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Better practice and evaluation

Commission wins United Nations award for the State of the Service report
The Commission has been internationally recognised for its outstanding contribution to improving public administration. On 26 June 2007, the Commissioner was presented with a UN Public Service Award (UNPSA) in the category of ‘Improving transparency, accountability and responsiveness in the Public Service’ for the State of the Service report. The Awards ceremony, which took place as part of the 7th Global Forum on Reinventing Government, received considerable attention in the international press and the State of the Service report will be highlighted as a case study in a publication containing information about the 2007 UNSPA Winners to share with other government officials and experts from around the world interested in innovative solutions to governance challenges.

The UN highlighted that our ‘outstanding achievement has demonstrated excellence in serving the public interest’ and ‘should be an inspiration and encouragement for others working for the public service’.

Although the award represents a significant achievement for the Commission, it is also a tribute to the APS and its leaders. Each State of the Service report relies on the willingness of public servants across the country and the cooperation of agencies in responding honestly to our surveys. The Commission is grateful for all the support it receives across the APS.

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Part 3: Management and accountability

Research and evaluation

The Commission undertakes research and evaluation that contributes to a sustainable, contemporary and vital APS. The Commission pursues its research and evaluation role through:

statistical assessment of APS performance
comprehensive annual surveys of APS operations and employee attitudes
public administration research both Australian and international
producing speeches and presentations for the Commission’s Executive.

Each of these activities enable the Commission to assess the capacity of the broader APS and its employees to meet Government objectives, address future challenges and to develop guidance and recommendations for change. In addition, our research and evaluation work better equips us to learn from and benchmark our performance against that of overseas public sector jurisdictions.

In 2006–07, the Commission’s research and evaluation programme was particularly focused on supporting the Commission priority of generating active dialogue on and a supportive environment for, the next stages of public sector reform and performance improvement.

Table 20: Performance information: output 3.4—research and evaluation
Target	Result
Quantity
1. Undertake research into and advise on public administration.	Achieved. A range of speeches, presentations and papers encompassing contemporary public administration issues were prepared and research undertaken on public administration issues facing other jurisdictions for the State of the Service report and the Executive. Preparation of a range of papers on contemporary governance challenges has also commenced.
2. Evaluate and provide information on the performance of the APS through the State of the Service report (including the Workplace Diversity Report) and other publications—one State of the Service Report (including the Workplace Diversity Report).	Achieved. Produced the State of the Service Report 2005–06 (including the Workplace Diversity Report), the State of the Service Employee Survey Results 2005–06, the State of the Service 2005–06: At a Glance publications and 29 agency-specific employee survey reports.
3. At least one new evaluation and ‘good practice’ guide aimed at improving the performance of APS departments and agencies.	Achieved. Two evaluations were finalised and the findings reported in the State of the Service Report 2005–06. The first dealt with agencies’ written remuneration policies and the second assessed the use and effectiveness of identified positions and special measures for the employment of Aboriginal and Torres Strait Islander people in the APS. A third evaluation was undertaken of agencies’ approaches to recruitment, development and retention of people with disability in the APS, in 2006–07. A good practice toolkit for APS agencies (Ability at Work) was released in June 2007. Handling Misconduct, a good practice guide based on an evaluation of the importance of Code of Conduct procedures reported in previous annual reports was released in February 2007.
4. Secretariat and research support services provided to the Management Advisory Committee (MAC) and MAC Deputy Secretaries Groups which are responsible for overseeing particular MAC projects; and operational support to the Commissioner as the Executive Officer of the MAC—estimate 2 MAC meetings 8 Deputy Secretaries Group meetings and 2 projects to be supported.	Achieved. The Commission provided support for three MAC meetings throughout 2006–07 and five Deputy Secretaries Group meetings for the recordkeeping report. The sixth MAC report, Employment of People with Disability in the APS was launched in August 2006. The seventh MAC report, Reducing Red Tape in the Australian Public Service was launched in February 2007. The eighth MAC report Note for File: A Report on Recordkeeping in the Australian Public Service was launched on 31 August 2007.

