health and Safety Commission.
In addition, we would like to thank the Office of E-Government and the Citizens and Civics Unit, Department of Premier and Cabinet, Government of Western Australia for their comments.
Why consider online policy consultation?
Policy consultation has traditionally been undertaken using methods such as submissions, seminars, public hearings, consultative committees and surveys. The methods agencies choose depend on a variety of factors, including the nature of the policy issue, the goals of the consultation, the key stakeholders and the capacity of the agency.
The Internet provides agencies with the opportunity to complement existing consultation methods. The benefits of online policy consultation parallel those of traditional consultation. That is, they improve the transparency of government deliberative processes, increase the accessibility of policy-based and decision-making information, and may increase uptake by citizens of government programs.
Online methods, however, extend the reach of government consultation through greater access, including availability 24 hours a day, 7 days a week. Online methods can also provide a safer and more deliberative way in which agencies can engage with citizens through secure, faster and more manageable ways of handling a large-scale group input [1]. Online methods can also attract sectors of the community (for example, youth [2]) who may not usually engage with government.
Project managers in charge of an online policy consultation would be expected to refer to their existing agency guidelines on consulting stakeholders and citizens. However, the use of online measures to engage with citizens presents unique challenges, in addition to common issues such as protecting citizens' privacy and security. Project managers may wish to note some of the additional challenges and benefits of using online methods . Careful planning will help agencies to successfully integrate online policy consultation into existing practices.
Beyond the simple provision of a discussion document online, some of the online consultation methods that can be used by agencies are consultation portals or websites, email lists, online surveys and opinion polls, discussion forums on the Internet and e-submissions.
Examples of how agencies are engaging in online policy consultation are available at http://www.agimo.gov.au/archive/better_practice/examples.html [
].
[1] Bowling Together, p. 17, ' It is the asynchronous nature of online engagement that makes manageable large-scale, many-to-many discussion and deliberation. In an online discussion, the gaps between utterance, reception and response are fundamentally different from those in face-to-face or other synchronous settings. In online discussion listening (and lurking) can be just as important a function as speaking (message-posting) and the best deliberative results are often achieved when messages are stored or archived and responded to after readers have had time to contemplate them. Online deliberation can be regarded as deliberation without the crude and suffocating constraints of time that often render synchronous discussions futile, facile or over-heated. Of course, mechanisms of moderation and mediation are crucial to the success of many-to-many, asynchronous dialogue, just as rules, procedures, protocols and habits are essential to the success of face-to-face debates.'
[2] In recognition of this, the Queensland Government has set up the Generate consultation site specifically aimed at youth.
Summary of Checkpoints
Before you start
Identify the business case for undertaking online policy consultation
Identify and consider the needs of the target group to be consulted online
Planning
Determine the degree of interactivity required for the consultation to be effective
Consider the mechanisms that can be used for the online consultation
Determine how online consultation mechanisms will complement any concurrent offline consultation
Identify timeframes
Consider data management and analysis issues
Consider human-resourcing issues
Determine how feedback will be provided to people consulted online
Ensure that users have confidence in the online consultation process
Address security issues
Address privacy issues
Test consultation mechanisms
Deployment and after
Promote online consultation methods
Evaluate the effectiveness of the online consultation process and its impacts
Checkpoints
Before you start
Identify the business case for undertaking online policy consultation
As with other online projects, a business case should inform decisions to undertake online policy consultation.
The potential benefits of online policy consultation can include:
- Productivity may increase.
- Policies or programs may become more tailored, resulting in increased uptake.
- Relationships with citizens who are also customers may improve.
- Access and equity outcomes may be improved for citizens who have difficulty in contributing views and ideas through traditional consultation mechanisms, such as attending meetings (for example, people in remote areas).
- Agencies will have access to some types of feedback data in a format that is less time-consuming to input into agency systems.
- For citizens, access to consultation will increase to 24 hours a day, 7 days a week at a location of their choosing.
- Where the consultation topic relates to online or technology issues, particular benefits in consulting online may arise from being seen to 'walk the talk'.
- If the target group favours the online approach, response rates to the consultation may increase.
Disadvantages may include:
- If the target group do not have ready access to the Internet, they will be disadvantaged.
