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Last updated: 5 September 2001
Developing a Service Charter for policy functions
Do policy areas have to have Service Charters?
Agencies are not obliged to develop Service Charters for policy areas. However, Departments are encouraged, consistent with good practice, to consult on major policy initiatives with those on whom the policy is most likely to have the greatest impact. The introduction of Service Charters for policy functions is consistent with other Government initiatives such as the requirement for Regulatory Impact Statements - both these initiatives were recommended in Time for Business. Such initiatives are important steps in increasing the transparency of government decision-making, allowing Parliament and the community to be better informed. Accordingly, Departments are encouraged to include policy activities in their Charters.
As a consequence of the different pressures and experiences to which they are exposed, there can be significant differences of philosophy and perception between policy makers and, for example, business. Creating effective consultation mechanisms is one way to assist in understanding each other better and in breaking down their differences.
The policy functions for which a Service Charter is most relevant are those that:
- aim to reduce the complexity and cost of dealing with government regulation and paperwork, for example those policies that lead to the formulation or amendment of legislation, regulations, other statutory instruments, or of guidelines to interpret legislation; and
- develop ideas and options for major policy initiatives that result in a Government program that impacts directly or indirectly on members of the public.
No matter where you work, it is always good business practice to identify your customers, whether they be internal or external, and their needs. It is also good business practice to be responsive to your customers' needs and to be open in your dealings with them, for example, by telling them what you can and can't do for them. Service Charters will help you do this with respect to policy functions.
Developing policy that takes into account the needs of Ministers, the community and resourcing issues will sometimes be a fine balancing act. A Service Charter will help ensure that there is reasonable input from relevant members of the public into the policy process and should reassure the community that consultation with it is regarded seriously.
Charters that incorporate policy functions include:
The Australian Broadcasting Authority Service Charter
"In performing its functions the ABA is required to consult widely with the public. The ABA places advertisements in newspapers announcing the commencement of its consideration of issues relating to particular matters and invites submissions; conducts seminars explaining various processes; and maintains files for public inspection. The ABA consults publicly on a wide range of issues relating to the planning process, the content of programs, programming matters and policy development."
Consumer Affairs Division customer service charter
(formerly with the Department of Industry, Science and Tourism and moved to the Department of Treasury in the latest Administrative Arrangement Order of 23 October 1998)
"When developing consumer policy (including changes to consumer protection laws), we will: consult widely to make sure that a range of views are considered and provide reasonable time for comment on our policy proposals."
Department of Transport and Regional Development client service charter
"When developing and preparing policy and legislation for which we are responsible, we will:
- prepare a regulation impact statement for all legislation that imposes new obligations;
- where appropriate, consult with interested as early as practicable;
- design consultative processes that include those who would be most affected by changes in policy or legislation; and
- examine carefully suggestions for improvements."
Environment Australia, Department of the Environment service charter
"When developing environmental policy we will where ever possible:
- consult widely to make sure that the views of other government agencies, industry and environmental organisations and interested members of the public are properly considered; and
- provide reasonable time for comment on policy proposals."
Department of Industry, Science and Tourism customer service charter
(now known as the Department of Industry, Science and Resources after the latest Administrative Arrangement Orders)
"When developing policy, we will:
- consult widely;
- provide reasonable timeframes for you to respond to policy proposals;
- explain the process; and
- ensure that our contribution to policies is balanced and relevant to the Government's broader economic and social objectives."
Where to start
As with developing a Service Charter for a non-policy area, the first task is to identify your customers and stakeholders. They could include:
- Members of the public affected by the policy
- peak organisations (ie industry bodies, consumer bodies)
- more localised community groups
- individuals
- Minister
- customers in your own organisation
- other APS customers.
Consultation with staff
Consultation with staff is an important part of developing a Service Charter and no less important for Charters that cover policy functions. Staff need to help in developing the service standards as they have the knowledge of relationships with stakeholders and what it is possible to achieve and what is appropriate in the way of a consultation process. Staff participation in developing a Charter for policy functions will also help to change the culture of an organisation and to be more externally focussed.
Consultation with customers
It is relatively easy to consult with the Minister, customers in your own agency and customers who are members of the APS. However consulting with members of the public on policy development can be a challenge. If the customer base is very wide, it is quite acceptable to consult with a selected range of customers. This is usually done by talking to some of the peak organisations that represent the interests of the customers, or local bodies that represent them, or key stakeholders who take a particular interest in the policy of the department. Consultation with groups of customers can be carried out in a number of ways eg focus groups, general discussions, surveys.