Quality
1. High level of client use of research outputs.	Achieved. Speeches, presentations and papers prepared met all relevant requirements.
2. High level of client use of the State of the Service report.	Achieved. Positive feedback on the usefulness of State of the Service 2005–06 publications was received from a wide range of APS agencies and employees. Commission staff were contacted by human resource management staff who were drawing on their agency-specific reports to brief senior managers on a range of issues. High uptake of the report, with just over 4250 hard copy reports distributed. Presentations promoting the report by the Commissioner, the Deputy Commissioner and Evaluation Group staff were attended by over 500 APS staff in all mainland states and territories. Public administration conference publications and discussions indicate increasing academic reliance on State of the Service publications. The Commission received a UN Public Service Award for the State of the Service report in the category of ‘Improving transparency, accountability and responsiveness in the Public Service’, which was based in part on an assessment of the impact of the report within Australia and internationally.
3. 100% compliance with tabling requirements.	Achieved. The State of the Service Report 2005–06 complied with Government tabling requirements. Reports, which were produced to a high standard of accuracy, relied on the latest relevant data and international and Australian research material on public administration.
4. High level of satisfaction of agencies directly involved in the evaluation and a high level of client use of good practice guides.	Achieved. Positive feedback was received from the Deputy Secretaries Indigenous Employment Strategy Steering Committee Group in relation to the evaluation of identified positions. Agencies involved with the evaluation of agency approaches to recruitment, development and retention of people with disability in the APS were satisfied with their involvement in the evaluation. Positive feedback from APS and non-APS agencies has been received on the good practice toolkit Ability at Work. Informal feedback on the Handling Misconduct good practice guide has been positive.
5. A high level of satisfaction of the MAC and its Deputy Secretaries Groups with the relevance, quality and timeliness of advice and support provided.	Achieved. MAC members have committed to the eight objectives of Employment of People with Disability in the APS.MAC and its Deputy Secretaries Groups have indicated satisfaction with the support provided by the Commission.


Estimated price: $2.098 million	Actual price: $2.078 million

Research and advice on public administration

Research into public administration developments within the Australian Government, in Australia’s state and territory jurisdictions and overseas enables us to better position the APS to respond to its key challenges and contribute to improved APS performance. The results of the Commission’s research and evaluation programme are promoted widely through our publications, speeches, presentations and learning and development programmes to generate an active dialogue on and a supportive environment for, the next stages of public sector reform and performance improvement.

Evaluate and provide information on APS performance through the State of the Service report and APS Statistical Bulletin

The performance of the APS is evaluated through the Commissioner’s State of the Service report to Parliament and through more specific issues-based research and evaluation projects. Since 2003, the State of the Service report has included the Workplace Diversity Report.

Under section 44(2) of the Public Service Act 1999 (the Act), the Public Service Commissioner is required to report annually on the state of the APS. Although the Act does not specify the issues to be covered in the report, the Commissioner’s approach has been to focus on contemporary issues confronting the APS while maintaining her evaluation of the extent to which agencies incorporate and uphold the APS Values (in line with section 41(1)(a) of the Act). The Commissioner is required to table the report in Parliament by 30 November each year.
Following the success of the broader scope of the previous year’s report, the State of the Service Report 2005–06 was restructured around three key themes to ensure it maintained relevance and currency for a modern APS:

employee engagement, that is, the extent to which agencies’ policies and practices encourage employees to actively engage with their work and the organisation by examining issues such as integrity, fairness, diversity, leadership, learning and development
organisational effectiveness, including organisational capability, effective governance processes and whole-of-government capability
the effectiveness of the APS in working with the community.

The Commission drew upon diverse and complementary data sources to develop the State of the Service Report 2005–06. These sources included the Commission’s own research and databases (particularly APSED), published and unpublished material from other agencies, Parliamentary Committee and Australian National Audit Office (ANAO) reports and, where available, comparable data from other Australian jurisdictions.

The Commission also conducted two surveys that contributed to the report. The agency survey provided information on a large range of management and capability issues in agencies with 20 or more APS employees. For the fourth consecutive year the agency survey was conducted online and we achieved a 100 per cent response rate from the 84 agencies in scope.
The second survey, sent to over 6,500 randomly selected APS employees, provided data on employee attitudes to and understanding of, a range of issues including the APS Values, Code of Conduct, merit, work / life balance, job satisfaction, whole-of-government, working with external stakeholders, diversity, individual performance management, bullying and harassment. The 2006 employee survey had a high response rate for a voluntary survey of 64 per cent—up from a 59 per cent response rate in 2005.

Employee survey data was also used to produce agency-specific reports for large agencies (i.e. those with over 1000 APS employees) and medium sized portfolio departments which summarised their own employee responses and compared those results to the APS-wide results. Differences that were statistically valid were marked appropriately. Small and medium sized agencies were provided with a benchmark summary of all small or medium sized agencies respectively. The Commission has received positive feedback from agencies about the value of these reports in assisting them to improve their performance. Coverage of these agency-specific reports will be extended in 2007 to encompass all agencies with at least 400 employees (which together comprise over 95 per cent of APS employment).