- Online communication can be prone to misinterpretation. Misunderstandings may occur due to the lack of other communication cues, such as verbal tone, facial expressions and body language, or the lack of appropriate context.
- Resources, including financial resources, will be required.
- Increased numbers of responses will require extra resources to process.
Agencies may like to ask themselves the following questions to help determine any business case:
- Why are we consulting online?
- Will it help us reach more people?
- Will it save us money and/or be cost-effective?
- Will it save us time in the long run?
- Do we have the human/technical resources needed to back it up?
- Do we have the time needed to do it properly?
- Will it complement our offline community engagement efforts?
- Is it appropriate to our target group?
- Will it provide a balanced set of viewpoints (if that is what is sought)?
- Will it provide us with the type of information we are after?
Identify and consider the needs of the target group to be consulted online
Appropriate online consultation techniques will vary according to the group targeted. Groups can include youth, expert groups, rural citizens, etc. Some points to consider include:
- Bandwidth capacity . Some groups to be consulted online may not have large bandwidth capacity. If using online mechanisms for these groups, consider ways in which bandwidth can be conserved. For example, do not require this group to download large documents online, and minimise the use of graphics. Others, for example in the commercial sector, may have access to high-end technology and no difficulties with applications that use considerable bandwidth capacity, such as multimedia.
- Accessibility . There may also be difficulties with online mechanisms for people with sight or other disabilities who depend on assistive technology, such as screen readers.
- Familiarity with online techniques of engagement/discussion . Different user groups will have different levels of experience with online mechanisms. Even familiar users of the Internet may need to be coached in using some online tools.
- Burden imposed on the target audience in order to engage in online consultation processes . Some users may access the online consultation mechanism from home or from an access point where they will pay for the time spent on the Internet. The same goes for business participants. The impact upon stakeholders' resources needs to be considered in the design and implementation of consultation processes. Similarly, consider the needs of people who can access the Internet only infrequently.
In addition, the nature of the target audience may impact upon how the chosen consultation mechanism is displayed on the website. For example, when engaging aged people, it may be appropriate to use larger font; and when engaging people from non-English-speaking backgrounds, it may be appropriate to provide information in other languages. Further information regarding online services for people from linguistically and culturally diverse backgrounds is available in Checklist 19, Access and Equity Issues for Websites.
Consideration may also need to be given to people with poor literacy skills. A more graphical approach may be more effective for these people. For example, many Indigenous people respond better to information that is presented using images and sound rather than a text-dominated medium. This would, however, need to be balanced against bandwidth availability by both the agency and the users. Agencies may wish to consider using video-conferencing technology as an effective mechanism for consulting with Indigenous communities that have access to video-conferencing technology. Use of plain English writing styles and avoidance of technical language may also help these groups.
In some instances it could be useful to have prior consultation with relevant peak bodies of target groups, to ascertain their views on the appropriateness on online policy consultation and to gain their input into the design of the online policy consultation mechanisms and process.
Planning
Determine the degree of interactivity required for the consultation to be effective
Consider how much interactivity will be required for the consultation to be effective. This will impact upon the choice of consultation mechanism deployed. For example, will general comments be sought, through an online survey or similar, or will a discussion-based exercise be more appropriate, such as an online forum or conferencing? Agencies could also consider a combination of approaches to gather qualitative and quantitative information.
Consultation mechanisms that involve higher degrees of interactivity can be more resource-intensive, however.
Consider the mechanisms that can be used for the online consultation
A wide range of mechanisms can be used in online consultation. Each needs to be managed appropriately to be effective. Different mechanisms can be used at different stages of the policy cycle as appropriate.
Provision of documents online for comment
Consultation papers (for example, green papers, discussion papers, drafts for comment) are provided online by most agencies. These can be read online or downloaded. Where agencies are providing consultation papers online, they may wish to consider the following:
- Agencies should set up ways to ensure that the document is not tampered with or altered in any way.
- Ensure the integrity of the document provided. Be cautious when providing documents in some proprietary formats. In some cases where the document has been edited with 'track changes', these edits might still be viewable by users. Other automatically generated metadata may also be viewable.
