Search

Purpose of desktop research

Objective

Clearly define the purpose of your desktop research. Identify what you aim to achieve and how the research will support the policy development process.

Example: "To gather background information on existing government policies, international best practices, and academic perspectives on digital transformation in public services."

Key research questions

Define core questions: Frame the research around key questions that guide your search. These should be aligned with the policy problem you are addressing. For example:

• What existing policies or guidelines govern digital transformation in public services in Australia?
• What are the key challenges government agencies face in implementing digital transformation initiatives?
• What are the emerging trends or technologies that could impact digital service delivery?

Sources of information

Internal sources

Use credible external sources to gather data and insights. Consider the following categories:

• Government reports: Australian government policies, international government frameworks, case studies, or white papers.
• Academic literature: Journal articles, research papers, or studies relevant to the policy area.
• Industry reports: White papers, insights from tech firms, or industry experts on emerging trends.
• Global Best practices: Policies or case studies from GovUK, GovUS, or other international peers relevant to this policy initiative.

Research methodology

Search strategy

Outline the methodology for conducting desktop research, such as:

• Keywords. List primary and secondary keywords for searches (e.g., “digital transformation,” “public service delivery,” “technology adoption in government”).
• Databases/Platforms. Identify the platforms you will use for research (e.g., Google Scholar, Australian Government Archives, academic journal databases).
• Timeframe. Define the timeframe of publications that are most relevant (e.g., last 5 years, 10 years).

Synthesising research findings

Key themes and insights

Summarise the major themes or trends identified in your research. For example: 

• "Increased use of automation and AI in public services; focus on citizen-centric service delivery."

Policy gaps or challenges

Identify any gaps or challenges in existing policies or practices. For example:

• "Limited guidance on integrating new technologies with existing legacy systems."

Opportunities for innovation

Highlight any innovative approaches or strategies that can inform your policy development. For example: 

• "GovUK's agile approach to digital policy development could be adapted to fit Australia's digital transformation objectives."

Limitations of research

Gaps in available information

Identify any limitations or gaps in the information available through desktop research. For example: 

• "Limited recent studies on the impacts of digital transformation on small agencies in Australia."

Assumptions

Highlight any assumptions made during research. For example: 

• "Assumed that the findings from international case studies are transferable to the Australian context."

Next steps

Further research needs

Specify any areas where further research or consultation is required. For example: 

• "Further stakeholder engagement needed with agencies involved in digital transformation projects."

Transition to discovery phase

Provide guidance on how this research will inform the discovery phase of the policy development process. For example: 

• "Research findings will shape the user needs analysis and the consultation plan for key stakeholders."

References

Ensure all sources of information are properly cited using a consistent referencing format. For example: 

• Australian Government. (2023). Data and Digital Government Strategy v1.0. Department of Prime Minister and Cabinet. Retrieved from https://www.dataanddigital.gov.au

Purpose

This section outlines the primary objective of the policy. It explains why the policy is being introduced and the outcomes it intends to achieve. For example:

• The purpose of this policy is to [state the reason for the policy's existence], ensuring [expected outcomes for agencies, stakeholders, or processes].

Policy background

This section provides context for the policy, including any historical or strategic factors that led to its development. It may reference relevant government strategies, reviews, or prior policies. For example:

• This policy was developed in response to [context or background]. It aligns with [government strategy, review findings, or existing policies].

Authority

This section cites the legislative or regulatory authority under which the policy is issued, including any relevant acts, government decisions, or ministerial approvals. For example: 

• This policy is issued under the authority of [name of act, regulation, or directive] and in accordance with [ministerial decision or other legal authorisation].

Applicability

This section defines the scope of the policy by identifying the government agencies, sectors, or entities to which the policy applies. It may also cover the circumstances under which the policy is relevant. For example:

• This policy applies to all [government departments/agencies] engaged in [specific activities or processes] from [effective date].