The Commission also produced two associated publications: the State of the Service: employee survey results 2005–06 booklet, which provided the results of the employee survey in a collated, aggregate form and the State of the Service: 2005–06 at a glance pamphlet, which provided a succinct summary of findings and was widely disseminated to encourage debate and discussion of key findings. The online version of the State of the Service report was improved this year, with all graphs being presented in a format more accessible to visually impaired users.

State of the Service report outlines key challenges

In keeping with the high quality and future focus of the State of the Service report, the 2005–06 report outlined five challenges for the APS as a whole:

1. Developing capability in the senior leadership group.
Agencies need to ensure that they have senior leadership of the highest quality. Depending on the depth and breadth of experience of their SES, different agencies need to take different approaches to developing their SES. SES employees also need to invest in themselves and plan their careers carefully so they are able to contribute to the maximum extent possible.

2. Supporting and developing EL employees: the middle-management and SES feeder group.
Agencies need to ensure they have sufficient capability among their middle-management EL cadre, especially in the areas of strategic thinking and people management. Agencies also need to identify and develop high potential EL employees, who are capable of fulfilling senior leadership roles into the future.

3. Positioning the APS as an employer of choice.
The APS must compete effectively for a diverse and sophisticated workforce under tight labour market conditions. To do this, agencies need to market themselves as an employer of choice to a wide range of people and continue to draw on the full diversity of the workforce. There are continuing challenges in the employment of Indigenous Australians and people with disability.

4. Achieving excellence in governance.
Effective governance goes beyond agency driven accountabilities, frameworks and systems and requires employees to be thoughtful and helpful, as well as active and critical participants in the governance of their agency. There is a need for further work to deliver a governance model that deals effectively with the challenges of a modern APS and alerts executive management to potential problems before they develop into systemic problems.

5. Building our organisational capacity to address the challenges of the future.
It is time for the debate around future public service directions and the capacity for the APS to deal with new directions, to regain momentum. To deal with emerging challenges, the APS will need to continue to examine ways of working in a whole-of-government way, along with strengthening relations with external stakeholders and the community. The APS will need to ensure it has both leaders and employees with the necessary capability and supportive and flexible governance structures to facilitate reform.

Lynelle Briggs, Public Service Commissioner and State of the Service report drafters after the launch

In order to maintain the relevance of the State of the Service report within the ever-changing and challenging environment faced by the APS, planning the focus and direction of the 2006–07 report began in January 2007. As part of the preparatory work the employee and agency surveys were reviewed to ensure that both instruments appropriately captured the issues to be covered in the 2006–07 report. Particular focus was given to employee engagement, issues of attraction and retention, capability and performance improvement.

Reflecting the projected focus of the 2006–07 report, new questions were added to assess employees’ experiences of recruitment processes, drivers of attraction and retention and ways to improve the efficiency and effectiveness of the APS and whole-of-government work. The 2007 employee survey was in the field from 14 May–8 June 2007 and achieved a response rate of 64 per cent.

Consistent with the approach taken in the previous year, in developing the 2007 agency survey the Commission focused on minimising respondent burden for APS agencies. Pilot testing confirmed that the complexity of the survey has been minimised. The agency survey includes new questions on attraction and retention, agency governance, whole-of-government and workplace absence (unscheduled leave). It was sent online to agencies on 6 June for completion and return by 18 July 2007.

Undertake research and analysis

During 2006–07, the Commission estimated that it would undertake at least one new evaluation and good practice guide aimed at improving the performance of APS departments and agencies.

Undertake specific-issue evaluations

The Commission conducts research and undertakes evaluations that support the Commissioner in promoting the APS Values and Code of Conduct and contribute to a sustainable, contemporary and dynamic APS. In 2006–07, the Commission focused on finalising a number of projects arising out of earlier evaluation programmes.

Handling misconduct

A good practice guide drawing on the findings of an evaluation of agency management of suspected breaches of the Code of Conduct, reported in previous annual reports was released in February 2007. The guide, Handling misconduct: a human resources practitioner’s guide to the reporting and handling of suspected and determined breaches of the APS code of conduct (and the Summary guide), were released electronically on the Commission’s website. The guide provides advice to agency HR practitioners responsible for developing agency procedures as well as other guidance material. It is supplemented by a short summary guide directed at all employees that is available in hard copy or electronically. Feedback to date from APS agencies on Handling misconduct has been very positive.

