‘Linking Policy and Practice: Increasing Impact By More Effectively Connecting New Products and Knowledge with Decision Makers’
Final report for project MIS no. *****
Project Title: ‘Linking Policy and Practice: increasing impact by more effectively connecting new products and knowledge with decision makers’
Project MIS No. 2915 07870 21 034, 2830 0780 21 034
Author:
Fiona Johnson and Cathy Mansfield
Dept Primary Industries
Ferguson Rd
Tatura 3616, Victoria
Published by:
Department of Primary Industries
Catchment and Agriculture Services
Private Bag 1, Ferguson Rd, Tatura address Victoria, Australia
June 2007
ISBN 978-1-74199-842-9 (PDF)
Executive Summary
The most significant threat to current investment in science and technology is from changes in the authorising environment (external political environment). Food and agricultural production is becoming increasingly complex as people demand much greater involvement in the decisions of government that affect their lives; are disconnected from primary industries; and are increasingly concerned with environmental and health issues as they become wealthier, more educated and more urbanised. New strategies and tactics are needed to deliver outcomes for government in these contested multiple-user and multiple-stakeholder environments.
Key Project 5 sought to develop new strategies and tactics and implement systemic processes to increase the impact of investment in future science and technology programs, through:
- establishing the case for new ways of operating effectively in contemporary rural landscapes through analyses of the significant changes expected in the socio-economic and biophysical environment relevant to the food and agriculture sector in Victoria
- developing new strategies and tactics for effectively managing in complex and contested environments; and
- developing new strategies to assist project teams in identifying the strategic issues that influence the effectiveness of government policy.
Methods
To ensure the products of this research were suitable for its end users, the work was taken through a three-phase process. Firstly, the project examined the issues on a conceptual level (eg. a review of literature and interviews with stakeholders) and then developed into new frameworks for analysing and resolving the 'strategy' problems identified. The second phase was to trial the new frameworks and tools with peers and identified end-users of the products to ensure that they met their needs. The final phase was a utilisation and capacity building process designed to assist project teams to utilise the outcomes.
Project achievements
Key project deliverables include:
- A major report on ‘The Changing Social Landscape of Rural Victoria’ outlining the major social forces reshaping agriculture. This report has had a significant impact on DPI policy through its influence on the Victorian Provincial Statement. The work also generated a fellowship with Land and Water Australia to extend this research to rural areas throughout Australia.
- A report ‘Making Sense of Recent Developments in Public Sector Governance’, which has had a significant impact through the development of a Business and Corporate Strategic Positioning initiative being implemented by the Strategic Policy Unit across DPI.
- Tools for network managers, including a ‘Network Management Workbook’ for planning collaborative network projects and ‘So… you think you can manage in a Complex Network’, a guide to better day to day decision making and action in complex networks. The ‘Network Management Workbook ‘ has been used across DPI, including Minerals & Petroleum, Geoscience Victoria, Fisheries and Biosecurity.
- An Outcomes Framework that identifies the critical issues that a program manager needs to manage to deliver policy outcomes that are valued by the Victorian community. There has been multiple trials of the Outcomes Framework including: Intensive Pear Production, Biosecurity Projects, Grape Tannins and the Upper Wimmera CMA Implementation Project, and an ongoing Community of Practice has formed to support the use of the Outcomes Framework in DPI.
Other important work includes a framework for understanding the organisational relationships between government agencies and other partners in the implementation of policy, and a framework for examining the influence of trust in government relationships with stakeholders.
Application and further work
The tools and frameworks developed under ORL 5.1 are already being applied extensively across DPI as well as with DSE and some Catchment Management Authorities. Additional support has been sought to ensure the further development of capacity in the use of the Outcomes Framework, the Network Management workbooks and frameworks related to organisational relationships and trust.
Table of Contents
Executive Summary
-
1. Project Background
- 1.1 Project Identification
- 1.2 Project Context
- 1.3 Project Rationale
- 1.4 Key Stakeholders
- 1.5 Objectives
- 1.6 Methodology
-
2. Results and Discussion
- 2.1 Outputs
- 2.2 Unexpected outputs
- 2.3 Significance of outputs
- 2.4 Achievements and Outcomes
-
3. Dissemination and extension
- 3.1 Next User reactions
- 3.2 Changes in KASA
- 3.3 Practice Change
-
3.4 Outcomes
- 3.4.1 DPI Objectives
- 3.5.2 STI Objectives
- 3.5.3 ORL Outcomes
- 3.6 Learnings
- 4. Conclusions and Recommendations
-
5. Appendices
- 5.1 List of appendix material
- 5.2 Communication and Evaluation
- 5.3 Financial Reports
1. Project Background
1.1 Project Identification
| Project title | Linking policy and practice: increasing impact by more effectively connecting new products and knowledge to decision-makers. |
| Project number | 5.1 , 2915 07870 21 034, 2830 07870 21 034 |
| Project leader | Chris Linehan/Fiona Johnson |
| Contact details | Ph. 5833-5352, fiona.johnson@dpi.vic.gov.au |
| Project team | 2003/04 – Chris Linehan, Stephen Petris (in kind), Neil Barr, Fiona Johnson, Peter Howden, Jo Vigliaturo, Komala Karunaratne, Helen Murdoch, Marg Watters 2004/05 - Chris Linehan, Stephen Petris (in kind), Neil Barr, Peter Howden, Mike Gooey, Melissa Schellekens, Krista Patterson-Majoor (in kind), Alana Hulme, Jo Vigliaturo, Fiona Johnson, Marg Watters 2005/06 – Fiona Johnson, Alana Hulme, Peter Howden, Mike Gooey, Jo Vigliaturo, Brigette Keeble, Marg Watters 2006/07 - Fiona Johnson, Alana Hulme (in kind), Peter Howden, Cathy Mansfield, Brigette Keeble, Megan Higson, Alison Medhurst, Marg Watters |
1.2 Project Context
Our Rural Landscape (ORL) is a four-year science based program funded as part of the Victorian Government’s Innovation Statement, centred on the sustainable development of Victoria’s primary industries. The State Government has invested $50 million in the program from 2003 to 2007.
The ORL program aims to increase the value of agriculture per unit of natural resource, balancing economic productivity and social outcomes with resource use efficiency and protection of the environment.
This project aimed to develop and implement new strategies and tactics to increase the impact of the investment in ORL and future science and technology programs.
