House of Commons - Office of the Deputy Prime Minister: Housing, Planning, Local Government and the Regions

Select Committee on Office of the Deputy Prime Minister: Housing, Planning, Local Government and the Regions Written Evidence

Memorandum by the Office of the Deputy Prime Minister (LGC 01)

The Government welcomes this opportunity to submit a memorandum to the Committee on the issue of local authority consultation and looks forward to the Committee's report.

INTRODUCTION

The Five Year Plan—Sustainable Communities: People Places and Prosperity is built on two main principles—the need to give communities more power and say in the decisions that affect them; and the importance of working at the right level to get things done. Consultation by local authorities is one important way in which people and communities can influence decisions about local services and about the future of their locality.

As we have consistently recognised, local authorities have the twin role of delivering excellent public services, and providing the community leadership that brings together all the right players in an area to create and deliver a shared vision of that area's future. A local authority's decisions about services and about the future of a locality can thus often have a major impact on the quality of life available to all in a locality. These are thus decisions on which people need to have a real influence if we are to deliver on our aim of giving people a say on what affects their day to day lives.

It is through engagement with their local authority that people are able to influence their council's decisions. There are a range of ways in which people can participate. Fundamental to local democratic government is participation by voting in elections, which both gives legitimacy to governmental institutions and can provide a sharp and direct means for people to influence, and indeed determine, a local authority's policies and decisions. Between elections there are a variety of means and channels allowing citizens and other stakeholders and interest groups to participate in a local authority's decision making.

A survey, as shown in the table below[1], identified forms of public participation which at root are ways for a local authority to consult about its activities, service delivery and vision for the locality.

Form of Public Participation Used in 2001

No %

Service Satisfaction Surveys 199 92

Complaints/Suggestion Schemes 185 86

Consultation Documents 181 84

Focus Groups 175 81

Public Meetings 169 78

Service User Forums 158 73

Citizens' Panels 153 71

Area/Neighbourhood Forums 138 64

Community Plans/Needs Analysis 126 58

Other Opinion Polls 121 56

Interactive Website 112 52

Question and Answer Sessions 110 51

Co-option/Committee Work 104 48

Issue Forums 95 44

Shared Interest Forums 83 38

Visioning Exercises 81 38

User Management of Services 38 18

Referendums 21 10

Citizens' Juries 14 6

BASE 216 —

(a) The general effectiveness of public consultation and its impact on local authority decision making and possible ways to improve it

Research[2] has shown that:

— Local government continues to push forward the agenda on public participation and there has been a considerable uptake of participation initiatives by local authorities between 1997 and 2004.

— Authorities clearly recognise the benefits of engaging the public and are increasingly trying to consult people in local decisions and developing service delivery. However, it seems that authorities more often involve people in decisions in more passive ways, eg providing information through a council newspaper.

— There are a variety of methods and initiatives local authorities might use to engage the local people—from surveys and referenda to focus groups and forums—depending on the subject matter for consultation, the target audience(s) and depth and/or representativeness of information an authority requires.

— Evidence shows that authorities are looking to more innovative and deliberative ways to involve people—research and good practice guidance offers many examples of what individual authorities are doing in this area.

For example, customer satisfaction surveys have become almost universal, while between 1997 and 2001, the proportion of local authorities operating citizens' panels rose from 18%-71%, and focus groups from 47%-81%. The number of participation initiatives per authority also rose, from 9.1 in 1997 to 10.5 in 2001. However, the number of people taking the opportunity to engage in traditional means of consultation, such as meetings, committee involvement and questionnaires, does appear to be peaking. The growth in numbers involved seems to be much greater among those taking part in new consultation methods, such as internet surveys, citizens' panels, and focus groups.

Seventy per cent of authorities thought that consultation was influential in their decision-making. 26% of authorities surveyed regarded it as "often influential", while 44% believed it to be "fairly influential". However, a significant minority of authorities thought that consultation influenced decision-making only occasionally or not at all. "Improvement in services" is regarded as the greatest benefit by the greatest number of the surveyed authorities, with "better decision-making on specific points" being regarded as most important by the next largest group.[3]

Early results from research by University of Cardiff on Best Value suggests that levels of engagement in developing Best Value plans has increased. Authorities surveyed believe that the increased levels of engagement have led to more responsive and better public services.

