All Governments expect their policies to be implemented on time, on budget and to expectations. For that to occur, implementation considerations must be a fundamental part of all stages of policy development.

This Better Practice Guide was first released in 2006. It has now been reviewed and updated, in collaboration with the Department of the Prime Minister and Cabinet, to incorporate key developments since that time. We believe that there is real value in drawing together lessons from experience about how to successfully implement government policies, and in using those insights to strengthen performance in the future.

There are always lessons to be learnt from the implementation of most policies, not least the importance of good planning. This guide offers advice to public sector senior leaders on the successful implementation of policies so that unintended consequences, which deny the community the full benefits of a new policy or waste public resources, can be avoided.

The messages contained in the guide apply not only to new initiatives but also to adjustments or changes to existing measures or areas of regulation. The advice is equally relevant to senior leaders advising on policy proposals and those responsible for implementing policy initiatives. All have to collaborate to ensure success.

Our current environment involves government actively considering the extent and limitations of its service delivery and regulatory roles, at a time of significant pressures on public finances. Stakeholder and community engagement and interaction with government is becoming broader and more intense, enabled by the advent of the internet, social media and other transactional and communication methods. These developments all have implications for the successful implementation of policies.

While some policies can be developed and implemented with long lead-times, others must be developed and implemented quickly, even rapidly, on occasion. The advice presented in this guide has been developed in recognition of the pressures on the modern public sector, and taking into account experience gained in recent years.

The checklists included in this guide are a tool to be used by senior leaders. They reflect the collective experience and wisdom of senior executives and managers across the Australian public sector. The guide quotes from interviews with many public sector chief executives, and we acknowledge that the apparent simplicity of those quotes sometimes belies the often challenging way in which the experience behind them was gained. We sincerely thank all those who contributed their ideas and advice.

We encourage the use of this guide to assist public sector leaders in their stewardship of public resources invested in policies and programs that significantly affect the interests and wellbeing of the Australian community.

An appropriate level of effective regulation is an essential part of well-functioning economies and supports the achievement of economic, social or environmental policy objectives. In designing regulatory approaches governments need to strike a balance between the obligation to protect the community or public interest, while at the same time not imposing unnecessary costs on those they regulate or indirectly the broader community.

This Better Practice Guide (the guide) is being published in a period of change in regulatory approach. During 2013, the Australian Government made a commitment to regulatory reform with the aims of reducing the burden of regulation, boosting productivity, increasing competitiveness, reducing unnecessary regulation and lifting regulatory performance.

This guide aims to provide guidance to regulators on how to efficiently and effectively administer regulation. The content of the guide has been revised to reflect the changing focus of regulatory administration. In particular, greater attention is given in this guide to the importance of risk management, effective stakeholder engagement, the value of data analysis as a source of regulatory intelligence, regulator behaviour, and regulator and regulatory performance. Better practice principles are outlined in the guide to assist Australian Government regulators in assessing the quality of their administrative practices and in identifying where improvements can be made.

Over the last decade, Australian Government agencies have significantly increased the collection, storage and analysis of human resources data related to their workforce. With functionality now provided by Human Resource Management Information Systems (HRMIS), greater use is being made of automated electronic processes. While there are many efficiencies gained through the use of automated systems, establishing and monitoring internal controls over HR functions are important management considerations—especially if agencies are to provide an assurance over the reliability of their HR information, compliance with applicable laws and regulations, and to effectively and efficiently support business operations.

However, the implementation of HRMIS to support the management of human resources—and the integration of HRMIS with enterprise IT systems—can introduce a range of information management risks.  With this in mind, this Guide:

• provides an overview of significant risks and controls that are relevant to key HR functions, with particular focus within each chapter on managing risks through implementation of better practice principles;
• outlines the important role of both system and manual controls in maintaining the integrity and confidentiality of HR information; and
• provides better practice examples for implementing controls for the PeopleSoft, SAP and Aurion HRMIS, which are systems commonly used by Australian Government agencies.

The Guide aims to assist HR system managers and practitioners to:

• implement better practices to improve the effectiveness and efficiency of HR and payroll processes, especially from a security and privacy perspective;
• strengthen system controls and appropriately manage and segregate user access to key system functions; and
• increase awareness of system and manual controls within the PeopleSoft, SAP and Aurion HRMIS used by Australian Government agencies.

The implementation of controls should have due regard to benefits for the agency—equally, reducing controls for cost-saving reasons should be carefully managed as the operating risk profile may be increased. As with all Australian National Audit Office (ANAO) Better Practice Guides, it is important for agencies to individually assess the importance and relevance of practices described in this Guide. This Guide replaces the Guide published in March 2011. The content of the Guide has been refreshed and new sections have been added to reflect the recommended controls—by each of the three HRMIS—to mitigate the risks to key HR functions.

The Financial Management and Accountability Act 1997 and the Commonwealth Authorities and Companies Act 1997 were replaced by the Public Governance, Performance and Accountability Act 2013 (PGPA Act) and supporting rules on 1 July 2014. The PGPA Act provides a common legislative framework for the governance, performance and accountability of all Commonwealth entities.

Substantially the content of this Guide, in particular the underlying concepts and principles of better practice, remain relevant.

Further information on the PGPA Act is available at www.pmra.finance.gov.au.

This Guide aims to assist Australian Government public sector entities to:

• improve environmental management practices and reduce the environmental impacts of their operations;
• foster greater efficiencies and operational cost savings; and
• meet legislative, regulatory and policy requirements.

The Guide provides executives with a set of fundamental principles to assist them in establishing and maintaining an integrated strategy for environmental management within their organisations. Practical implementation advice, case studies and checklists have also been included to assist environmental managers to meet monitoring and reporting requirements and to introduce improved practices.

The Guide has been developed within the context of the Australian public sector’s environmental management framework, which includes the legislative, regulatory and policy requirements that currently apply to public sector entities under the Financial Management and Accountability Act 1997 and Commonwealth Authorities and Companies Act 1997. Key elements of this framework focus on operational areas, such as energy and water consumption, Information and Communications Technology (ICT) use, waste generation, travel and property management.

Limited hardcopies are available and can be requested by contacting the ANAO Publications Manager at webmaster@anao.gov.au. The publication was printed on 100% post consumer recycled fibre, certified by the Forest Stewardship Council.

The Financial Management and Accountability Act 1997 and the Commonwealth Authorities and Companies Act 1997 were replaced by the Public Governance, Performance and Accountability Act 2013 (PGPA Act) and supporting rules on 1 July 2014. The PGPA Act provides a common legislative framework for the governance, performance and accountability of all Commonwealth entities.

Substantially the content of this Guide, in particular the underlying concepts and principles of better practice, remain relevant.

Further information on the PGPA Act is available at www.pmra.finance.gov.au.