1.3 Project Rationale
Investment in science and technology is an important driver of sustainable development in the food and agriculture sector. DIIRD and DPI recognise this with their $50m investment in Our Rural Landscape. However, investment in science and technology is relatively high risk.
The most significant threat to current investment in science and technology is from changes in the external political environment (or authorising environment) that can result in significant changes to public investment at both the project and program scale.
Changes in the external political environment reflect the needs of the Victorian community. For food and agriculture, the needs of the community are increasingly complex as people demand much greater involvement in the decisions of Government that affect their lives; are disconnected from primary industries; and are increasingly concerned with environmental and health issues as they become wealthier, more educated and more urbanised.
- Thus the general drivers of risk for public science and technology investment in the food and agricultural sector can be summarised as:
- complex public problems with many ‘next users’, stakeholders and contesting views;
- changing social and economic landscapes; and
- changing expectations of community and government
Decision making to address these contemporary issues increasingly requires joint action by Government, industries and community. For equitable and efficient outcomes for all Victorians, Government requires new strategies and tactics to engage in these contested multiple-user and multiple-stakeholder environments.
1.4 Key Stakeholders
The key stakeholders for this project are outlined in Table 1.
|
Group |
Specific Stakeholder |
|
Investors |
Our Rural Landscapes |
|
Collaborators |
Strategic Policy Division |
|
Next Users |
DPI Secretary |
Table 1 : ORL 5.1 Key Stakeholders
1.5 Objectives
The objectives of this project were to:
- Establish the case for new ways of operating effectively in contemporary rural landscapes through analyses of the significant changes expected in the socio-economic and biophysical environment relevant to the food and agriculture sector in Victoria.
- Develop new strategies and tactics for effectively managing in complex and contested environments; and
- Support project teams in applying strategies and tactics that increase the effectiveness of Government policy.
1.6 Methodology
To ensure the products of this research were suitable for its end users, each new area of work was taken through a three-phase process (figure 1).
|
|
|
Figure 1. ORL 5.1 project methodology |
Firstly the project examined the issue on a conceptual level. This included a review of literature, the production of a series of discussion papers and case studies, interviews with key stakeholders, and the initial development of new frameworks for analysing and resolving the 'strategy' problems identified.
The second phase was to trial the new tools with peers and identified end-users of the products to ensure that they met their needs, and to resolve relevant issues and problems. During this phase the product was often refined both in language and content.
The final phase was the utilisation and capacity building process. This was to identify the broad target audience, those in the target audience who have identified that they have the problems these frameworks address and the best way to engage and involve them to achieve better outcomes.
2. Results and Discussion
2.1 Outputs
Deliverable 1: Analysis of the significant changes expected in the socio-economic and biophysical environment relevant to the food and agriculture sector in Victoria.
The report ‘Changing Social Landscape of Rural Victoria’ describes the rural context in which the Victorian Department of Primary Industries works. The report focuses on informing policy development by providing insights into the social trends driving changes in the Victorian rural Landscape. The report describes three broad landscape types. The first is the production landscape which is characterised by land prices that can support agricultural production, ever increasing farm sizes and a corresponding trend in reducing population. The second is the transitional landscape, which feature industries such as wool production, and are moving to new land uses such as tree plantations and wind farms. The final is the amenity landscape which is found in areas that are ‘close to urban areas, with good views, near water with a moderate climate’. The report outlined potential policy implications as rural Victoria is more and more dominated by non traditional farming communities.
Deliverable 2: New strategies and tactics for managing complex and contested policy environments.
The report ‘Making sense of recent developments in the public sector’ describes current methods of public administration and how they impact on the achievement of outcomes for the state of Victoria. It explores the dominant ‘New Public Management’ form of government (which utilises the purchaser-provider model), and explains why it has generally failed to deliver on long-term strategic outcomes. It then describes the emergence of ‘joined up government’, which aimed to increase collaboration and integrate services across government, and observed that even these changes were not enough to address all the complex problems which government faces (such as drought or climate change). The report then describes the emergence of new ‘networked’ forms of governance which requires an understanding by government that it does not have the control to achieve complex policy outcomes unilaterally, and must work with a range of other service providers and stakeholders (including broader community, government and non-government organisations) to achieve change.
The report, ‘The relevance of social and human capital to public policy’ explains the importance of human capital (the knowledge, skills and competencies of individuals that facilitate the creation of personal, social and economic well being) and social capital (the networks of social relations that provide access to needed resources and supports) in achieving policy outcomes. It identifies the need for processes to foster and manage these forms of capital more effectively. Part 2 of this report, ‘Social capital: current knowledge and applications to public policy’ discusses the development of social capital through network management (providing a clear link to the findings of the above report). It explores the factors that influence the effectiveness of networks and cautions that there are aspects of networks that could inhibit the government’s ability to achieve objectives. The report suggests that Government can better utilise social capital (and networks) to increase the likelihood of creating action to achieve robust policy outcomes.
The case study report ‘Developing policy in DPI’ reviewed the development of five policy initiatives in DPI and describes in detail the chronology of the events, including refinements in policy, leading to policy implementation. This work was undertaken to create a record of complex and contested policy environments, which can be used to test future policy frameworks and identify gaps in processes.
The report ‘A network management framework: strategies and tactics for managing in contested and complex policy environments’ provided a framework for network management in complex and contested environments and built upon the solid theoretical foundation established in the previous milestones. The paper reiterated the need for a means for working within the increasingly complex environment that government has to negotiate currently.
In April 2005, the project team ran a forum showcasing all of the ORL 5.1 work, with proceedings titled ‘Rethinking How Government Works in Rural Victoria’. The forum was very well attended with over 115 participants, including representatives from a range of state departments, statutory authorities and leading academics.
Further work on the strategies and tactics for managing in complex and contested policy environments was then integrated under deliverable 3 from December 2005.
Deliverable 3: Support to project teams in the use and interpretation of these analyses and models to increase the ability of their projects to drive change.
The report ‘Science Product Development Framework’ reported on the analysis of the ORL Sub projects utilising the Science Product Development Framework (SPDF) that was developed under the Victorian Government’s Science and Technology Initiative. The aim of this report was twofold. First it reported on the assumptions that underpinned the predicted impact of the ORL sub projects and recommended additional work to test key assumptions and increase impact from the investment. Secondly the report recommended further research and testing of the SPDF and its utilisation. Results of the research and utilisation of the SPDF, later called the Outcomes Framework were reported in the ‘Milestone #: 3.3 Interim evaluation report’, ‘Linking Policy and Practice to achieve outcomes’ and ‘Outcomes That Matter’. The Outcomes Framework provides Program Managers a tool to reveal the dynamics of the key factors that impact on the value of their program’s objectives and on the effectiveness of how they are achieving their program objectives.