This does not of course mean that all the consultation has been effective in improving decision-making or service delivery. In carrying out Comprehensive Performance Assessments (CPA), the Audit Commission considers how a local authority's priorities were arrived at, in addition to how successfully these priorities were delivered.

The overall picture seems to be that the quality of consultation practice varies widely from authority to authority. Of the 150 councils assessed by the Audit Commission in 2002, 96 were commended for having good consultation arrangements. Many used existing consultation systems to prepare their community priorities. A range of methods were used and many councils had a citizens' panel or other representative polling, as well as local fora and targeted consultation exercises. Thirty councils were specifically commended on the cycle of learning from consultation.

However, 52 councils were identified as having poor systems of consultation or systems that were in need of review. In these councils there were key problems in the consultation cycle, such as limited feedback or no feedback at all to participants. This can leave participants feeling isolated or lacking confidence that their views will make a difference. In 30 councils this fear would have been justified, as consultation exercises had not produced any action. In 12 councils consultation was criticised for not being inclusive, often ignoring key minority groups.

The Audit Commission found five factors that are critical to successful user and citizen engagement[4]:

— commitment to user focus and citizen engagement;

— understanding your communities;

— clarity of purpose;

— communicating in appropriate ways; and

— delivering change and improved outcomes.

Research has shown that local authorities have actively helped to set the public participation agenda[5]. We look to all authorities to adopt these factors into their thinking on consultation.

(b) How public consultation fits into the local authority decision making processes

Consultation is part of a continuum of communication and engagement activities which local authorities carry out. Local authorities use consultation at the broad strategic level, and on specific decisons. Consultation is often required of authorities by law, although authorities are free to consult where there are no specific statutory consultation requirements.

Below we briefly outline some examples of local authority consultation.

Best Value

The Local Government Act 1999 imposes a duty on local authorities to consult council tax payers, non domestic rates payers and anyone who may use the local authority's services or has an interest in the area on how to fulfil their Best Value duty.

Authorities are also required to carry out Best Value reviews of their functions. In doing so they have a statutory duty to consult stakeholders both on current services and future aspirations (section 5 Local Government Act 1999).

Secondary legislation provides that authorities must, when conducting a best value review, consult other authorities, businesses, the voluntary sector, trade unions, staff, elected members and service users about the exercise of the function.

In short, these consultations are seeking the views of citizens, service users and those more widely involved about how services are to be delivered and the quality of public services delivered by the council.

Community Strategies

Section 4 of the Local Government Act 2000 requires authorities to consult and seek the participation of "such persons as they consider appropriate" in preparing or modifying the community strategy. They are also required to have regard to any guidance produced by the Secretary of State. Our guidance "Preparing Community Strategies"—December 2000 stated that "specific efforts should be made to involve representatives from under-represented groups such as ethnic minorities, women, faith communities, older people, young people and children.

"If Community Strategies are to respond to public concerns, there needs to be genuine community engagement from the beginning of the process. It is important that community planning allows communities to be fully involved in establishing both the long-term vision and the shorter-term priorities for action."

The guidance goes on to state that consultation should be designed so as not to duplicate existing mechanisms, and should include organisations such as health authorities, Primary Care Trusts, police authorities, and the Benefits Agency.

This consultation is thus an important part of a local authority's activity as community leader when bringing together the right players in the area around its strong, clear vision for its future. The Local Government Strategy daughter document "Vibrant Local Leadership" reinforces the unique position of local authorities to undertake this activity and provide effective community leadership. As the daughter document highlights, we will be reviewing the guidance for community strategies to enable the development of Sustainable Community Strategies in line with the recommendations of The Egan review of Skills for Sustainable Communities.