A tactful and non-partisan approach needs to be taken when consulting with the public on controversial issues, where the needs of particular segments of the community for which a Department has responsibility may be different from the Government's assessment of the broader public good or public interest.
It is important to manage the expectations of customers and stakeholders concerning the degree of consultation on policy issues that can reasonably be given. It is not always possible to consult with key customers/stakeholders on policy development before the policy is announced. Ministers must make decisions about consultation on particular initiatives. There are clear limitations on some consultation processes and the Minister can direct that prior consultation would be inappropriate. Sometimes policy is made by Cabinet or at ministerial level, and it is necessary to keep the policy strictly confidential until it is formally announced in order to protect loss of confidence in financial markets or other reasons. This is particularly so in relation to Budget and similarly sensitive policies. Sometimes there just isn't time to consult in the development of an urgent policy. Therefore, it is important in consulting with customers that the limitations and parameters of their participation in the policy making process are made clear.
Identify the performance indicators that are of concern to your customers
Obviously no policy is going to be acceptable to everyone and there is not much point in setting standards that relate to the acceptability of a particular policy. (This is not to say that feedback on policies collected in the process of developing or administering Service Charters should be ignored. It should be forwarded to the relevant area as part of the continuous improvement process).
Thus it should be made clear that as far as a Charter relating to policy is concerned, the only area where standards can be applied is in the way in which policy is developed.
Two sorts of performance standards can be set in relation to the policy process:
- Qualitative standards relating to the customer's perception of the way in which the consultation process was carried out eg "we will examine your suggestions for improving policy carefully"; or "we will provide considered feedback to customers on the outcome of consultation on key policy issues."
- Quantitative standards relating to the extent of consultation, timeframes for providing comment etc which can be agreed to in consultation with the customer and measured accurately eg "we will give you 4 weeks to comment on draft policy proposals".
How to measure qualitative and quantitative standards
Each year agencies will be required to report on the extent to which they have met or exceeded the standards specified in their Service Charters.
It is most important to consider how you will measure whether you have met the standards you have in your Service Charter relating to the development of policy.
There are a range of methods for measuring performance against qualitative standards eg customer feedback cards, focus group discussions with key customers/stakeholders; complaints data; customer surveys.
Many agencies may find they already record much of the information to enable them to report on their performance for example in relation to consultation. Files will already contain lists of customers consulted on policy issues, who responded and the amount of time customers are given to provide feedback.
Measuring performance against quantitative standards should be recorded on a regular basis by the agency throughout the year. If this sort of information cannot be obtained from the performance data you already hold, you may find you need to set up a special system to record and monitor it. This could be manual or computer-based depending on need.
References
Developing Service Charters - A Guide for Commonwealth Government Departments, Agencies and Enterprises, Department of Industry Science and Tourism, November 1997.
Putting Service First, Principles for Developing a Service Charter, Department of Industry, Science and Tourism, March 1997.
Time for Business, Report of the Small Business Deregulation Task Force November 1996.
Some possible customer service standards for policy areas
We will consult widely in the development of our policies.
The policy (wherever possible) will be developed in consultation with key customers, other stakeholders and staff. (If possible state the key customers and stakeholders who were consulted.)
There will be ongoing consultation with key customers, other stakeholders and staff so that where it is not possible to consult on a particular policy there will be a general awareness on the part of the agency of the views customers might have made during the consultation process. Ongoing consultation will occur regularly at x monthly intervals, or on an as needs basis. (Specify after consultation with your customers).
Where it has not been possible to consult before a policy is developed the agency will be happy to discuss the implications of the policy at a later stage and provide feedback from key customers and stakeholders to the Minister.
Where consultation on policy development is undertaken sufficient time will be given to customers/stakeholders to examine the policy and discuss at the grass roots level with the interest groups they represent. ( It is suggested that agencies nominate a time in the first instance and if necessary change it following consultation with customers.)
Customers will be encouraged to put forward proposals for new or improved policies by writing to the Minister or the Secretary, and/or by canvassing these ideas with community or industry groups or in the press.
When we develop a policy we will identify evaluation criteria for assessing whether the policy has achieved its aims and whether the policy is effective and efficient.
The information contained in policy papers put out for discussion will be accurate to the best of the agency's knowledge. (Remember, sometimes policy papers are sent to customers for comment in order to check information and perceptions.)
Policy advice given to the Minister or Cabinet will indicate whether key customers and stakeholders were consulted during its development.
The information contained in policy advice to Ministers and the Cabinet will accurately reflect input from the consultation process.
Once a policy is developed it will be re assessed at least every x years in consultation with key customers/stakeholders (wherever possible).
Staff will be trained properly in the policy and its implications.
We will provide feedback on your input to the policy process.