The report ‘Outline of Capacity Building for Outcomes Framework’ provided a review of the key literature on capacity building and developed a framework of capacity building that considered the type of capital needed to be built, the organisational and individual issues and the type of learning required. Results of end user interviews were reported and recommendations given on the approach to capacity building that was required for the Outcomes Framework in DPI.
The ‘Network Management Workbook’ drew on the outputs of deliverable 2 to develop a practical guide that explores the network problem, the context of the network and describes the current status of the network including who is currently in your network and who should be included. The workbook then leads you through how to develop strategies to manage issues and achieve your required outcomes. The workbook could be used in a workshop format or individually. This workbook was used to assist in revealing the issues facing Community Relationship Managers in DPI and led to the output ‘External and internal stakeholder perceptions of CRM role’.
The utilisation of the Network Management Workbook combined with interviews with network managers in DPI and other government departments highlighted the issues related to an organisation’s ability to manage complex networks. ‘Institutions in network design’, explored the influences on an organisation’s ability to manage complex networks; such as organisational structure and culture and the openness of discourse between organisations.
2.2 Unexpected outputs
This project has produced two different types of unexpected outputs both within the project and outside the boundaries of the project. Firstly from within the project, gaps in both knowledge and available tools have been identified and outputs aligned to those gaps have been created. For example; ‘trust’ was identified as a critical limiting (or enabling) factor in DPI’s ability to develop positive relationships with partners in complex policy networks. There was no evident framework for understanding the influence of trust, so a project was developed to address this. Secondly this project has generated a range of ideas, which have been used to create outputs in other projects, or enhanced and modified other projects to increase the likelihood of them achieving their outcomes. The following information will focus on the first type of unexpected output.
An unexpected output of this project was a paper ‘Understanding Rural Victoria: An Australian example of new partnerships for public policy ‘(Gooey 2004). This work reported on the changes that ORL 5.1 had identified in Victorian public sector governance, including the emergence of ‘networked’ forms of governance as a means of managing increasingly complex policy issues. This paper was presented at the Annual Meeting of the Rural Sociological Society in California.
Another unexpected output was an invitation to submit a paper to a special edition of the journal ‘Rural Society’ on social capital. This paper, ‘Social Capital, Weak Ties and the Problem of Trust – Acting in Complex Networks for Public Policy Outcomes’, was first presented at a conference at Charles Sturt University in Wagga Wagga in December 2004. The journal paper will be published in November 2007. This work highlights the importance of networks as a means to build social (and human) capital in DPI and its policy networks and the need for a better understanding of the influence of trust in policy relationships.
While trialling the Network Management Workbook we identified a range of other challenges facing Government in delivering on policy in a complex and contested political environment. This generated a number of other pieces of work designed to fill the gaps in knowledge we identified. This included the following four pieces of work:
Research for the Network Management Workbook identified the need to focus on the capability of government officers to manage in complex stakeholder environments. A literature review and discussion paper ‘Understanding and operating in complex networks: a focus on the role of the networker’ was developed, and interviews conducted with network managers across DPI and four other government agencies. From this work, a guide for network managers has been developed (‘So… you think you can manage in a Complex Network). This guide provides tips, suggestions and resources for Government officers for planning, undertaking and evaluating their networked projects and for improving their skills as a network manager.
The project also identified that there was a need to explore our relationships with other organisations in a service delivery environment. Outsourcing is one of the methods used widely across the public sector to achieve outputs and policy outcomes. Evidence of a 50% fail rate of outsourcing arrangements after 5 years has highlighted the need to resolve complex problems that arise from this type of business arrangement. A concept paper ‘Organisational relationships and the implementation of natural resource policy’ has been developed to assist organisations to identify and resolve problems that arise when they have joint responsibilities.
Trust was identified as a key area of work, which needed to be explored when ORL 5.1 reviewed public sector governance and networking. ‘More effective policy delivery: Using sources of trust in contested environments’ describes different sources of trust between both individuals and organisations and uses this to predict the way that they will interact in a network. Being able to predict how participants behave in relation to a particular issue will allow us to develop strategies or tactics to increase the achievement of policy outcomes.
2.3 Significance of outputs
The ‘Changing Social Landscape of Rural Victoria’ report was the first time research of this nature and scope has been undertaken. There is no similar work that has been published in either existing government reports or in academic literature. Since its publication it has been cited in international academic literature and the author has been asked to attend a range of forums and was the invited guest of an International Demographer’s Conference.
This deliverable has a very significant impact on State government policy and became the cornerstone of the State Government’s Provincial statement, which outlined a new direction for government policy. This work was also used as a background for a government statement on drought policy.
This deliverable led to Dr Neil Barr being awarded the inaugural Fellowship with Land & Water to extend his analysis of rural landscapes to the whole of Australia and to prepare a book that covers his findings.
Network governance was identified in the Stephen Petris paper (milestone 2.1) as a significant new trend in governance in Australia and across the world. Departmental staff are finding themselves working with an increasing number and diversity of stakeholders with the need to represent DPI policy aspirations, but also navigate Government, community, business and industry needs in order to find innovative responses to a range of complex challenges. Developing an understanding of network governance is timely and critical to the future success of DPI in areas such as drought, water policy and biosecurity. There have been a number of important pieces of work in Europe, but this work is both innovative and ground breaking for Australia. A conference on collaborative governance held at Melbourne University in December 2006 was the first significant example of the importance of this field of work in Australia. DPI Victoria is now the lead agency on research and development in Network governance.
A systematic evidence based approach to network management has been developed using a workbook as a new practical tool (milestone 3.10). CAS Community Relationship Managers who play an essential role in maintaining and using networks for DPI have used this tool. A project based on the knowledge and tools developed in ORL 5.1 have assisted these key staff to more effectively utilise their networks.