Planning

The Planning and Compulsory Purchase Act 2004 requires local planning authorities to prepare a Statement of Community Involvement, in which they will set out their policy on involving their community in preparing Local Development Documents and on consulting on planning applications. Local authorities, through their Community Strategies and Local Development Documents, and town and parish councils, through parish plans, have a key role to play in leading the processes for community involvement in their areas.

Housing

Section 105 of the Housing Act 1985 requires authorities to consult tenants on any change affecting the management of their homes. The Government also expects authorities to consult their tenants on their housing services as part of Best Value. We strongly encourage authorities to negotiate and agree Tenant Participation Compacts with their tenants, setting out how they will consult and involve tenants in housing decisions affecting them. Although Compacts are non-statutory, all housing authorities have now published them.

Tenant consultation and involvement in the Housing Association sector produces definite benefits through service improvements and cost effectiveness, accountability to users, and enhanced social capital.[6]

Tenant consultation and involvement has helped to reduce the number of empty properties, reduce repair times and costs, decrease anti social behaviour, and led to better home design and refurbishment.[7]

(c) Whether public consultation by local authorities is part of a continuing process of communication, information dissemination and participation

It is fundamental to democratic local government that councils must engage effectively with their communities. This necessitates citizen engagement and participation both at and between elections. The range of opportunities for citizens to engage with councils between elections has increased significantly in recent years, with many councils now routinely consulting their citizens on key decisions.[8]

Whereas in the past councils were primarily seen as service deliverers, it is now increasingly recognised that councils must provide democratically accountable leadership to the whole community. Research has found a strong link between residents' satisfaction with their council and how well the council keeps them informed.

Consultation is one part of an engagement strategy. Local authorities are moving along a continuum of engagement activity which goes beyond consultation. Some examples of this continuum are listed below.

In 2002 51% of leader and cabinet councils had area committees. Many of these have delegated budgets and decision-making powers, involving greater engagement of citizens at a local level.[9]

A number of local authorities have conducted referenda on budget issues—Milton Keynes, Bristol, and Croydon.

Authorities are making use of traditional media, such as council newspapers, and new media, such as the internet, to enable their public to find out what is happening in the area.

(d) Whether best practice is being developed and applied widely

On the whole the Guidance offered by Government on consultation deals with individual consultation issues, rather than consultation as a whole. For example:

— New Council Constitutions, Community Strategies—Making Plans, 2002—on public participation in the planning process.

— Preparing Community Strategies—2000—to assist local authorities in consulting with their public while developing their community strategies.

— Consultation Guidelines—2000—on establishing a new council constitution.

However, in January 2004 the Government issued a Code of Practice on Consultation. While this was mandatory for Government Departments, we encourage local authorities to follow its guidelines.

We also worked with the LGA, the IDeA and the Audit Commission to produce the "Connecting with Communities" good practice tool resource, which offers comprehensive communications support to local authorities. This contains lessons from the Connecting With Communities research project, professional advice, best practice case studies and hundreds of documents.

We are producing guidance on Citizenship Education, to better enable local authorities to make their citizens aware of how to engage in democratic decision-making.

Getting Closer to Communities is included in Round 6 of the Beacon Council Scheme. This topic is about authorities understanding, strengthening and responding to the processes of community life taking place among their communities.

Other bodies have also issued guidance on consultation, to which we strongly recommend local authorities have regard. For example:

Listen Up!

— LGA Let's Talk about it—Principles for Consultation on Local Governance—2000.

An examination of local authority consultation has been an element in many ODPM research projects. Findings have been brought together in "New Localism—Citizenship Engagement, Neighbourhoods and Public Services: Evidence from Local Government" 2005, together with evidence from other Government Departments and external research. This will help to facilitate a debate on how local authorities can best engage with their citizens. The role of public input into local authority service delivery is a key part in the Local Government Strategy daughter document "Citizen Engagement and Public Services: Why Neighbourhoods Matter".

The Government's recent proposals for neighbourhood engagement, centred around a neighbourhoods charter, are all about increasing the opportunities people have to shape their local services and the future of their locality. Our aim is for councils everywhere to provide opportunities and support for neighbourhood activities which are right for their localities.