- Documents should be provided in formats that are accessible to the greatest number of stakeholders. For example, some users may not be able to use documents in PDF, and these documents pose particular challenges for some users with disabilities. Provision of documents in HTML, PDF (Portable Document Format) and RTF (Rich Text Format) may provide the best option for users.
- Consider the download size of the document, and how quickly it can be downloaded by users. Agencies may wish to divide the document into smaller portions or chapters that can be downloaded separately. This may be particularly important for users with slower connections.
- Consider whether the system will support the download of the document by many users at once.
- Ensure that the documents provided don't overload or appear too overwhelming for users. It may be useful to state what each document is and the purpose it serves, as well as to provide a plain English summary.
- As with printed papers, online papers should be clearly marked with details about the consultation period. Papers that are no longer for consultation should be clearly marked as such or archived as appropriate.
- The Internet offers the opportunity to engage the user in a rich online experience by providing links from online papers to other relevant information that will assist users. In providing these links, agencies will need to ensure that this will not be inconsistent with offline consultation mechanisms, and that the links will provide an unbiased view of any issues. It may be useful to include disclaimers if the consultation links to information provided by other sources or to other websites.
- Consider how comments on papers will be received. Options may include an associated online form or survey, or loading up detailed comments or submissions.
Email is possibly the most fundamental means of communication online. Agencies can compile lists of email addresses of interested parties, which can be used to provide updates on consultation progress, new information and upcoming consultations.
When using email, consider privacy and security of information, as well as measures to ensure that bulk emails are not regarded as spam by recipients. Some recipients may have problems receiving documents via email because the documents may be blocked by firewalls. Large documents sent via email may also slow down the email services of some recipients.
In managing incoming email, which can be voluminous, consider setting up routing of information to filter important items from other data and forwarding like items to team members with responsibility for the items.
Mailing lists and newsgroups
Internet mailing lists and newsgroups provide means whereby groups of people can have discussions via the Internet, in a structured fashion. They involve groups of addressees to whom anyone in the group can send a message. Common software for email list management includes ListServ, Majordomo, Mailman and Lyris.
A number of search engines, such as Google and Yahoo, provide facilities for users to set up groups. Use of these facilities may, however, involve complex privacy and security issues.
Managers or moderators of mailing lists and newsgroups can monitor input and regulate activity based on a set of rules. Consider that an unmoderated mailing list or newsgroup may be the equivalent of a public meeting where not a single public official is present, but the government is still fully responsible for the behaviour of participants along with the meeting's outcome.
Forms
Forms of various kinds can be used in online engagement for polls, surveys and comments. Where forms are offered as a document for download, for people with slow or unreliable connections, it may be useful to split large forms into smaller parts as well as to offer a single large file. As noted above, it may also be useful to provide the form in more than one format - that is, in RTF as well as PDF, as some users may not have the facility to view PDF files.
Further information about the provision of forms online is available in Better Practice Checklist 1, Providing Forms Online.
Chat rooms
Chat rooms offer some unique online interaction features. They provide a facility through which geographically dispersed groups can interact at low cost. Chat rooms can, however, be slow and chaotic and can be dominated by one or two individuals. Agencies may need to carefully consider any resourcing and management implications of using chat rooms.
Bulletin boards
The web-based conversation spaces known as bulletin boards, online forums, blogs or conferences rely on a variety of software applications that provide linear or threaded communications capabilities (that is, users can track back and see the thread of discussion).
Linear software presents contributions to the discussion in chronological order and is best for conversational and relationship-building interactions. Threaded applications allow specific responses to specific posts, splitting off sub-threads as needed, and are often used for distance learning and question-and-answer applications.
Determine how online consultation mechanisms will complement any concurrent offline consultation
Consider the use of both online and traditional consultation mechanisms in order to cater to citizens' access and choice preferences both. It may be useful to provide a range of electronic and non-electronic response options - that is, to make it possible to reply via email, online form, fax or regular mail.
Consider also whether using online and offline mechanisms in combination will result in more engagement or uptake of the consultation - for example, a telephone survey followed by an invitation to participate in an online discussion.
Identify timeframes
Consider how long the online consultation will run. The earlier consultation is planned in the policy cycle, the better its chances of success. Online consultations may have advantages over traditional mechanisms as they may be able to be deployed more swiftly and to generate responses and results in shorter timeframes.