Definitions

This section provides definitions for key terms used within the policy. Clear definitions help avoid ambiguity and ensure consistent interpretation. For example: 

• Term 1: Definition
• Term 2: Definition

Policy objectives

This section describes the goals and intended outcomes of the policy. It should align with the purpose and articulate the broader objectives the policy seeks to achieve. For example, the the objectives of this policy are to:

1. [Objective 1]
2. [Objective 2]
3. [Objective 3]

Policy statements

This section outlines the key policy directives, principles, or actions. It provides the core details about how the policy will be implemented and what is required of agencies. For example: 

• [Government agencies] must [specific action required], in accordance with [principles or standards].

Policy requirements

This section specifies the detailed obligations and procedures that agencies must follow to comply with the policy. It may include timelines, reporting requirements, or performance measures. For example:

• Agencies are required to [action], submit [report], and meet [performance standards] by [timeframe].

Eligibility criteria

This section specifies the criteria that entities or agencies must meet to be eligible under the policy. It may also include any exclusions or exceptions. For example:

• To be eligible under this policy, agencies must [state eligibility criteria]. Agencies that do not meet these criteria are not subject to [specific policy requirements].

Policy exemptions

This section identifies any exemptions to the policy and the criteria for granting them. It may include processes for agencies to request exemptions and how they will be assessed. For example:

• Agencies may apply for exemptions under [specific conditions]. Exemptions must be approved by [relevant authority], and justification must include [criteria for exemptions].

Roles and responsibilities

This section outlines the roles and responsibilities of key stakeholders in implementing the policy, including government departments, oversight bodies, and senior officials. For example:

• Department of [X]: Responsible for [specific role].
• Agency Heads: Ensure compliance with policy requirements.

• Oversight Committee: Review performance and adherence to the policy.

  Policy monitoring and compliance

This section describes how compliance with the policy will be monitored and evaluated. It may outline the roles of oversight bodies, reporting requirements, and penalties for non-compliance. For example:

• Compliance with this policy will be monitored by [oversight body], and agencies must provide [type of reports or audits]. Non-compliance may result in [consequences or penalties].

Review and amendment

This section details how and when the policy will be reviewed, including the process for updating or amending the policy in response to changing circumstances. For example: 

• This policy will be reviewed [annually/every two years], and amendments will be made as required to reflect changes in [relevant factors].

Related documents

This section lists any other documents, policies, or guidelines related to this policy that should be consulted. For example:

• This policy should be read in conjunction with:
  • [Related Policy 1]
  • [Guideline 2]
  • [Document 3]

Contact information

This section provides the contact details for the department or agency responsible for implementing and managing the policy, including any relevant support or inquiries. For example:

• For further information regarding this policy, please contact
  • [Department/Agency Name]
  • [Email/Phone]

Purpose

This section outlines the primary objective of the policy. It explains why the policy is being introduced and the outcomes it intends to achieve. For example:

• The purpose of this policy is to [state the reason for the policy's existence], ensuring [expected outcomes for agencies, stakeholders, or processes].

Policy background

This section provides context for the policy, including any historical or strategic factors that led to its development. It may reference relevant government strategies, reviews, or prior policies. For example:

• This policy was developed in response to [context or background]. It aligns with [government strategy, review findings, or existing policies].

Authority

This section cites the legislative or regulatory authority under which the policy is issued, including any relevant acts, government decisions, or ministerial approvals. For example:

• This policy is issued under the authority of [name of act, regulation, or directive] and in accordance with [ministerial decision or other legal authorisation].

Applicability

This section defines the scope of the policy by identifying the government agencies, sectors, or entities to which the policy applies. It may also cover the circumstances under which the policy is relevant. For example:

• This policy applies to all [government departments/agencies] engaged in [specific activities or processes] from [effective date].