Below are some examples of good practice:

— Quantitative approaches: SURVEYS AND REFERENDUMS.

EXAMPLE: Leeds City Council[10] developed a tenants involvement strategy, which involves:

— 38 local forums (based on distribution of council housing);

— 4 regional forums for parts of the city; and

— a Tenants Involvement Committee (8 members) which meets every week at the Civic Hall, and has regular meetings with chair of the housing committee.

Local forum meetings operate on an "open house" basis—attendance varies but is typically around 20. Tenants, elected members and officers are all represented. To avoid potential problems of "small unrepresentative cliques" dominating Tenants Associations (TAs), Leeds has tried to regulate the workings of such TAs. TA can become accredited (eg eligible for grant) only if it can show that it has a paid-up membership of 33% (rising to 51% in year 3) of estates population (or have been elected in which a minimum of around 500 participated). Over a third of City's tenants are now members of accredited Tenants Associations.

EXAMPLE: SURVEYS[11]

A London Borough carried out a postal survey among its residents by distributing a questionnaire to all households through the monthly council magazine. A two page article in the magazine accompanied the survey and included information about sources of income and main areas of expenditure.

The questionnaire provided a list of different council services was given and residents were asked which of the following options they would prefer:

— an increased level of service;

— the level of service to remain the same; or

— a decreased level of service (to fund increases in other services or a cut in Council Tax).

The second section listed a number of new schemes, which might be introduced by the council in order to tackle issues already raised by the public. The cost to a typical Council Tax bill was given for each scheme. Residents were asked to indicate their three "top" schemes in order of preference.

Finally, residents were questioned about Council Tax levels. Three options were presented:

— current service levels maintained with no change in Council Tax;

— increased service levels with "limited" increase in Council Tax; or

— decreased service levels and decrease in Council Tax.

Where residents chose options 2 or 3, they were asked to indicate by how much they would like to see Council Tax increased or decreased.

One-thousand-three-hundred-and-fifty questionnaires were returned, giving a 1.4% response rate. Results helped the council prioritise new schemes. 42% voted for increased service level and an increase in Council Tax; 36% for no change in Council Tax and maintenance of current service levels, 14% for a decrease in service levels and Council Tax.

Whilst this approach would potentially allow consultation of a broad cross-section of the population, the low response rate raises concerns about the representativeness of the results. There were also concerns from both the authority and the public that the respondents did not have sufficient background understanding to answer questions about such complex issues.

EXAMPLE: REFERENDA[12] (Milton Keynes, Croydon and Bristol have all held referenda on budget issues). According to a Milton Keynes official:

"The council has realised its ambition of engaging the whole community in a major decision . . . The high turnout shows that people do have an interest in the activities of their local council and that there is much scope for increasing democratic participation at the local level. The provision of clear, succinct information about issues of direct relevance to local citizens coupled with easier ways in which to vote appear to be part of the solution."

Interviewees also saw other benefits of using this approach:

— Referenda are also a transparent way of allowing the public to state its preference.

— As a result of the referendum, residents are overall more informed—about what the council does, how it spends its budget, etc.

— They perceive a better relationship between the council and its citizens.

(e) The extent to which consultation exercises reach beyond those who typically participate

Any general lack of interest in local government is likely to compound or combine with the specific barriers faced by minority and under-represented groups (such as women, people with disabilities, people from ethnic minorities) to make local government particularly unattractive for them. The finding[13] that engagement with the council was perceived as exclusive and for "particular types of people" may have special relevance in terms of people from under-represented groups.

The Audit Commission has found that the majority of local authorities have experienced difficulties engaging particular social groups. 56% of authorities expressed concerned about this.[14] Under current proposals for CPA from 2005 onwards, Corporate Assessment by the Audit Commission will include a statement how the council is addressing user focus and diversity.

Research[15] has shown that local authorities are also considering how best to promote engagement of traditionally hard-to-reach groups, such as young people, black and minority ethnic groups, people with disabilities, etc. Authorities tend to favour smaller-scale, deliberative approaches, such as focus groups or forums, for these citizens. For example, one authority involved Asian women by holding focus groups in the homes of local women, with hosts recruiting neighbours and friends themselves. The Audit Commission particularly commended sixteen authorities for their inclusivity and for reaching out to "hard-to-access" groups.