Adequate resources must be available for consultation and participation to be effective. This means planning for enough time and human resources to manage, retrieve and analyse responses from online participants.
Short sharp results are gleaned through surveys, polls, referenda, etc. Deliberative exercises require enough time to allow participants to think through an issue and establish where they stand on it. Analysis of results will take time also, and will require further resources and planning.
Consider data management and analysis issues
Depending on the online consultation method used, data may be received via online forms, email lists, discussion forums online and other databases. Time, resources and expertise will be required at the end of the process of gathering data from users.
Consider how this data will be handled to facilitate analysis. Responses to closed or multiple choice questionnaires or surveys can be quickly processed, while online submissions and the results of online discussion forums will call for a greater investment. Users may also appreciate information about how their input will be managed and analysed.
Storage and archiving of data will also need to be addressed. Further information on this is available in Better Practice Checklist 7, Archiving Web Resources.
Consider human-resourcing issues
In addition to technical support, some online consultation mechanisms, especially interactive ones such as email groups and newsgroups, are likely to require facilitators, moderators or administrators.
Consider whether you need people in these roles who are familiar, or expert, in an online environment. While most facilitators will have skills in stimulating debate, resolving conflict and group facilitation, and excellent communication, a moderator or administrator will also need to have Internet experience, familiarity with common netiquette and the ability to assist less familiar users of online tools.
Determine how feedback will be provided to people consulted online
As with traditional consultation methods, contributors to online consultation mechanisms will probably expect feedback about their contribution. As they have provided their input online, they may expect feedback online quicker than in the past.
Feedback can be important to help ensure that participants do not become disenchanted with the consultation process, which in turn could affect their involvement in future consultation processes.
Feedback may comprise acknowledgment that the contribution has been received, and thanks, as well as indications of what will happen in the process after the consultation period and of how participants will be informed of progress.
The range of ways in which feedback can be provided online includes:
- setting up a Frequently Asked Questions (FAQ) page on the website
- replying by email to direct questions raised
- providing online a summary of the process (including, for example, a visual map of current status in relation to the policy cycle)
- posting results of surveys
- publishing comments and discussions expressed in a deliberative online forum (if privacy issues are addressed)
- at the end of the exercise, providing a report online of the outcomes of the consultation and the final policy changes.
Ensure that users have confidence in the online consultation process
Potential contributors to online consultation mechanisms may need to be reassured about the process through which their contributions are gathered. This reassurance can confirm that the online consultation mechanism provides a 'level playing field' for the airing of different viewpoints.
In more interactive online consultation mechanisms, such as online discussion forums or Internet bulletin boards, clear and transparent rules for participants may help reassure users. These rules may include:
- maximum length of messages
- maximum frequency of messages
- stated attitudes or a code of ethics in relation to offensive language or defamation, spam and coercion.
Agencies may wish to use an online moderator to ensure that any participant making a point receives a fair hearing and that the discussion is conducted in a fair and cordial manner. The moderator's role could be to:
- help participants to reach conclusions
- summarise the deliberation and set out key points and conclusions in a balanced and accessible form
- ensure that participants receive feedback on their input.
It may also be useful to provide a telephone hotline and email address for users to contact for help regarding use of the online consultation mechanisms or for further information about the consultation process.
Address security issues
Information provided by users may be sensitive and confidential. As with other online applications, online consultation mechanisms need to provide users with an online service that is secure, as well as to have secure back office processes.
Users of consultation mechanisms may need to upgrade the computers they are using if the computers do not support appropriate security such as 128Bit encryption. Agencies may suggest that users check whether their computers support appropriate security before using online consultation mechanisms.
Address privacy issues
Potential users may be concerned about their privacy and about how any personal data collected from them will be used. Clear guidelines to participants on how the privacy of their personal information will be assured can contribute to greater levels of trust in the online consultation.
Agencies are bound by the Privacy Act (1988), and the Privacy Commissioner's Information Privacy Principles (IPPs) ( www.privacy.gov.au/publications/ipps.html []) provides the definitive guide on the use of personal information collected by government.
The Guidelines for Federal and ACT Government World Wide Websites supplement the IPPs for handling personal information through websites (www.privacy.gov.au/internet/web/index.html []).
