Building Better Governance

Part Three—Departmental Case Studies

Department of Education, Science and Training

How the department used strong leadership, strategic planning, good communication, past experience and established processes to set up a new governance arrangement to ensure departmental objectives are achieved and Government initiatives are implemented.

The department

The Department of Education, Science and Training (DEST) provides national leadership in the development and implementation of policies to ensure the continuing relevance of education, science and training to contemporary needs and the growing requirement for lifelong learning. It works in collaboration with the states and territories, industry, other agencies and the community in support of the Australian Government’s objectives.

The department has 2 500 staff located in the national office in Canberra as well as in all state capitals and the Northern Territory, and 19 overseas offices.

The challenge

The department has grown over the last few years. It has gained functions from other agencies as a result of machinery of government changes, and was required to integrate organisations including the Australian National Training Authority and the Enterprise and Career Education Foundation.

Following the 2004 election, DEST was required to implement a number of Government commitments including the Investing in Our Schools Programme and the Australian Technical Colleges Programme, and more recently the National School Chaplaincy Programme.

The system

In 2005 a cross-departmental group was established to look at election commitments for efficiencies in implementation. This proactive initiative was to assist the department in meeting the challenges of delivering current and future policy. The group was called the Election Commitments Coordination Committee (ECCC).

During 2005 and 2006, the work of the ECCC was largely accomplished. Having gained much experience and learned valuable lessons from this process, DEST established an Implementation Committee to ensure a continued response to policy implementation.

Committees under this structure were informal (they are not listed in the department’s annual report) and they ceased to exist when the implementation of the committee’s responsibility was completed. Relevant Branch Heads formed the membership of these committees, chaired by a Deputy Secretary.

The ECCC’s experience resulted in the Implementation Committee becoming more strategic and forward-looking, in line with the department’s intention to be a learning organisation.

Building on the work of the Implementation Committee, a sub-committee of the Corporate Leadership Group was established in May 2007. The DEST Implementation Sub-Committee provides endorsement and strategic direction for new initiatives.

What was done

A driving force in this process was one of the departmental Deputy Secretaries who was anxious to ensure that new knowledge gained during the process was codified and organised. In particular he wanted to position the department for future budget or election commitments when rapid implementation of new programmes would be necessary.

As a first step the Implementation Committee supervised the preparation of a website which consolidated existing implementation information. Called Implementing Initiatives in DEST, it includes a toolkit for better practice implementation and provides DEST staff with a model for dealing with implementation issues, especially in the light of tight timeframes. It also focuses on the need for DEST staff to implement their programmes according to public sector integrity, accountability and public confidence requirements. The website was launched in December 2006.

The Implementing Initiatives in DEST website is divided into four main areas:

Approach which provides information on establishing, scoping and planning an initiative; emphasises the importance of early planning and the value of creating a schedule and timetable to follow; and highlights specific issues for consideration, including the need for attention to risk management, and issues associated with whole of government initiatives
Deployment which provides information on useful tools for implementation, including issues relating to record keeping and accountability
Results which provides information on monitoring, quality assurance and evaluation, including useful checklists for staff to follow; and identifies and outlines reasons for undertaking evaluation of implementation initiatives
Improvement which highlights lessons learned by the department’s ECCC and provides information and contacts for staff to learn and adapt from their own implementation experiences.

DEST believes that establishing governance structures is one of the first steps in the process of implementing policy or other initiatives. Governance arrangements should cover the internal and (where relevant) external reporting lines and lines of accountability. It is important to identify key accountabilities and those staff, including senior executives, who are responsible for the implementation and management of the policy or initiative.

Governance structures are also an effective means to draw on existing corporate experience and share expertise. It is important to establish governance structures early as a means to scope the initiative and manage the process.

