THE FOUR FUNCTIONS FRAMEWORK – Why we need a complete re-think about public and stakeholder consultation?

This is Blog No. 115

I should have written this some years ago!

Consultative practices are everywhere. Most organisations consult in one way or another, whether they are public agencies, private companies or voluntary bodies. Good Managers think it’s a no-brainer. They just do it as a matter of routine!

It is Governments and public administrations in the UK (and no doubt elsewhere) who make a song-and-dance about it. Why? Because, in a mature democracy, they feel a need to reassure the public that its voice will be heard and that those affected by important decisions should have the opportunity to express their views.

That is why I estimate that over 1,000 public or stakeholder consultations are launched in the UK every week. Some are excellent, command the respect of consultees and have a discernible influence over decisions, policies or programmes. But many are not, and despite years of advocacy, the delivery of 30,000 person days of training by the Consultation Institute and others, and the intervention of the Courts, consultation is still regarded as an inconsistent, hit-or-miss process that frequently disappoints.

My new FOUR FUNCTIONS FRAMEWORK is an attempt to improve this situation. It is based on the premise that we have all paid rather more attention to the form of a consultation than the function it performs. It recognises that consultation is now used in a far greater variety of situations than before, and we use far more methods to hold consultative dialogues – many of them exciting innovations like Citizens Assemblies, Co-production or Online focus groups.

The FRAMEWORK is simple and straightforward. Having examined hundreds of consultations, I have concluded that, generally speaking they perform one of four Functions, as very briefly summarised in this table.

With only a few exceptions, most consultations fall into one of these categories, and I argue that one-size most certainly does not fit all circumstances. Because the perception of consultation has frequently focused on the traditional formal set-piece format – lasting 12 weeks or so, and subject to legal scrutiny and conformance to the Gunning Principles, we have lost sight of the many other ways of conducting valuable dialogues with relevant stakeholders.

In the Background paper I publish today, I have summarised the many lessons we believe we have learnt over 20 years, and I have sought to explain and explore how the different Functions operate, looking at their characteristics, quoting over 30 examples, the methodologies (28 if we avoid double-counting!) and the issues that arise when they are used. Crucially, I explore the scope for function-specific standards so that we don’t hold everything to the ubiquitous Gunning Principles that are clearly inappropriate for so many consultations.

I hope my findings will stimulate debate and improve practice throughout the fields of public engagement and consultation. For example, I have concluded that:

When organisations consult on future strategies and plans, I call them NAVIGATION consultations. They are asking the question Where do we want to go? They are about agenda-setting, and need to be done better, tackling difficult trade-offs and open to a wider range of potentially affected stakeholders.

They cover a wide range of well-used methods such as calls for evidence, co-production and options development practices. There has been an encouraging growth in these solutions-finding dialogues, but there is a shortage of standards.

Taking major decisions or making difficult choices has long been a familiar role for public consultations. They perform the DETERMINATION function -  all too familiar to most practitioners, but is full of long-standing challenges – with AI set to pose even more complications and opportunities.

Finally, the function we have long neglected. Once decisions have been taken, construction is about to begin on major projects or policies are ready to be acted upon, the IMPLEMENTATION phase requires high-quality dialogue and consultation with those that are affected.

Adopting this FRAMEWORK could lead to many benefits. Too many consultations are confused, trying to do too much – a bit of strategy, seeking views on options and even purporting to be about a forthcoming decision. We need much greater clarity and consultors need to have the courage to go for quicker, more agile methods without being anxious about legal challenges.

I envisage consultation practitioners and the better specialist consultancies evolving their own design standards for the four types of functions their exercises will address. Applying these to the specific needs of various sectors such as health, local government, infrastructure projects or central government departments will provide opportunities for innovation and creativity. I am confident this will lead to better consultations.

Please treat the FRAMEWORK as open-source ideas which can help everyone. It should end the uncertainty as to whether and when popular participative techniques are genuinely consultative, and help develop standards. 

Please visit the relevant Consultation GuRU pages – Click here

Rhion H Jones LL.B