Escalation protocols
Assurance escalation protocols focus on supporting agencies in the timely resolution of delivery challenges experienced by their investments, and keep Ministers and senior leaders informed of underperforming digital investments. s
The Digital Transformation Agency (DTA) advises the government of at risk investments through regular reporting to the Minister for Finance. This is primarily focused on building visibility of overall portfolio performance and systemic issues which would benefit from whole-of-government responses consistent with the DTA’s mandate.
Triage
Triage is an early-intervention assessment used when a digital project is identified as experiencing delivery challenges. This is an active process where the DTA works with the lead agency to gain a deeper understanding of key issues and risks before determining whether an escalation protocol is needed to support remediation.
Triage may be initiated based on a range of signals including independent DCAs, emerging schedule or cost pressures, significant change in scope or other information that suggests delivery confidence may be declining. Triage will confirm whether the identified issues and risks can be managed through DTA’s routine assurance oversight or whether additional support is needed. The escalation protocols may be applied following this assessment.
There are 3 escalation protocols:
- Remediation Plan
- independent health check
- investment review meeting.
Remediation plan
This involves the lead agency preparing a structured, evidence-based plan to restore delivery confidence in the project. The plan must be action-oriented, with clear individual accountability for implementation. The DTA will work with the lead agency to ensure their plan meets Remediation Plan requirements and provide endorsement once finalised. Updates will be provided to Government on the investment’s remediation progress.
The DTA generally requires a Remediation Plan for investments with DCAs rated Medium or below.
Independent health check
An independent assurer is engaged by the agency in consultation with the DTA, to independently assess the viability of recovering the investment based on remediation efforts underway. Recommendations from the health check are focused on outcomes of the investment’s remediation efforts and potential next steps.
The Independent Health Check is triggered at the DTA’s discretion when efforts to remediate an investment, including application of the Remediation Plan, have been unsuccessful and delivery confidence is Medium-Low or below.
Investment review meeting
This protocol sees the DTA convene a meeting of relevant central agencies and the lead agency to conduct a review of the basis of the investment, and recommend to government whether to terminate, suspend, or continue to attempt to remediate.
Termination: in circumstances where remediation is not considered viable, and options to reshape the investment are limited or unlikely to succeed, the recommendation to cease the investment will be put forward to government.
Suspending: the lead agency is to minimise activity and spend to the extent practicable whilst options are formulated and brought forward for Cabinet decision.
Continuing to remediate: where remediation remains viable, a new remediation plan will be agreed by the DTA, relevant central agencies and the lead agency to define a clear path to remediation. Progress implementing this remediation plan will be closely monitored, with a further Investment Review Meeting scheduled at least every 3 months.
Referral to government
Where the outcome of an investment review meeting requires government agreement, the DTA will refer the matter through the appropriate Cabinet processes.The DTA may also escalate an investment where it has materially deviated from its Cabinet approved scope, funding, timeframes, or intended benefits, even if an Investment Review Meeting has not yet occurred.
This referral process ensures government is informed and able to consider changes when an investment is no longer aligned with its original approval.
Single escalation process for digital investments
The DTA and Department of Finance (Finance) have moved to a single escalation process for digital investments using the DTA’s escalation protocols. This means that where an investment may have previously been subject to the Enhanced Notification Process coordinated by Finance, the DTA now leads all escalation for digital investments and will be the main point of contact when an investment requires escalation following a Gateway Review. The DTA will work with agencies to explain requirements in this situation and provide ongoing support throughout the process.