Having developed its Implementation Website, the Implementation Committee then built on the website and developed a DEST Implementation Framework, in part informed by the ANAO and the Department of the Prime Minister and Cabinet’s better practice guide, Implementation of Programme and Policy Initiatives (October 2006). As part of developing the Framework, the Implementation Committee considered the degree to which it was appropriate to expect its adoption by line areas with responsibility for implementing projects.

A risk-based approach was adopted within which small, less complex projects were to be managed solely by the line area with no monitoring or reporting responsibilities. Where the level of complexity, risk or sensitivity of a project was higher, the level of conformance to the Framework and the level of external monitoring of progress required of line areas also increased. These requirements were articulated on a single page matrix (provided at the end of this case study) which mapped the increasing levels of conformance required to increasing complexity. For the most complex implementations, line areas are required to have their proposed project governance arrangements and the project risk plan approved by the DEST Implementation Sub-Committee, and to include specific reference to the project in their business plans. They are required to adopt all aspects of the Framework and report progress to the DEST Implementation Sub-Committee through the life of the project.

With the adoption of this approach, the DEST Implementation Sub-Committee has turned its attention to making sure that issues that have whole-of-DEST impacts are considered and appropriate priorities are adopted. Examples to be considered include recruitment and staffing strategies across competing projects, IT deployments and devolution options to the state office network.

Monitoring

Improvement and review processes have been an important element of the implementation initiative from its inception as the ECCC. The ongoing implementation process requires that staff follow an approach which includes appropriate planning, consultation, communication and risk management to ensure that lessons learned are translated into, and adapted for, new departmental arrangements and initiatives.

Benefits

Rapid implementation of programmes has been a challenge for the department, but the Implementation Committee structure has been very helpful and the new Implementation Website and Framework are expected to further assist DEST managers to implement new proposals in line with the DEST culture and governance process.

The involvement of staff from across the department in the Implementation Committees has been valuable in encouraging and maintaining department-wide relationships and networks and promoting a more forward-looking, creative, integrated and learning-oriented organisation.

* Consideration should be given to using the Implementation Framework if:
Implementation is monitored externally			An initiative in the high level category includes anything that is politically sensitive, has a large budget or has been assessed as high risk	All components of the framework are used High level governance is established Progress is reportable to the CLG Subcommitee on Implementation Included in Group business plans
		An initiative in the medium level category would include anything that required implementation arrangements to be signed off by the Group Manager		The framework is used and decisions recorded Governance is at the Group and/or Deputy Level Included in Branch business plans
	An initiative in the low level category would include anything low risk, small scale eg. extension of existing programme and locally administered			The framework is used as a guide Governance is at the local level eg Branch Manager sign off Not included explicitly in the Branch business plans but may be included in local plans and performance
Delegated responsibility	Low Small scale initiative Not sensitive	Medium Medium scale initiative Low sensitivity	High Large scale initiative Sensitive or complex Subject to either the CIU or Gateway#review Assessed as a strategic risk Potentially damaging to DEST or the Minister’s reputation	# The current thresholds are: $10m and over for IT projects; and $20m and over other procurement and infrastructure projects.
< Complexity of initiative >				< Requirements re use of framework >
*All initiatives are required to adopt and scale the Implementation Framework

The value of this process has been demonstrated by the fact that recent implementation processes, with very tight timeframes, have progressed very successfully. For example, the new National School Chaplaincy Programme was announced in October 2006 and schools have been able to apply for funding since early 2007. The Australian Skills Vouchers Programme was also announced in October 2006 and applications have been available online since January 2007.

Key messages

When required to implement new initiatives rapidly, it is vital to first establish strong governance arrangements such as ensuring views, support and leadership from the Minister and executive; setting parameters; identifying risks, resources and timeframes; and establishing stakeholder relationships.
Early and smart planning and making use of established departmental processes such as legal advice and risk management arrangements greatly enhances implementation.
Developing an Implementation Committee structure and a model for staff to follow can assist you to rapidly incorporate new programmes and organisations into the departmental environment.

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