Capacity building to enable citizens to better take part in participation will have to accommodate the particular needs of disadvantaged communities. This should build on the work of the Community Empowerment Networks which have been supported by the Single Community Programme (which from April 2005 is being supported by the Safer and Stronger Communities Fund).

It is equally important to engage and build capacity among is young people. The introduction of citizenship education as a statutory part of the secondary school national curriculum in 2002 and the development of extended schools are aimed at improving citizen participation and engagement. Through citizenship young people develop the knowledge, skills and understanding they need to become active members of society. In primary schools, there is a non statutory framework for citizenship and personal, social and health education (PSHE). The development of active citizenship for post-16 learners (in schools, colleges, work-based training and community-based training) is being piloted.

In 2001 75% of authorities were engaging with young people—particularly through school, youth services, existing youth groups.

There are several examples of how authorities are adapting approaches to participation so that they would be more accessible or acceptable to different groups of citizens:

EXAMPLE: Several authorities initiated "Young People's Councils" in which participants themselves had identified and worked to overcome issues of social exclusion (in both the election of "councillors" and the conduct of meetings).[16]

EXAMPLE: An inner-city authority had developed a rolling programme of focus groups to consult the public on a wide range of issues. Participants were recruited in public places by a market research agency. The approach proved successful in gathering the views of citizens in an area with a traditionally low profile of public participation. People who would not attend public meetings were attracted by a direct invitation and the incentive of a small honorarium payment. . .As it had proved especially difficult to recruit Asian women on the street, the research officers set up a partnership with a local community group. Focus groups for Asian women were subsequently held on a regular basis in the homes of local women, with the hosts recruiting neighbours and friends themselves.[17]

EXAMPLE: BIRMINGHAM'S YOUNG PEOPLE'S PARLIAMENT[18]

For their 2002-03 budget, the council held an event with Birmingham's "Young People's Parliament". The Parliament works through schools, with one hundred children elected for a year from across Birmingham. The consultation exercise took place very late in budget process. Information was presented on what council does and it spends its money on. The Parliament was then split into small groups facilitated by a teacher and someone from council's finance department. Each group was given £3 million and asked to allocate it to various priorities. The idea was educate young people about rationing/trade-offs. There was a group feedback session at the end.

EXAMPLE

Sunderland City Council's best value pilot involved 60 young people in a structured programme of real work experience, vocational training and personal development. This set out to test service provision in youth justice, after care, housing, leisure, adult education, youth and personnel services.[19]

EXAMPLE

Camden is used as an example of a best value pilot which emphasises young people in the consultation process. As part of the 1997 "Camden Plan" (which forms part of their Best Value Performance Plan), Camden's commitment to "access all views" included conducting a survey of local people every two years as well as using a citizens panel. The development of School Councils in every Camden School ensured young people were included in this consultation. [20]

EXAMPLE

In one Metropolitan Unitary, Labour councillors told us they have made real efforts to get women and black and minority ethnic candidates to stand for elections. They have organised open evenings at the town hall, and also offer a mentoring scheme for new councillors, which has proved successful. However, they argue that they are faced with significant cultural barriers, such as the restrictions placed on some Asian women. This was a problem they had encountered when trying to encourage Bengali women to stand as school governors. Other important barriers such as time pressures and childcare responsibilities were also thought to exclude some people from standing. (Metropolitan Unitary Council, urban, South East)

EXAMPLE

In order to strengthen engagement with certain communities, one County Council has facilitated the creation of a Network for Minority Ethnic Women. The purpose of the network is to encourage and support work with and for women from minority ethnic communities in the area, to enable them to identify, access and participate in economic and social opportunities. The network, which is supported by the council and meets within council buildings, seeks to share good practice, offer advice and consultancy to employers and service providers, develop partnerships with organisations in order to ensure a more coherent approach by these agencies, and provide training opportunities to improve social and professional development. (County Council, mixed urban and rural, Cumbria and North West)