The Outsourcing work took a new approach to describing and evaluating the relationships between organisations. Previously outsourcing has been evaluated on the basis of its efficiency (predominantly cost/benefit assessment) measures. Whilst this is helpful, the statistics on failed outsourcing relationships indicated that there were clearly other factors beyond efficiency that affect the success of outsourcing situations. This work further developed the economic considerations of outsourcing relationships and also included considerations of the nature of the product (i.e. if it is simple or highly complex), the different strategic objectives of different stakeholders and the behavioural implications of the outsourcing arrangement. The value of the framework has been recognised by stakeholders and has been funded for further testing and utilisation.
Trust has been proven across many disciplines to be a useful indicator of the success of a business partnership/relationship. This project has developed a novel approach that maps the sources of trust between stakeholders for a given policy issue. The ‘sources’ of trust can expose the likely behaviours that stakeholders will use to engage with each other in a given situation. The methodology that has been developed enables both qualitative and quantitative analysis. The methodology will be important for stakeholders trying to achieve a policy objective in a complex and contested environment where each stakeholder is likely to be driven by unique organisational context and objectives. In these situations outcomes are uncertain and being able to predict behaviour is helpful as it may reveal potential relationship-oriented barriers to successful policy delivery/implementation
The Outcomes Framework is unique in that it provides a holistic framework to assist program managers make the difficult decision of what to do to deliver on their program outcomes. The framework outlines the fundamental factors that impact on the value of the program outcome and on the contribution their program activities make to the program outcome. A number of products have been developed (such as the Adoption Strategy tool and the Practice Change Decision Support Framework) from the outcomes framework specifically for DPI users to ensure they are relevant and easy to use. The framework has modified the approach taken by a range of projects such as biosecurity, intensive pear production at a developmental phase or to resolve problems that have arisen during implementation.
2.4 Achievements and Outcomes
In summary, the key achievements of ORL 5.1 are:
- A ground-breaking report ‘The Changing Social Landscape of Rural Victoria’ that has had a significant impact on State Government policy and attracted national and international attention, including an inaugural fellowship with Land and Water Australia.
- A unique evidence based approach to network governance that has gained recognition through presentations in the United States and Australia and has influenced the strategic development of a number of DPI businesses, including the Community Relationship Managers.
- A new approach to describing and evaluating the outsourcing relationships between organisations that has attracted great interest, and further funding for testing and utilisation, with stakeholders.
- A framework that provides a novel approach to identifying the influence of trust relationships on achieving policy objectives in a complex and contested environment.
- A unique decision making framework for assisting program managers to deliver on complex program outcomes.
3. Dissemination and extension
The ORL 5.1 project team completed a stakeholder analysis to identify the key stakeholders and the appropriate tactics to use to engage and inform them about the ideas and tools created by the project. Groups within DPI were identified as likely end users of ORL 5.1 outputs and their project managers/supervisors were approached to support the collaboration between ORL 5.1 staff and those end users. Dissemination of information was targeted a range of different stakeholders and used methods including presentations, booklets, meetings to raise awareness and discuss the implications of the work (see Table 2). ORL 5.1 methodology, in part, explains the extension strategy by including end users of the outputs in the trialing phase to develop their understanding of the work and a good working knowledge of the tools by applying them to their own projects.
| Methods | Examples of Audience |
| Policy documents | All of the Victorian State Government and the General Public through the Provincial Victoria Statement, Managing Change and Renewal in Rural Victoria, Department of Sustainability’s Sustainable Irrigation Strategy |
| Refereed papers | International Sociologists |
| Conference attendance | 17th National Health Promotion Conference, Annual Meeting of the Rural Sociological Society in California, Australasian Pacific Extension Networks International Conference |
| Forums | ORL Forum |
| Meetings | Premier and Cabinet, Minister for Primary Industries, Secretary of Department of Primary Industries, Secretary of Department of Sustainabilty and Environment, Department of Infrustructure, Department of Human Services, Agriculture Developement Team, CAS |
| Communities of practice | Adoption Strategy Group, Social Context Community of Practice, Evaluation Community of Practice, DPI Strategy Group |
| Newpaper articles | The Australian, Stock and Land |
| Radio Interviews | ABC Radio National |
| Training sessions | VCAT panel members, CAS Horticulture |
Table 2. Describes the methods used to reach a range of audiences
3.1 Next User reactions
Deliverable 1 Analysis of the significant changes expected in the socio-economic and biophysical environment relevant to the food and agriculture sector in Victoria
Next users identified & route to market: Project team, through workshop analysis and interpretation of findings.
User reactions: Relevant findings were incorporated into ORL outputs and the development of new projects.
Next users identified & route to market: DPI Executive, through a forum, seminars and invited contact.
User reactions: Positive feedback was received from the ORL forum with DPI executive (and other government departments) and resulted in a large number of invited face to face meetings and presentations.
Next users identified & route to market: Catchment Management Authorities, through reports and workshops.
User reactions: Feedback from the participating Catchment Management Authorities has been extremely positive, as evidenced by continued invitations to present at CMA forums and the funding of ongoing work.
Next users identified & route to market: Communities of Interest, through invited presentations.
User reactions: Again, continued invitations to present this work throughout the state, and nationally, in is evidence of the influence of this work.
Deliverable 2. New strategies and tactics for managing in complex and contested policy environments
Next users identified & route to market: Project team, through workshop analysis and interpretation of findings.
User reactions: The project team found this to be a unique and exciting opportunity to draw on a wide range of skills in policy development and implementation from across DPI to address some significant emerging challenges in delivering government in Victoria.
Next users identified & route to market: Department of Sustainability and Environment, through face to face meetings
User reactions: DSE has incorporated the findings of the ORL outputs into a number of areas such as the Rural Atlas, Sustainable Irrigation Strategy and has provided on-going funding.
Next users identified & route to market: Department of Premier and Cabinet: through face to face meetings and ERC submissions
User reactions: Findings of ORL 5.1 have been included and funded as part of ERC bids.
Next users identified & route to market: Department of Primary Industries, through seminars, workshops and invited contact
User reactions: Presentations of this work has generated invitations to participate in business planning and program development with several DPI divisions and groups (for example, Fisheries Victoria, Meat & Wool, and Horticulture).
