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Defining policies

A policy can describe both the goals and intent of an authority, like government, Cabinet, a department or an organisation.

  • Policies establish overarching principles and rules to guide decision-making and behaviour.
  • Policy also refers to the specific tool, instrument or approach used to achieve those goals and objectives.

Policy outcomes can be achieved through various paths, but compliance with mandatory policies requires a clear understanding from those implementing the policy and those effected.

There are a range of tools and instruments that apply to policy work.

Choose the right instrument

The 5-phase process introduced in this toolkit will help you determine the most appropriate instrument to address the problem.

Beyond the type of instrument, the level of endorsement or approval should be considered in line with the problem or objective to be addressed, this will depend on the ‘needs’ of the solution.

Endorsement and approval levels may range from Cabinet, Ministerial, head of agency or CEO.

Policy categories and approval

In practical terms, policies can be categorised as:

  • Whole-of-government policies: apply to all government agencies, organisations and entities. They are often broad in scope and require Cabinet-endorsement.
  • Portfolio, sector or area policies: apply to agencies or organisations within a specific portfolio or sector and policies that are relevant to a particular area. For example, the digital delivery policies available on the Australian Government Architecture (AGA) website. The close connection to digital delivery means these types of policies will be more flexible and, in some cases, more suitable than a Cabinet-endorsed policy.
  • Organisation or agency level policies: these policies are internal to entities and guide internal decision-making, while aligning to broader whole-of-government policies. They often relate to human resources, such as governing travel and remote work. They may also cover topics like technology, risk or internal governance.

Standards

Standards can be mandatory or voluntary. They use measurable and enforceable requirements and set clear rules that ensure consistency and compliance.

Standards are usually narrower and more specific than policies and less flexible than guidance.

Guidance

Guidance includes recommendations or best practice advice that tells the user how to meet a policy, standard or other instrument. Guidance can be wider in scope than policies or standards. 

They are not endorsed or authorised at a high level, so they can be more flexible and are often easier to update.  

Frameworks

Frameworks set our clear principles, roles and processes for how something should be done, without setting rigid requirements. 

Supportive policy instruments  

Depending on the problem you want to solve, different actions may be needed. This may include changing laws, improving processes or strengthening skills and resources.

  • Legislative amendments: Used to modify existing laws to address a problem.
  • Administrative changes:  Improve workflows or processes to solve operational problems.
  • Capacity building: Includes training and resources to enhance agency capability and understanding. 

Policies and instruments

Next: Policy planning tips

Policy toolkit: alpha

Criterion 7 – Do no harm

Purpose, objective and outcome

There are 4 steps to complete in this phase. Once you have completed the steps, progress the preferred prototype(s) to the beta phase.

  • Purpose: to create, test, and refine policy prototypes based on user interaction and behavioural insights.
  • Outcome: a validated policy approach, based on initial testing and feedback, that demonstrates feasibility and readiness for further development.
  • Output: a validated prototype, ready for further development and testing in the beta phase.
Step 1. Ideate potential solutions

Policy ideation is the initial phase where broad ideas and potential solutions are identified.

It is a creative and exploratory phase, focusing on understanding the problem space and considering innovative approaches.

The ideation process allows stakeholders to contribute ideas, ensuring that diverse perspectives are considered early.

Actions to ideate potential solutions

Consider the findings from the discovery phase

Revisit your research into the problem, the users’ needs and the broader landscape to familiarise yourself with what you are trying to achieve in the project and what solutions exist elsewhere.

Explore issues to address

Conduct an exercise to explore what issues could be addressed, for example a ‘how might we’ exercise.

Generate ideas

Generate ideas for potential solutions – at this stage don’t worry about feasibility or practicality, it’s all about getting lots of ideas!

Prioritise ideas

Evaluate and prioritise ideas based on feasibility, impact and alignment with broader objectives.

Shortlist ideas

Select a shortlist of ideas that you will develop into prototypes in step 3.

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Step 2. Conduct prototyping

Prototyping is an early version or model of a potential solution, created to test and refine. Prototypes are developed before a solution is determined and build out in more detail. 

Prototyping includes testing ideas with users and refining based on feedback (also called iterating). This process reduces risks, ensures the solution is user-centered, and increases the likelihood of success in later stages. 

Prototypes may include draft policy options, a draft policy outline, a consultation paper or a framework for implementation.  

Create prototypes

Confirm ideas to prototype

Confirm which ideas from step 2 you want to build into prototypes.  

Develop the prototype

Create an initial version of the prototype. 

Ensure it is simple and focused enough to test the critical components, avoiding unnecessary complexity at this stage.

Define test objectives and measures

Clearly outline what you aim to learn from testing the prototype, focusing on key questions or risks to be validated. Develop any criteria or metrics needed to evaluate the prototype effectiveness. 

These may be similar or different to the success measures established in Step 1.  

Identify test participants

Select a group of stakeholders that represent the target audience who can provide diverse and valuable feedback.

Test with users

Gather both qualitative and quantitative data from users through direct observation, surveys, or interviews. This will help identify usability issues and improvement areas. 

You may like to design realistic scenarios or tasks for participants to interact with the prototype and observe how it performs in a simulated environment.

Refine the prototypes

Use insights from testing to make iterative improvements to the prototype. You may also decide not to pursue prototypes that are not working.   

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Step 3. Prepare the alpha report

Based on the results of the testing step, identify the preferred prototype(s) to build out in the next phase. Once complete, draft an alpha report to close out this phase.