Definitions

This section provides definitions for key terms used within the policy. Clear definitions help avoid ambiguity and ensure consistent interpretation. For example:

• Term 1: Definition
• Term 2: Definition

Policy objectives

This section describes the goals and intended outcomes of the policy. It should align with the purpose and articulate the broader objectives the policy seeks to achieve. For example, the the objectives of this policy are to:

1. [Objective 1]
2. [Objective 2]
3. [Objective 3]

Policy statements

• This section outlines the key policy directives, principles, or actions. It provides the core details about how the policy will be implemented and what is required of agencies. For example:
• [Government agencies] must [specific action required], in accordance with [principles or standards].

Policy requirements

This section specifies the detailed obligations and procedures that agencies must follow to comply with the policy. It may include timelines, reporting requirements, or performance measures. For example:

• Agencies are required to [action], submit [report], and meet [performance standards] by [timeframe].

Eligibility criteria

This section specifies the criteria that entities or agencies must meet to be eligible under the policy. It may also include any exclusions or exceptions. For example:

• To be eligible under this policy, agencies must [state eligibility criteria]. Agencies that do not meet these criteria are not subject to [specific policy requirements].

Policy exemptions

This section identifies any exemptions to the policy and the criteria for granting them. It may include processes for agencies to request exemptions and how they will be assessed. For example:

• Agencies may apply for exemptions under [specific conditions]. Exemptions must be approved by [relevant authority], and justification must include [criteria for exemptions].

Roles and responsibilities

This section outlines the roles and responsibilities of key stakeholders in implementing the policy, including government departments, oversight bodies, and senior officials. For example:

• Department of [X]: Responsible for [specific role].
• Agency Heads: Ensure compliance with policy requirements.

• Oversight Committee: Review performance and adherence to the policy.

  Policy monitoring and compliance

This section describes how compliance with the policy will be monitored and evaluated. It may outline the roles of oversight bodies, reporting requirements, and penalties for non-compliance. For example:

• Compliance with this policy will be monitored by [oversight body], and agencies must provide [type of reports or audits]. Non-compliance may result in [consequences or penalties].

Review and amendment

This section details how and when the policy will be reviewed, including the process for updating or amending the policy in response to changing circumstances. For example:

• This policy will be reviewed [annually/every two years], and amendments will be made as required to reflect changes in [relevant factors].

Related documents

This section lists any other documents, policies, or guidelines related to this policy that should be consulted. For example:

• This policy should be read in conjunction with:
  • [Related Policy 1]
  • [Guideline 2]
  • [Document 3]

Contact information

This section provides the contact details for the department or agency responsible for implementing and managing the policy, including any relevant support or inquiries. For example:

• For further information regarding this policy, please contact
  • [Department/Agency Name]
  • [Email/Phone]

Project overview

Objective:

State the primary purpose of the initiative, including the policy problem it aims to address.

Policy problem/issue statement:

Clearly define the policy problem or issue that needs addressing, and the strategic importance of solving it.

Key outcomes:

Outline the desired outcomes of the project (e.g., creation of potential policy solutions, recommendations for changes, etc.).

Project sponsor:

Insert the name and role of the project sponsor.

Project lead:

Insert the name and role of the person responsible for managing the project.

Project team:

List the names and roles of key team members involved.

Stakeholders:

Identify internal and external stakeholders involved, including government agencies, industry, and other relevant parties.

Project governance

Project steering committee:

List members and their roles, meeting cadence, and decision-making protocols.

Reporting structure:

Specify how and when reports will be shared with senior leadership.

Risk management:

Identify key risks (e.g., delays, stakeholder resistance) and mitigation strategies.

Dependencies:

List any related projects or external factors that could impact the project.

Timeline and milestones

Start Date:

End Date:

Key Milestone:

Resource requirements

Budget:

Detail any financial requirements for each phase.

Staffing:

Outline the team roles and FTE required for each phase.

Other resources:

List any technology, tools, or other resources necessary.