Next users identified & route to market: Other Government Departments: through seminars, workshops and invited contact
User reactions: Again, presentations of this work has generated positive feedback that this work is immediately relevant to many government departments and has included invitations to present in the planning processes of some groups (eg. DHS - Strategic Projects Branch)
Deliverable 3. Support to project teams in the use and interpretation of these analyses and models to increase the ability of their projects to drive change
Next users identified & route to market: Project team and key project manager, through monthly team meetings and updates
User reactions: Attendance, presentations and reporting and monthly meetings
Next users identified & route to market: PIMS/SIMS/CAS Directorate/Senior DPI staff, through a forum, workshops to discuss findings and implications of project findings, and working with individuals to tailor findings to meet their needs, as well as input into development of policies and procedures in DPI (eg extension investment policy, CAS project design room)
User reactions: Next user reactions have varies and led the project team to use a range of approaches eg interviews to better understand which end users would benefit from the outputs of ORL 5.1 and hence which end users the project should target. The most positive responses have come from the Strategic Positioning workshops, the network management work shops and the Adoption Strategy Community of Practice.
Next users identified & route to market: DPI Policy, through workshops with policy teams on network management, adhoc advice to policy managers as required and presentation of ORL findings to raise awareness
User reactions: Response has been very positive with the inclusion of network management into the suite of services provided across DPI by the Strategic Policy Group.
Next users identified & route to market: Community Relationship Managers, through development and implementation of network findings to suit CRM needs
User reactions: Extremely positive reactions with the incorporation of findings and recommendations into the CRM program.
Next users identified & route to market: DPI staff, response to adhoc enquiries, project reports available through the DPI website and development of public sector training unit on network management
User reactions: Next user reactions have varied depending on the value ORL outputs created for the end user. ORL findings have been incorporated into new projects and training programs across DPI by end users.
Next users identified & route to market: CAS Horticulture program, through involvement with the Adoption Strategy Group
User reactions: The Adoption Strategy Group (Community of Practice) continues to meet every 2 months and has an expanding membership.
3.2 Changes in KASA
The key areas of knowledge developed amongst next users lie in the disciplines of strategy, networks and delivery of policy outcomes. The project team have introduced a diverse range of DPI staff to the concepts of corporate and business strategy, marketing, relationship management, outcome focus, the relevance of context and public sector governance.
Next users have shown a change in attitude from believing their existing skills and knowledge can resolve the problems they are facing, to one of seeking and being challenged by new approaches developed in ORL 5.1. This is evidenced by the increasing involvement of DPI staff in workshops/training/communities of interest that have flowed from ORL 5.1, as well as interest from other government departments for a briefing on this research.
Skills have been developed in next users through a range of interactions (see Table 2). The areas of strategy, networks and delivery of policy outcomes led next users to view the problems they are facing very differently, to ask very different questions and to gain different insights to the problems they are trying to resolve.
The knowledge and skills developed in next users have led them to have the aspiration to utilise the skills in future work and to influence others at a range of levels in DPI. This is evidenced in a range of ways such as development of new project proposals, input into strategic initiatives and policy and re framing of training programs.
3.3 Practice Change
The work by Neil Barr that led to the report ‘Understanding Rural Victoria’ has had a very significant impact on State Government policy and has been used to outline a range of government policies. The work was the cornerstone of the State Government’s Provincial Statement, which outlined a new direction for government policy. The work also explored scenarios that may develop from trade in irrigation under different policy parameters. This work was used as a background for a government statement on drought policy.
The work on Public Sector Governance combined with the work on strategy has been the foundation for the Strategic Policy Unit work with Divisions to develop strategies to secure support from Government.SPU provides support to DPI Divisions and business units in analysing their strategic position and identifying opportunities for the future. SPU has developed a series of strategy tools and a workshop series. SPU has produced the analysis for, and facilitated, a number of very successful strategic planning and positioning projects for a number of CAS platforms (Agriculture Development Services, Sustainable Landscapes, and now working with Landscape Protection), PIRVic platforms (Landscape Systems, Plant Health), and with CAS itself, and now PIRVic.
SPU has also piloted the network management frameworks developed in ORL 5.1 as an approach to implementing strategy with a number of groups, and now is developing a significant project with Fisheries Victoria to strengthen their capacity in network management. SPU has also successfully trialed some corporate strategy tools with the Policy Group, and with Community Relationship Managers.
In addition, SPU helped to secure over $30m of new funding for DPI through the submission to the Provincial Statement, which drew on Neil Barr's insights in response to the challenges of changing social landscapes (the Sustaining Rural Communities initiative). SPU has also recently produced Managing Change and Renewal in Rural Victoria - a strategy for managing change and adjustment that draws on the Sustaining Rural Communities initiativebut has been strengthened with the work done by SPU with CAS on the CAS strategy. This paper is proving an important input to Government's discussions on long-term adjustment.
The focus of practice change from the utilisation of the Outcomes Framework has been at the level of project design and implementation. The Outcomes Framework has been used in the successful development of projects focussed on productivity, biosecurity, pest plants and natural resource management issues across CAS and PIRVic. The Outcomes Framework has also provided direction for modifications to projects where it became clear during implementation that changes in the operating environment meant that the project objectives would not be achieved. The rigour provided by the use of the Outcomes Framework ensured stakeholder confidence and support were retained.
3.3.1 What is required to facilitate adoption?
The review of literature completed for the report ‘Outline of Capacity Building for Outcomes Framework Paper’ highlighted the issues related to the individual and the organisation utilising the outputs of ORL 5.1. This review was supported through interviews with next users in DPI. For utilisation to occur individuals need to recognise a problem that the outputs of ORL 5.1 will assist in solving, have the skills to utilise the outputs and the organisation needs to provide an environment and culture that enables utilisation. The capacity building program has focussed on identifying individuals and groups with appropriate problems and utilising a range of approaches (see Table 2) to develop skills.
Ongoing funding in the SPU will enable them to continue working in the areas of corporate and business strategy and, to a degree, in networks. Limited funding has been secured for capacity building in the utilisation of the Outcomes Framework at an individual level. The trust and outsourcing work is still at the trial stage (see Figure 1) and funding has been secured to enable this to occur with regionally based NRM organisations. The challenge for capacity building lies at the organisational level. All the outputs of ORL 5.1 are new to DPI and require changes to the processes and procedures used to develop new directions and to implement policy.
3.4 Outcomes
3.4.1 DPI Objectives
To assist primary industries to becomes sustainable and profitable in the long-term and maximise opportunities to expand investment markets and market share thereby stimulating economic activity across Victoria.
The project contributes to this objective by:
- Identifying through the research on public sector governance that to achieve these outcomes the public service must link with other organisations to achieve long-term policy outcomes. Policies such as this one and the one below require participation and support from the community (in this case agribusiness and other government and non-government agencies).