An alpha report is a key deliverable in this phase of the policy development process. It summarises the outcomes of testing prototypes, key insights, and recommendations for further development.

The report provides stakeholders with clear information about what was learned during the alpha and it lays the groundwork for moving into the beta phase. To ensure informed decision-making, the report captures evidence from user testing, challenges encountered and proposed next steps.

Create the alpha report  

Objectives

A clear articulation of the goals of the alpha phase and what was intended to be tested or validated.

Overview of the prototype(s)

A description of the prototype(s) developed and tested, including core features and design decisions.

Testing methodology

An explanation of the approach taken for testing, including test participants, scenarios and data collection methods.

Key findings

Insights and feedback gathered from users, including any identified issues, risks and areas for improvement.

Performance against objectives

Include an evaluation of how well the prototypes met the alpha phase objectives.

Identification of preferred prototypes

Identify the preferred prototype(s) to build out further in the next phase.

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Next: Phase 4: Beta

Policy toolkit: alpha

Purpose, objective and outcome

There are 3 steps to complete in the beta phase, after which you should have produced a policy instrument ready for circulation.

  • Purpose: to build out the solution and address any issues revealed through testing.
  • Outcome: the solution has been tested and confirmed to be meeting user needs before further work is done to fully implement it.
  • Output: a near-final solution that has been refined through extensive testing and iteration.
Step 1. Understanding existing structures

When developing your solution, it is important to understand how it will integrate with the existing structures. 

This is essential for consistency and a unified strategic direction and alignment with government-wide standards and frameworks. 

Understanding existing structures and how your proposed solution fits with them will help you build a solution.

Integrate solution with existing structures  

Understand existing frameworks

To understand existing frameworks and their objectives, structures, and how they influence the instrument you are developing, familiarise yourself with:

Understand objectives

Determine how the solution objectives are aligned with the missions of your agency and whole-of-government digital priorities.

If there is any misalignment or gaps, consider any action that may need to be taken to ensure alignment.

The following questions may assist when working through this step:

  • Which states of the IOF will the proposed solution interact with?
  • What policies exist within those states of the IOF?
  • Will the proposed solution conflict with existing policy?
  • Can I re-use existing mechanisms to achieve the outcomes?
  • Does resolving the problem help achieve the Australian Government’s Data and Digital Government Strategy missions?
  • Do any aspects of the solution conflict with achieving the Australian Government’s Data and Digital Government Strategy missions?
  • Will the solution have any unintended outcomes that may conflict with the Australian Government’s Data and Digital Government Strategy missions? If so how can I address them?
  • Will the metrics used to measure success align with the Australian Government’s Data and Digital Government Strategy?
  • Where would the solution sit on the AGA within the Domain Capability Model?
  • Does the solution align with existing standards and policies on the AGA?

Engage with stakeholders

Collaborate with relevant teams and stakeholders managing stages of the IOF and AGA to identify integration points.

 

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Step 2. Build the beta solution

The beta phase of the process is where the solution begins to take shape, moving from concept to implementation. 

In this step, you build out the preferred prototype into a full solution for further testing. For example, you might take a prototype policy outline and develop it into full draft of a policy.

Actions to build out a beta solution  

Build out the prototype(s) into a beta solution  

Use insights and data from the alpha phase to build out and fine-tune the solution. For example, you may build out a draft policy. 

Ensure that you incorporate performance metrics.

Develop accompanying materials

If the solution is a policy or another instrument that requires guidance, create practical guidelines and tools for using it. 

Test these guidelines with stakeholders to make sure they are easy to understand and follow.

Pilot the solution

Where appropriate, roll out the beta solution in selected environments or with specific stakeholders to observe how it works in practice.

Collect and analyse feedback

Engage with stakeholders to gather feedback on the effectiveness, usability, and any areas of concern.

Refine the beta based on feedback

Make iterative adjustments to the beta solution based on the results from the pilot phase and feedback received from stakeholders.

Develop an implementation plan

Plan the implementation that will be carried out once the beta phase is complete. 

This may include seeking endorsement, publishing the solution, communications and marketing. 

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Services not covered by the Digital Inclusion Standard

The Digital Inclusion Standard does not apply to:

  • corporate commonwealth entities
  • state, territory or local government services
  • personal ministerial websites that contain material on a minister’s political activities
  • existing staff-facing services

Services not covered by the Digital Inclusion Standard, such as existing staff facing services, may choose to apply the Digital Inclusion Standard to improve their digital services.

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Step 3. Beta testing

Beta testing ensures the solution works effectively in the real-world before full implementation. 

Testing helps you identify gaps, issues and unforeseen impacts. This gives you an opportunity to refine the solution based on practical insights. 

The feedback and data gathered during this phase is crucial for ensuring the policy is fit for broader application.

During this step a beta solution, for example a policy, is tested to see how it works in practice. This allows you to adjust it based on real-world feedback before full-scale rollout. 

The beta solution can be piloted in selected environments to ensure that it is feasible, effective and aligned with stakeholder needs. This phase is crucial for refining the solution and making any necessary changes to optimise outcomes.

Conduct beta testing  

Pilot the solution

Where appropriate, roll out the beta solution in selected environments or with specific stakeholders to observe how it works in practice.

Collect and analyse feedback

Engage with stakeholders to gather feedback on the effectiveness, usability, and any areas of concern.

Refine the beta based on feedback

Make iterative adjustments to the beta solution based on the results from the pilot phase and feedback received from stakeholders.

Repeat as needed

You may need to repeat these actions several times until the solution is fit for implementation.

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