Communications plan

Stakeholder engagement:

Identify the communication strategy for engaging stakeholders during each phase.

Internal communications:

Set out how updates will be shared internally (e.g., email updates, team meetings, etc.).

External communications:

Outline how the project progress will be communicated to external stakeholders and the public (if necessary).

Evaluation and success criteria

Key Performance Indicators (KPIs):

Define how success will be measured at each phase (e.g., number of stakeholders engaged, policy solutions tested, user feedback).

Post-implementation review:

Set out the plan for a review of the policy solution’s success after implementation.

Policy overview

Include the following details:

• Policy title
• Policy owner
• Policy lead
• Policy sponsor (if applicable)
• Policy contact details
• Date approved
• Policy effective date
• Version number

Brief description

Provide a concise summary of the policy, including its objectives and scope.

Purpose of risk assessment

Objective

To identify, assess, and mitigate risks associated with the development, implementation, and maintenance of the policy.

Scope

Outline the scope of the risk assessment, such as whether it applies to internal agency processes, external stakeholder impacts, or cross-governmental collaboration.

Risk assessment methodology

Risk assessment approach

Briefly describe the methodology or framework used to assess risks, e.g., likelihood and impact matrix, qualitative or quantitative analysis.

Risk categories

List the categories of risks to be assessed, such as operational, financial, legal, reputational, or technological.

Risk identification

Risk register

Identify all potential risks related to the policy. Include risks that may arise during policy development, implementation, and post-implementation phases.

Risk Description

Provide a brief description of each identified risk, including its cause and potential impact.
 

Risk analysis

Likelihood assessment

Assess the probability of each risk occurring—low, medium, or high.

Impact assessment

Evaluate the potential consequences or impact of each risk, should it occur—low, medium, or high.

Risk level

Determine the overall risk level by combining the likelihood and impact assessments—low, medium, or high.
 

Risk mitigation strategies

Mitigation actions

List mitigation strategies for each identified risk. Outline the actions needed to reduce the likelihood or impact of the risk.

Assigned responsibility

Specify the team or individual responsible for implementing the mitigation strategies.

Timeframe for implementation

Indicate when the mitigation actions will be put into effect.

Risk monitoring and reporting

Monitoring process

Describe how each risk will be monitored throughout the policy’s lifecycle. Include the frequency of reviews and updates to the risk register.

Reporting requirements

Identify who will receive updates on risk management, such as senior leadership, oversight committees, or external agencies. Include the frequency and format of reporting.

Triggers for action

Identify any triggers that would require immediate action or re-evaluation of risks, such as policy changes, new data, or incidents.

Contingency planning

Contingency plans for high risks

For high-risk items, develop contingency plans in case mitigation strategies fail. Detail the steps to take if the risk materialises.

Escalation process

Specify the process for escalating risks to higher levels of management or to other stakeholders.

Legal and compliance risks

Legislative and regulatory risks

Identify any legal or compliance risks associated with the policy. Include risks related to breaches of existing laws or failure to meet new legislative requirements.

Mitigation for legal risks

Provide strategies for mitigating legal risks, including seeking legal advice, compliance checks, or legislative amendments.
 

Communication of risk management plan

Internal communication

Outline how risk management activities will be communicated internally to staff and stakeholders within the agency.

External communication

Specify how external stakeholders will be informed of key risks and how the agency is addressing them. This may include public announcements or targeted stakeholder briefings.

Continuous risk improvement

Review and update cycle

Detail how often the risk assessment and mitigation plan will be reviewed and updated to reflect new information, changes in the policy environment, or emerging risks.

Feedback loop

Establish mechanisms for continuous feedback and improvement, ensuring that lessons learned from previous risk management activities are incorporated into future plans.

Contact information

Risk management lead

Provide the contact details of the individual or team responsible for managing and coordinating the risk assessment and mitigation plan.

Support team

List additional contacts for queries or support.