EXAMPLE

In one Unitary Council, the council provides funding for a Black Workers' Forum (BWF), Age Forum and Disabled Workers' Forum. The possibility of setting up a gay and lesbian forum is also being considered. Researchers were told that the forums provide staff with the opportunity to discuss and address issues specific to their experience, and to help with the development of council policies and initiatives. Forums receive and manage a training budget, and the BWF has used this to bring in training facilitators and mentors to help build capacity and facilitate career development. The Chief Executive demonstrates her commitment to equality and diversity by meeting with the different forums every three or four months. (Unitary Council, mixed urban and rural, South East)

Other examples[21] of the community groups that were formed in the area of ethnicity consisted of fora, a weighted citizens panel, a Somali umbrella group, a mother and toddler's group for Bangladeshi people and networks.

EXAMPLE

In one Metropolitan Council, officers recognised the business case for effective engagement and had employed some innovative and creative techniques to consult with people from diverse communities. The council's engineering and traffic services received a number of comments and complaints from disabled members of the public concerning the borough's street environment. The council realised that it would be cheaper to consult with the disabled members of the public first, rather than to carry out expensive engineering works and have to make changes later on, when the new street environment turned out not to be suitable.

In response to this issue, the council decided to produce The Journey. The Journey is a film that catalogues the problems that can be faced by disabled people in the borough on a day-to-day basis. To prepare the film, various members of the public with different types and levels of disability went out into the borough to highlight specific problems with some street environments. The Journey is used as a reference guide for engineers so that they will not lose sight of the needs of the disabled public when carrying out works and devising projects. The film is also now used at various universities on engineering courses. A copy is available at the British Library. (Metropolitan Unitary Council, urban, South East)

(f) Whether new cabinet structures in Local Government facilitate Consultation and the Involvement of Constituents in Decision Making

We believe that new council constitutions, with their greater transparency of decision-making, have assisted local people to get involved in local decision-making. For example, 67% of authorities with area committees said that new council constitutions were the key driver in establishing these.[22]

76% of stakeholders who expressed a view said that the council's relationship with partners has improved. [23]At the same time, it is clear that the new constitutional structures are far from the only reason for increasing engagement between local authorities and their constituents. The main drivers for increased consultation have been the CPA regime, Best Value, community strategies, neighbourhood renewal, along with the use of new technology. [24]

Those working in partnership with local authorities viewed the improved partnership working they experienced as something which had developed over time, rather than being specifically due to New Council Constitutions. [25]

We believe that the new constitutional structures, as they develop and bed in, together with the greater opportunities for neighbourhood action and the developing role for all councillors to be neighbourhood leaders[26],[27] , will help citizens to become more involved and to have a greater say in councils' decision making about local services and about the future of the locality. It is in this context that consultation, in its variety of forms, will continue to be an important tool for effective citizen engagement and participation.

1 Public Participation in Local Government-ODPM 2002. Back

2 New Localism-Citizen Engagement, Neighbourhoods and Public Services: Evidence from Local Government-ODPM 2005. Back

3 Public Participation in Local Government-ODPM 2002. Back

4 Listen Up: Effective Community Consultation-Audit Commission 1999. Back

5 Enhancing Public Participation in Local Government, DETR 1997. Back

6 Housing: Improving Services Through Resident Involvement-Audit Commission 2004. Back

7 Tenant Participation in Transition, Cole, Hickman, Reid and Whittle 2001. Back

8 New Localism-Citizen Engagement, Neighbourhoods and Public Services: Evidence from Local Government-ODPM 2005. Back

9 New Localism-Citizen Engagement, Neighbourhoods and Public Services: Evidence from Local Government-ODPM 2005. Back

10 Guidance on enhancing public participation in local government, DETR, 1998. Back

11 "It is our money anyway. . ." Lessons learnt from giving the public a voice in local authority spending decisions, DETR, March 2000. Back

12 Council tax consultation-guidelines for local authorities, ODPM, 2002. Back