The Formality Threshold - Process implications and expectations are such that it’s important to recognise when a consultation is formal and when it is not

The telephone rings.

“Hello; this is John. Can I pick your brains for a few minutes …..?”

Is this consultation?

The answer, of course is Yes. This type of informal dialogue forms an integral part of most people’s jobs. Every Manager, every service provider, every policy-maker at some point feels the need to ask advice of those who are impacted by their actions. It is one of the natural lubricants of decision-making, with few rules, no real expectations and pretty idiosyncratic.

So when does informal consultation become formal? Is there a definable threshold, crossing which renders the process different in character if not substance? There are four potential answers. One is obvious – when there is a statutory requirement. But the other three call for some head-scratching. - A consultation becomes formal when the consultor says it is! This is not a simple tautology; after all this is how, today we recognise most formal consultations from the Government downwards. Its big advantage is that every consultor organisation can determine its own criteria for going formal ….. - When formality is inferred from the methods or techniques being used. For example, it is difficult to argue that a consultation is informal if a bureaucratically complex document is issued bearing all the hallmarks associated with the formal variety. Matters are less clear with the use of other consultation methods; it might even boil down to the quality of implementation! - Finally, consultations are formal where the overwhelming stakeholder expectation demands it! Imagine a reluctant employer resisting calls for a dialogue; a subsequent consultation will inevitably have a degree of formality attached to it.

But does it matter?

Yes, because once we opt for a formal consultation, clear expectations kick in. So do standards for in a formal consultation, there is a clear start, a process and an end-point. This is signalled by the submission to decision-makers (or whoever commissioned the exercise) of the consultation output with an intention that it be influential in their subsequent actions.

So this threshold is important; mark it well

Trigger points

• Ensure that, if you intend a consultation to be informal, your stakeholders view it in the same way
• Consider some simple Guidelines as to the designation of all formal consultations and their promotion on your website
• Start training staff to appreciate the difference (Watch out for the Institute’s forthcoming course on Consultation skills for public sector staff.)

This is the 44th Tuesday Topic; a full list of subjects covered is available for Institute members and is a valuable resource covering so many aspects of consultation and engagement