- The project used network and social capital theory to develop frameworks that will maximise government opportunities for using ‘co-production’ to achieve public good outcomes.
To ensure that Victoria’s primary industries use and manage natural resources in a way that is ecological and socially sustainable
- The network governance, trust and outsourcing frameworks and tools are resources that can create and sustain collaboration and improve understanding of the views of a wide range of stakeholders, and could assist DPI to achieve outcomes in complex and contested policy environments.
- The ‘Changing Social Landscape of Rural Victoria’ report assists in providing an improved understanding of rural Victoria’s social context, allowing a better targeting of policy approaches to achieving socially sustainable outcomes.
- The ‘Outcomes Framework’ helps identify what goals and outcomes are realistic, given limited resources and a complex decision making environment, and what the opportunities are for achieving change amongst landholders and other stakeholders.
To help Victorian primary industries and communities build their capabilities and capacity to anticipate and adjust to economic, social and environmental challenges and opportunities, ensuring future prosperity and well-being.
- The ‘Changing Social Landscape of Rural Victoria’ report allows policy makers to better understand the broad context of Rural Victoria, the changes in the social fabric and the trends that will impact on the community’s ability to adjust to change.
- The project team has worked with the Community Relationship managers to improve their ability to work in community networks. This enables CRMs to provide informed insights for planning strategies to assist these communities in building capacity to adjust to social and environmental challenges.
- The report ‘Making sense of recent developments of public sector governance’ showed that there is increased fragmentation in policy making and service delivery and the corresponding emergence of a new form of governance. Policy is increasingly delivered where organisations/stakeholders have joint responsibilities (formal or informal) or have differing priorities in relation to the policy objectives (contested environments). These types of arrangements present a range of challenges for organisations particularly maintaining effective collaborations with partners to ensure policy objectives are realised. The Trust and Outsourcing frameworks provide a much more informed and strategic approach to building partnerships with industry and community in developing policy responses to social, environmental and economic challenges.
3.5.2 STI Objectives
Describe how the project has contributed to Vitoria ’s STI skills base:
- The frameworks and tools developed for ORL 5.1 were designed to increase the capability of DPI staff to plan and make better decisions in complex and contested policy environments. The outputs (Outcomes Framework, Network Management Workbook and Trust & Organisational Relationships Frameworks) were developed collaboratively with many stakeholders, building their capability to deliver on DPI outcomes. For example, Dr Alana Hulme’s work with CAS’s Community Relationships Managers has had a strong influence on how the CRMs undertake their business.
- The project team have developed recognised skills in the areas of strategy, network governance, trust, organisational relationships and implementation to deliver on policy outcomes.
Contribution to world class research, positioning Victoria nationally and internationally
- The report ‘Changing Social Landscapes of Rural Victoria’ has had a major impact on State Government policy through its significant influence on the Provincial Statement. The work of Dr Neil Barr and has generated interest both nationally and internationally, as evidenced by citations in international journals, an inaugural fellowship with Land & Water Australia (awarded to Dr Barr), as well as multiple invitations to present at a wide range of forums, including an international demographers conference.
- The research on the changing nature of governance in Australia and the emergence of networked forms of governance has attracted much interest across government in Victoria as well as in international academic circles. The research has been presented at an international sociology forum (RSS 2004 – California), and has attracted invitations to brief groups in other government departments (including DVC & DHS). Invitations to present on this work are still being received. This research has also had a significant impact on State Government policy through the Provincial Statement and the development of drought policy.
Describe how the project has delivered new levels of collaboration and how this has benefited Victoria.
- From the beginning, the development of the ORL 5.1 research program focused on developing a unique collaboration between divisions in CAS (eg. Horticulture and Practice Change) and between CAS and the DPI’s Strategic Policy Unit. This included in-kind participation in ORL 5.1, as well as increased capacity building activities with those outside ORL 5.1 utilising shared experience (for example, frameworks developed by Practice Change have been used by the Strategic Policy Unit in planning and strategy workshops with DPI divisions and business units). The benefits for Victoria are clear in the high quality science that has been developed which has influenced Victorian Government policy through the Provincial Statement and Drought Policy, and in the improved delivery of programs to stakeholders (eg. Intensive Pear Project).
3.5.3 ORL Outcomes
(Dramatic) improvements in the efficient use of natural resources through technology innovation and a systems approach to managing landscapes.
- ORL 5.1 has developed multiple innovative frameworks and tools that provide a much more systematic and strategic basis for the collaborative management of natural resources – including the Outcomes Framework, the Network Management Workbook, Strategic Positioning Initiative, the Guide for Network Managers & the Organisation Relationship and Trust frameworks.
Vibrant rural economies through the adoption of new efficient and ecologically sustainable agri-food systems
- The ‘Changing Social Landscape of Rural Victoria’ report provides an important contextual framework on which can be built more targeted and efficient responses to challenges in the delivery of sustainable agri-food systems.
- The Outcomes Framework and Network Management tools provide a rigorous and systematic approach to the development and delivery of government policy such that the barriers to (and enablers of) adoption of sustainable agriculture are revealed more clearly and addressed through better planning and stakeholder engagement.
Increased community and stakeholder participation in the management of our rural landscape
- The Outcomes Framework provides a systematic means to examine the stakeholders in government programs and projects, why they are involved and for what outcome, and tests the assumptions about who should or should not be involved.
- The Network Management Workbook and the Guide for Network Managers provide important resources for analysing the social and political context of any government program and improving the mechanisms for community and stakeholder participation.
- The work on organisational relationship and trust supports new strategies and tactics for stakeholders to interact and achieve their objectives. The forms of trust and the factors influencing the effectiveness of organisational relationships help us to understand why differences arise between stakeholders that may not be obvious. With these exposed, DPI and other stakeholders can begin to deal with any barriers and develop tactics and strategies to resolve them.
3.6 Learnings
There were a number of lessons from the process used to manage the ORL project which will be described under two headings; positives and suggested improvements.
Positives
ORL 5.1 it brought together many people from across DPI who have been working for some time on problems of improving policy development and implementation. This project provided the time to be curious, develop trust and a coherent team and explore these complex problems in an integrated way rather than through many small disjointed projects.
