Tech Policy
Process

What is the desired outcome?

What is the problem or opportunity the outcome is trying to solve or harness?

Why is government intervention needed? What is new or novel about the tech? How are the existing frameworks not working to take into account the disruption? What are the gaps/deficiencies the outcome seeks to address?

What specific tech expertise is needed to understand the problem or opportunity? Who holds that expertise?

Who is the policy lead within government? Where does the authority to act/head of power lie? (In Australia the Administrative Arrangement Orders (AAO) formally allocate executive responsibility among ministers and set out which matters and legislation fall within the responsibility of which government department or portfolio).

Who are the key stakeholders (across government, industry (large and small), civil society (individuals and organisations))?

Draft Outcome Statement (for example: the outcome we want is X)

Prepare Gap Analysis (for example: the problem or opportunity we are solving for is Y, government intervention is required because Z)

Develop a list of required expertise (technical, legal, policy etc.)

Identify APS lead policy department and head of power or authority to act

Prepare Stakeholders Map and Engagement Plan

What options are available?

Is regulation the best option to achieve the desired outcome? Are there other means that could achieve the outcome more efficiently and effectively?

Does a solution already exist? Has the problem already been solved? Are there existing tools (including in different or adjacent domains) that could be applicable? Is there precedent (domestically and internationally)?

What evidence is available to support an assessment of the effectiveness of the options?

Have you consulted experts and stakeholders to identify all viable options, including not regulating?

Hold consultations with stakeholders and experts to identify all available options

Prepare a map of existing measures domestically and internationally

Prepare a map of existing measures in adjacent domains that could be transferable

Draft a provisional list of options

What is the likely net benefit of each option, including no action?

Are the benefits proportionate and fit-for-purpose? Will the options deliver the outcome? Do the benefits of the outcome justify the means?

How will the options interact with existing domestic regulation? Are the options consistent with prevailing international approaches? If not, has the rationale for departure been explained?

How will the option impact adjacent and interdependent domains? What are the possible/likely unintended consequences of the options?

Will the options provide regulatory certainty for investors and business?

How could the options be abused or misused? What safeguards are needed?

What are the budget implications? Is budget available? Can offsets be identified? Are new monies required?

Taking into account all of the above, what is the best option from those you have considered?

Consult with stakeholders and experts to assess the impact of options

Prepare an Options and Impact Analysis Assessment (known in Australia as an Regulatory Impact Statement).

Identify the best option to achieve the outcome (for example, the desired outcome is X, the problem/opportunity we are solving is Y, government intervention is required because Z, the options we considered were A, B, C, the best option is D because [insert Option and Impact Analysis]).

What Intra- and Inter-Departmental Committees need to approve the recommended option? Have approvals been given?

Is budget approval required? If so, what cycle applies? Has budget been secured?

How will the chosen option be implemented and evaluated?

Does the decision require new legislation or regulatory instruments to implement? Does existing legislation already provide authority? Would other policy mechanisms suffice (grants process, codes, rules, guidelines)?

How will the recommendation be communicated to stakeholders? Have stakeholders been advised as transparently as possible about the chosen option and the rationale behind the decision?

Does any information gathered in Steps One – Four need to be protected (national security or commercial confidentiality)? The default should be disclosure. Have the reasons for non-disclosure been explained as transparently as practicable?

Obtain all necessary Intra- and Inter-Departmental Approvals for the recommended option

Secure Budget Approval for the recommended option

Draft Advice to Government (for example, a Cabinet Paper that sets out the desired outcome is X, the problem or opportunity we are solving for is Y, government intervention is required because Z, the options we considered were A, B, C, the best option is D because [insert Option and Impact Analysis], it will cost E [absorb/new monies] and is supported/not supported by [Insert departmental and stakeholders views])

Update stakeholders on advice to Government

Who has the authority to approve the recommended option? Does the power rest with an individual Minister, several Ministers, or Cabinet? Has approval been given?

Government decision

Decision communicated to APS

Finalise plan to implement the decision

Communicate the decision to stakeholders, including an implementation plan

Has the policy owner changed? Is the policy owner also the solution owner?

What is the case for action? What protections, safeguards, and reviews need to be built in?

Do drafters need technology-specific expertise to support drafting? If so, who is best placed to provide this independently?

Prepare Instructions to drafters (APS)

Prepare Exposure Draft (OPC)

Has a consultation communication plan been developed (to illicit input from a broad range of stakeholders, not just those involved in previous steps)?

Do consultation time frames allow for stakeholders to provide considered input? Are there particular reasons for urgency justifying shorter consultation time? If so, has this rationale been communicated clearly to stakeholders?

Are there other adjacent submissions/consultations scheduled within this time frame? How will this impact stakeholder capacity to provide considered input? Does the imperative of the outcome justify this impost? If so, has the imperative been explained to stakeholders?

Will there be opportunities for formal and informal stakeholder engagement during this period, to facilitate targeted, comprehensive, and considered written submissions?

Prepare a Consultation Communication Plan

Draft Call for Written Submissions

Conduct informal and formal stakeholder consultations

Publish stakeholders’ written submission

Has the draft been revised in light of the consultations?

Has a Stakeholder Feedback Plan been developed (to provide feedback on key themes from consultations and submissions, including advice on how input provided shaped amendments to the draft, and rationale for why the input was/was not incorporated)?

Stakeholder Feedback

Bill and Explanatory Memorandum

Click here for an overview of the process once a Bill is introduced to Parliament.

Act of Parliament

What structures need to be established to implement the approved proposal? This could include, but is not limited to, codes, rules, guidelines, subordinate legislation, or grants program.

How can stakeholders be leveraged in support of this?

What processes can be incorporated into implementation to encourage openness and transparency in implementation and evaluation?

How will progress toward the outcome be measured? What information and systems do you need to put in place now to support this?

Where/how will baseline metrics be gathered (to measure impact and change over time)?

Implementation Plan

Review Plan (see for example: Post Implementation Review Guidance Note).

Baseline Measurements