Remuneration policies

The findings of an evaluation of APS agencies’ remuneration policies were reported in the State of the Service Report 2005–06. The evaluation found that transparency in the application of individualised pay systems was paramount in gaining employee acceptance and that a written remuneration policy was critical in gaining this support. The evaluation identified several benefits of long-term strategic planning in the area of remuneration policy, but also found that a likely inhibitor on the development of agencies’ remuneration policies was that for many agencies, long-term, strategic corporate objectives remained unclear.

Identified positions

In 2006, the Commission also conducted a desk-based evaluation, drawing on a range of existing data sources, which examined the use and effectiveness of identified positions and special measures for the employment of Indigenous Australians. The evaluation, the findings of which were reported in the State of the Service Report 2005–06, concluded that the use of identified positions and special measures is associated with higher levels of Indigenous representation and retention in agencies, but is not associated with increased levels of career progression for Indigenous employees. It is difficult to determine the extent to which this is a direct result of the strategies, or whether it reflects more broadly on the nature of work performed in these agencies. The findings are also being considered in consultation with agencies as part of the Commission’s APS employment and capability strategy for Aboriginal and Torres Strait Islander employees.

Ability at work

Following the release of the MAC report, Employment of people with disability in the APS in August 2006, the Commission conducted an evaluation of agencies’ approaches to identifying and implementing strategies designed to improve the recruitment, development and retention of people with disability in the APS. The evaluation drew from practices in six APS agencies, but also involved wide consultation with managers, employees with disability and disability support services.

The major findings of the evaluation were:

the important role of supportive leadership and workplace cultures
a lack of specific policies within organisations targeted at the employment of people with disability
low levels of awareness about employment-related disability issues
low levels of awareness concerning available support, the role of diversity support providers and how they can be accessed
concerns about advertising and selection processes and the need for better understanding of the application of the merit principle, reasonable adjustment and the inherent duties of the job
the identification of opportunities to revisit the design and to explore recreating some jobs at lower classifications that may be suitable for some people with disability.

The results of the evaluation were used to identify elements of good practice among agencies and more broadly, in formulating approaches to recruiting and managing people with a disability, which led to the development of a good practice toolkit for APS agencies. This toolkit, Ability at work: Tapping the talent of people with disability, was launched by the Commission in June 2007.

The toolkit has been circulated widely within the APS and is also available on the Commission’s website: http://www.apsc.gov.au/abilityatwork/. Braille versions of the toolkit are also available from the Commission.

Changing behaviour

The Commission commenced an evaluation of the effectiveness of selected agencies’ approaches to engaging with Australian citizens to promote behavioural change. The results of this evaluation will be reported in the State of the Service Report 2006–07 and inform discussion papers on behavioural change strategies and ‘wicked problems’ (see below). Case studies from the evaluation will be incorporated into the Commission’s leadership development programmes.

Other research projects

The Commission undertook a number of additional research projects focusing on service challenges. This work will provide a foundation for the Commission’s 2007–08 strategic priorities of stimulating debate about future directions for the public sector and improving the capability and performance of the APS.

Agency Health

In 2006–07, the Commission commenced a research project, initially through the auspices of the Public Service Commissioners’ Conference, to identify the key corporate health indicators of high performing agencies and those at risk of poor performance. A paper highlighting the results of the project will be released in the first half of 2007–08. It will be the first in a series of papers that address ‘Contemporary Government Challenges’.

Wicked problems and behavioural change

The Commission also commenced work on two discussion papers designed to stimulate debate around two public sector challenges—solving ‘wicked’ or complex and intractable problems and securing behavioural change. These papers are due to be completed in the first half of 2007–08.

Management Advisory Committee

The Commission continued to provide a range of secretariat and research services to MAC. The committee was established under section 64 of the Act and is chaired by the Secretary of the Department of the Prime Minister and Cabinet, with the Public Service Commissioner as executive officer. The committee met in November 2006, March 2007 and May 2007.

The committee currently has 25 members, including all portfolio Secretaries and the heads of the Australian Bureau of Statistics, the Australian Customs Service, the Australian Taxation Office, Centrelink and the Office of Indigenous Policy Coordination, based in the Department of Families, Community Services and Indigenous Affairs. The Auditor-General is invited as an observer.

Since it first met in 2000, MAC has been responsible for advising the Government on matters relating to the management of the APS. While it has no statutory powers or executive functions, the committee provides a forum for members to discuss significant issues of topical and strategic interest to the APS.