Very early in the ORL project, the ORL 5.1 team developed a culture of co-learning in which team members could test their ideas with their peers. This manifested specifically in the dedication of part of monthly team meetings to informal processes just to explore emerging ideas important to the developing research in ORL 5.1. The implementation of two day brainstorming workshops also added value to the work by providing time to explore ideas and discuss and review feedback from other team members. The evidence of the value in these meeting was in the continued attendance at these meetings of staff whose funding by ORL has finished, and the effort made by ‘in-kind’ members of the team.
The annual review of the project was beneficial because it allowed flexibility in project milestones based on new knowledge that had developed during the course of the year.
Suggested improvements
Some suggested improvements to the process include a review of Key Project Manager’s workloads to ensure they have time to spend on projects within their key project. Aligned to this issue is the need for the Key Project Managers to have experience in the disciplines that reside within their key project to ensure they understand the project content, resourcing requirements and to provide advocacy.
The complex and novel projects require stronger links and greater time on behalf of the Key Project Manager. This should be reflected in the resourcing of both the project team and the Key Project Manager, thinking about this.
4. Conclusions and Recommendations
Governments around the world are being asked to resolve more and more complex social issues (Petris 2005). This trend is evident in the Victorian public sector and the Department of Primary Industries (Schelekens 2006, Patterson-Majoor 2006). Rural Victoria is also undergoing significant change and significant social issues are emerging (Barr 2005). Research into social capital, network theory and public sector policy for ORL 5.1 indicates that a new approach to governance is required (Gooey 2005, Gooey and Howden 2005, Petris 2005). ‘Network governance’ is the model that is emerging (worldwide) as an important new way of doing the business of government, and it requires that public managers learn new strategic tools and approaches.
The ORL 5.1 project has developed, tested, built capacity and embedded within DPI approaches consistent with the principles of network governance, namely –
- Strategic planning and positioning
- Network management (Hulme 2006, Howden 2007)
- Implementation of policy outcomes (Johnson 2007)
- Organisational Relationships (Kaine and Keeble 2007)
- Trust (Higson 2007), and
- Capacity Building (Medhurst and Johnson 2007)
These approaches have been proven to be important to resolving the issues DPI faces in the complex and contested environment in which DPI operates and to the challenges it faces in linking policy and practice.
To that end, we recommend that resources be directed to ongoing research, evaluation and support in the following areas to keep the strategic and intellectual lead that DPI has developed through ORL 5.1
- Resources should be allocated to update the 'Understanding Rural Victoria' report using the census data released in June 2007.
- Stakeholder assessment processes should be updated to include a more thorough investigation of the network governance environment, as outlined in the ‘Network Management Workbook' (Hulme 2005).
- Investment should be allocated to build the capacity of staff operating in complex networks, building on the 'Network Management Workbook' (Hulme 2005) and the network manager’s guide 'So… you think you can manage in a Complex Network?' (Howden 2007)
- DPI should continue to resource the strategic positioning and capacity building initiative run by the Strategic Policy Unit.
- Capacity building in the use of the ‘Outcomes Framework' (Johnson 2007) should be targeted at the individual and organisational level in DPI using the approach outlined in the 'Capacity Building for Outcomes’ Framework (Medhurst & Johnson 2007).
- Providers in DPI need to consider the implications of moving to the delivery of outcomes and resource the changes to the principles that will underpin decisions at both an organisational level and a program level, as well as the additional skill development required.
5. Appendices
All output reports and the evaluation material listed below are provided in a separate folder.
5.1 List of papers and reports
Deliverable 1
- The Changing Social Landscape of Rural Victoria (8 files)
- The Changing Social Landscape of Rural Victoria – Forum Paper
Deliverable 2
- Making sense of recent developments in public sector governance
- Saving the Babbler: a regional case of policy implementation
- The relevance of social and human capital to public policy development and delivery
- Developing Policy in DPI - A history of the development of five policy initiatives
- Social Capital, Weak Ties and the Problem of Trust – Acting in Complex Networks for Public Policy Outcomes (Journal paper)
- Understanding Rural Victoria: An Australian example of new partnerships for public policy (Conference paper)
- A network management framework: strategies and tactics for managing in contested and complex policy environments
- Operating in practice and policy networks: The DPI perspective
Deliverable 3
- Linking Policy to Practice to Achieve Outcomes
- Interim evaluation report on Outcomes Framework
- Network Management Workbook
- NMW Rapid Assessment Tool
- External and internal stakeholder perceptions of CRM role
- Navigating Complex Networks – A report on interviews with Network Managers.
- Understanding and operating in complex networks: a focus on the role of the networker
- Institutions in network design
- So…you think you can manage in a Complex Network (a guide for Network Managers)
- Outcomes That Matter (final report on the Outcomes Framework)
- Organisational relationships and the implementation of natural resource policy
- Translating trust into action: predicting organisational behaviour in complex environments
- Capacity Building for Outcomes
5.2 Communication and Evaluation
Deliverable 1
|
|
Title |
Author/s |
Format |
Date |
|
1.1 |
Understanding Rural Victoria - Briefing Document |
Neil Barr |
Briefing Document |
July 2004 |
|
1.2 |
Understanding Rural Victoria - Completed Document |
Neil Barr |
Paper |