Test consultation mechanisms
As with other online applications, online consultation mechanisms should be tested throughout the development process.
Testing with users can reveal a range of issues, including whether the mechanism is usable and accessible to the target group, how reliable it is and whether the mechanism will require the use of human intermediaries (for example, to filter or monitor input to the process). Further information is available in Better Practice Checklist 3, Testing Websites with Users .
Deployment and after
Promote online consultation mechanisms
Consider how the online consultation will be promoted to the target group.
Ways of alerting potential participants to the online consultation exercise may include:
- paper-based promotion (for example, pamphlets and brochures)
- telephone surveys or advice
- notices on appropriate websites, including those of peak bodies and other organisations
- notices in appropriate government shopfronts
- leveraging existing networks
- media releases.
Agencies may consider promoting current consultations on the home pages of their websites, possibly under 'What's new' or a 'Currently consulting on' link.
Further information on the promotion of online services is available in Better Practice Checklist 20, Marketing E-government.
Evaluate the effectiveness of the online consultation process and its impacts
Evaluation of the use of online consultation mechanisms as part of the overall evaluation of the consultation process can reveal useful information for future initiatives. Agencies may wish to evaluate both their and the user's experience of the process.
An online evaluation facility for users can complement the broader evaluation of the consultation process. This could involve an evaluation form provided on the consultation web page. A sample of participants could also be invited to be part of a focus group, to obtain deeper qualitative information. Agencies may decide to evaluate the user experience at two stages: firstly, when the user has completed their input; and secondly, when the final outcomes are distributed to the user. Some of the questions that might be considered are:
- How easy or difficult was it to find the online consultation facility on the website?
- To what extent did the information on the web page answer any questions you had?
- How easy or difficult was it to use the online consultation site?
- How easy or difficult was it to find alternative contact details on the web page?
- How easy or difficult was it to provide your input on the web page?
Agencies may also wish to ask participants who did not use the online facility why they did not. This might be done through a focus group process.
Evaluation processes can be enhanced by involving participants in the development of them. Participants may also be consulted regarding the evaluation criteria. Further information is available in Better Practice Checklist 11, Website Usage Monitoring and Evaluation.
Considering the following may also assist evaluation of the effectiveness of the online consultation and of the agency's experience of the online consultation:
- What proportion of participants in the consultation process used the Internet?
- Did the online consultation reach the target audience?
- What was the web page mainly used for (for example, information download, contributing input)?
- What issues arose in managing the flow of electronic input to the consultation process (for example, information management, acknowledgment)?
- Did use of the online mechanisms result in any identifiable cost savings?
- Were contributions informed and appropriate?
- Were online methods to provide feedback both during and after the consultation successful?
- What was the impact on policy content?
Other resources
For further information about online policy consultation, see the following:
http://bowlingtogether.net/about.html []- Bowling together: online public engagement in policy deliberation by Stephen Coleman and John Goetze
www.hansardsociety.org.uk/programmes/e-democracy []- the Hansard Society's Democracy Programme
www.oecd.org/dataoecd/62/23/2501856.pdf [] - OECD policy brief (March 2003) Engaging citizens online for better policy making.
www.publicus.net/e-government [] - E-government and democracy representation and citizen engagement in the information age by Steven Clift
www.dowire.org [] - Democracies Online Newswire
Other Better Practice Checklists
- Providing Forms Online
- Website Navigation
- Testing Websites with Users
- Use of Cookies in Online Services
- Providing an Online Sales Facility
- Use of Metadata for Web Resources
- Archiving Web Resources
- Managing Online Content
- Selecting a Content Management System
- Implementing a Content Management System
- Website Usage Monitoring and Evaluation
- Online Policy Consultation
- Knowledge Management
- Designing and Managing an Intranet
- Information Architecture for Websites
- Implementing an Effective Website Search Facility
- Spatial Data on the Internet
- Digitisation of Records
- Access and Equity Issues for Websites
- Marketing E-government
- ICT Support for Telework
- Assistive Technology for Employees of the Australian Government
- Decommissioning Government Websites
- ICT Asset Management
- Managing the Environmental Impact of ICT
Download PDF of Checklist 12 - Online Policy Consultation [ - 318 KB]
Contact for information on this page: AGIMO Better Practice Team