In 2006–07, the committee has focused its efforts on:

continuing to implement the recommendations of MAC’s fifth report, Managing and sustaining the APS workforce
launching the sixth MAC report, Employment of people with disability in the APS
preparing and launching the seventh MAC report, Reducing red tape in the APS
preparing the eighth MAC report, Note for file: a report on record keeping in the APS.

Employment of people with disability in the APS

Over the past decade, although the data is incomplete, there has been a consistent decline in the employment of people reporting disability as a proportion of APS employees. In July 2005, MAC agreed to undertake a project that would address the employment of people with disability in the APS. The report was launched in August 2006.

Employment of people with disability in the APS examines the factors affecting the recruitment and retention of people with disability in the APS. Through this report, all MAC members have committed their agencies to eight objectives for promoting the employment of people with disability in the APS and identified a range of better practice strategies for meeting those objectives which agencies will consider implementing on a case-by-case basis. The objectives focus on cultural change; recruitment and training; special employment measures for people with intellectual disability; the provision of accessible and supportive work environments; support for managers of people with disability; the use of consistent definitions across the APS; and mechanisms for monitoring the employment of people with disability.

Reducing red tape in the Australian Public Service

In March 2006, MAC agreed to the formation of a Deputy Secretaries’ Group to oversee a project team located in the Department of Finance and Administration that would focus on reducing red tape in the APS. The report was intended to complement the Government’s response to the Productivity Commission inquiry, Rethinking regulation: report of the taskforce on reducing regulatory burdens on business (January 2006), which considered the burden of red tape on business.

The report was launched in February 2007. Reducing red tape in the APS sets out a principles-based framework for the review of existing requirements and for the scrutiny of proposals for new requirements, with a view to reducing red tape in the APS.

MAC Reducing red tape in the Australian Public Servicelaunch: Lynelle Briggs, Public Service Commissioner, with keynote speakers, Dr Peter Shergold and Dr Ian Watt

Recordkeeping in the APS

In March 2006, MAC agreed to examine the issue of recordkeeping in the APS. The project, which commenced in August 2006, is focusing on articulating the purpose and business case for recordkeeping, identifying any impediments in the APS context and explaining how recordkeeping interacts with obligations in relation to information collection, use and disclosure. It is also examining how agencies can achieve efficient and effective recordkeeping in the current context (including in relation to electronic communication). The report Note for file: a report on recordkeeping in the Australian Public Service was released in August 2007.

Managing and sustaining the APS workforce

The Managing and sustaining the APS workforce report was released in 2005 by MAC. The report addresses the challenges facing the APS in attracting and retaining skilled and talented staff in a changing employment environment. All agencies are responsible for implementing the general action items arising from Managing and sustaining the APS workforce and its findings have been actively promoted throughout the APS. Key agencies, including the Commission, are also charged with leading specific initiatives (see outputs 1.2—employment services, 2.2—programme delivery and 3.2—promoting better practice for work undertaken in 2006–07).

At its meeting on 23 November 2006, MAC considered a consolidated progress report on the implementation of actions items from Managing and sustaining the APS workforce. Considerable progress was occurring against most actions particularly in MAC agencies. MAC agreed that the Commission would continue to report annually to MAC on the implementation of the report findings.

Public Service Commissioners’ Conference (PSCC)

The Public Service Commissioners’ Conference (PSCC) provides a cross-jurisdictional forum for Commonwealth, State and Territory public service commissioners and their New Zealand equivalent (the state services commissioner). The Commission provides secretariat and research services to the conference to support its work. It identifies and considers issues of shared topical and strategic importance which are central to improving public administration and include policy and service delivery issues. The location and chairmanship of each meeting rotates through each jurisdiction.

The conference provides a forum for commissioners to set the agenda for wider consideration of public sector change and future directions in public administration. It also creates opportunities for exchanging information and experience and progressing commissioners’ consideration of issues by:

determining the nature and extent of data and information collection
comparing and analysing performance and best practice across public sectors
establishing priorities and an ongoing work programme
identifying cross-jurisdictional projects and setting up senior officer working groups to advise and recommend to commissioners
considering research and evaluation outcomes
determining the feasibility of joint approaches to service delivery.

These collaborative activities are intended to enhance the capacity of individual Commissioners to influence and guide the development and implementation of public sector employment policies and practices within their jurisdictions.

The PSCC first met in 2000 and since 2003 has met twice each year. In 2006–07, it met in September 2006 in the Northern Territory and in Melbourne in February 2007. Major issues discussed included: current developments and options for responding to a possible influenza pandemic; harassment and/or bullying issues; the role of ministerial staff; governance and devolved government arrangements; identifying underperforming agencies; and performance agreements.