March 2005 |
|
1.3 |
Understanding Rural Victoria – Accessible training products |
Neil Barr |
ORL Website www.dpi.vic.gov.au/urv |
Last updated September 2005 |
|
1.4 |
Understanding Rural Victoria – Forum: Re-thinking how Government works in rural Victoria |
Neil Barr |
Summary paper, Powerpoint presentations and invitee list. |
19 April 2005 |
|
1.5 |
Understanding Rural Victoria – Peer reviewed |
Neil Barr |
Completed and incorporated into final document |
August 2005 |
|
1.6 |
Deployment of communication strategy for Deliverable 1 |
No formal reporting required |
Complete |
|
|
Other |
|
|||
|
1a |
Understanding Rural Victoria: An Australian example of new partnerships for public policy. Paper submitted to the 67th Annual Meeting of the Rural Sociological Society, Sacramento, California, USA. |
Mike Gooey |
Paper |
August 2004 |
|
1b |
Our Rural Landscape Matters – Presentation to Reference Group |
Neil Barr |
Powerpoint Presentation |
27 August 2004 |
|
1c |
A new folk invasion |
Michael Bachelard |
Newspaper article – Australian |
30 November 2005 |
|
1d |
Family farms feel the price squeeze |
Matilda Abey |
Newspaper article – Stock and Land |
6 April 2006 |
|
1e |
The Changing Social Landscape of Rural Victoria |
Neil Barr |
Booklet |
April 2005 |
|
1f |
Changing social landscapes – why, what and where? |
Neil Barr |
Webpage |
April 2006 |
Deliverable 2
|
2.1 |
Making Sense of Recent Development in Public Sector Governance |
Stephen Petris |
Paper |
July 2004 |
|
2.2 |
The relevance of social and human capital to public policy development and delivery |
Mike Gooey |
Paper |
June 2004 |
|
2.3 |
A network management framework: |
Mike Gooey |
Report |
2005 |
|
2.4 |
Project Forum: Re-thinking how Government works in rural Victoria |
Stephen Petris, Peter Howden and Mike Gooey |
Papers and Powerpoint presentations. |
19 April 2005 |
|
2.5 |
Developing Policy in DPI: A history of the development of five policy initiatives |
Melissa Schellekens |
Report |
June 2005 |
|
2.6 |
Applying and testing the network management framework – initial observations. |
Mike Gooey |
Report |
October 2005 |
|
2.7 |
Final Report for Deliverable 2: Strategies and tactics for managing in contested and complex policy environments |
Alana Hulme and Krista Patterson-Majoor |
Report |
December 2005 |
|
2.8 |
Operating in practice and policy networks: A DPI perspective |
Alana Hulme |
Report |
March 2006 |
|
Other |
|
|||
|
2a |
Presentation – Delivering Government Services to private land managers |
Mike Gooey |
Powerpoint Presentation |
May 2004 |
|
2b |
Presentation to Reference Group |
Stephen Petris |
Powerpoint Presentation |
27 August 2004 |
|
2c |
|
|
|
|
Deliverable 3
|
3.1 |
Science Product Development Framework Report |
Fiona Johnson, Chris Linehan, Jo Vigliaturo, David Beckingsale |
Report |
June 2004 |
|
3.2 |
Training module 1 – Product development |
No formal reporting required |
Complete |
|
|
3.3 |
Interim Evaluation report |
Fiona Johnson |
Report |
October 2005 |
|
3.4 |
Selection of 3 practice cases for refinement of the outcomes framework. |
No formal reporting required |
Complete |
|
|
3.5 |
Report on Phase One of the utilisation of the outcomes framework. |
Fiona Johnson |
Verbal report |
December 2005 |
|
3.6 |
Reports on interim research findings of the implementation of the outcomes framework and management of complex network strategies.
|
Fiona Johnson |
|
June 2006 |
|
3.7 |
Report on capacity building program |
|
|
July 2006 |
|
3.8 |
Forum with senior DPI staff to demonstrate the value and uses of the outcomes and network findings |
|
|
September 2006 |
|
3.9 |
External and internal stakeholder perceptions of CRM role |
|
|
November 2006 |
|
3.10 |
Report on the feasibility of public sector network training unit and network cases |
|
|
December 2006 |
|
3.11 |
Report on evaluation of Phase two of the utilisation of the outcomes framework |
|
|
February 2007 |
|
3.12 |
Report on adaptive network and institutional strategies |
|
|
March 2007 |
|
3.13 |
Final project report |
|
|
May 2007 |
|
Other |
|
|||
|
3a |
Presentation to Warren Straw |
Fiona Johnson |
Powerpoint Presentation |
16 August 2004 |
|
3b |
Presentation to Evaluation Team |
Fiona Johnson |
Powerpoint Presentation |
26 August 2004 |
|
3c |
Presentation to Reference Group |
Fiona Johnson |
Powerpoint Presentation |
27 August 2004 |
|
3d |
Project Forum: Re-thinking how Government works in rural Victoria |
Fiona Johnson, Chris Linehan and Geoff Kaine |
Paper and Powerpoint presentation. |
19 April 2005 |
Other
|
4a |
Impact Stories |
ORL 5 Team |
Collection |
Ongoing |
|
4b |
Reference Group Presentation |
ORL 5 Team |
Powerpoint Presentation |
15 June 2004 |
|
4c |
Terms of Reference |
ORL 5 Team |
Document |
April 2005 |
|
4d |
Understanding Rural Victoria – Forum: Re-thinking how Government works in rural Victoria |
ORL 5 Team |
Secretary’s Powerpoint presentations and invitee list. |
19 April 2005 |
|
4e |
ORL Review |
ORL 5 Team |
Powerpoint Presentation |
26 April 2005 |
|
4f |
ORL Expo |
Fiona Johnson and Neil Barr |
Powerpoint Presentations |
28 April 2005 |
Project Reporting
|
5a |
Quarterly Report December 2003 |
ORL 5 Team |
Report |
December 2003 |
|
5b |
Quarterly Report April 2004 |
ORL 5 Team |
Report |
April 2004 |
|
5c |
Quarterly Report July 2004 |
ORL 5 Team |
Report |
July 2004 |
|
5d |
Quarterly Report October 2004 |
ORL 5 Team |
Report |
October 2004 |
|
5e |
Quarterly Report January 2005 |
ORL 5 Team |
Report |
January 2005 |
|
5f |
Quarterly Report April 2005 |
ORL 5 Team |
Report |
April 2005 |
|
5g |
Quarterly Report July 2005 |
ORL 5 Team |
Report |
July 2005 |
|
5h |
Quarterly Report October 2005 |
ORL 5 Team |
Report |
October 2005 |
|
5I |
Quarterly Report January 2006 |
ORL 5 Team |
Report |
January 2006 |
|
5j |
Quarterly Report April 2006 |
ORL 5 Team |
Report |
April 2006 |
|
5k |
Quarterly Report July 2006 |
ORL 5 Team |
Report |
July 2006 |
|
5l |
Quarterly Report October 2006 |
ORL 5 Team |
Report |
October 2006 |
|
5m |
Quarterly Report January 2007 |
|
|
|
|
5n |
Quarterly Report April 2007 |
|
|
|
5.3 Financial Reports
| Fund source | Budget 03/04 | Exp yr 1 |
Budget yr 2 | Exp yr 2 |
Budget yr 3 | Exp yr 3 |
Budget yr 4 | Exp yr 4 |
|---|---|---|---|---|---|---|---|---|
| 001 | ||||||||
| 034 | 500 K | 500K | 502K | 502K | 531K | 529K | 64K | 564K |
| other | ||||||||
| Total |
