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Last updated: 9 March 2006
Please note: This document is for reference purposes only and is no longer considered by the APS Commission to be current.
Supporting Ministers, Upholding the Values
Appendix 3: Examples of good practice agency protocols
Notes:
The original formats of some examples have been modified for inclusion in this publication.
The content of the examples provided to the Australian Public Service Commission is unaltered except for the removal of specific contact details and references to agency Intranet sites or operating systems.
While the examples attributed to agencies were current prior to publication, there may have been subsequent changes or revision.
3.1 General Principles for the Preparation of High Quality Advice to Ministers—Department of Transport and Regional Services
These guidelines outline general principles for preparing high quality advice to the portfolio Ministers. They should be read as a preamble to any specific requirements in the Guidelines for Ministerial Responses that are available on [agency Intranet site] for the Processing of Ministerial Papers.
These guidelines should also be read in conjunction with the departmental standards and performance measures outlined in the Portfolio Budget Statement.
Presenting Good Advice to Ministers
Ministers and their offices are faced with information overload. Good written communications provide the maximum of useful information for the minimum investment of readers’ time and attention. Advice therefore needs to be as short as possible, consistent with adequate coverage of the issues. A general rule of two pages is applied by Ministers and would accommodate most subjects. Where additional information is considered important, it should be contained in attachments but if the extra information is essential for the decision-making process, it should be included in the minute.
The structure of advice should be such that at every stage readers can understand:
- why they need to read the material before them
- the relative priority of the material compared to other issues
- what form of response it seeks.
Briefs and other advice must be addressed to the relevant Minister, not the Ministerial advisers.
It is important to use ‘plain English’ style and to avoid jargon or unnecessary technical language wherever possible. Slang should be avoided, as it undermines the integrity of a document and can be misinterpreted. Short sentences and paragraphs, minimum use of adjectives, and precise grammar all assist the reader.
Important Principles
Be timely:
SES officers must ensure that Ministers and their staff are alerted to significant issues in a timely manner. The timing of this advice will be a question of judgement but it is better to err on the side of providing the alert.
Provide well-supported options:
Departmental advice to a Minister is effective when it presents the Minister with:
- clear decisions to make or actions to be taken
- the best available understanding of the substantive effect of those decisions or actions
- a full understanding of the range of realistic options for decision or action
- sufficient background and contextual information to provide a sound basis for the decisions or support for actions
- concise and unambiguous analysis and recommendations.
Make clear in your advice:
- how comprehensive the information is
- the basis of the judgements expressed
- the basis and weighting of recommendations between possible options
- the personal responsibility of the signing officer for the recommendations
- the implications of the advice for the Ministers’ legislative responsibilities, particularly in complex matters.
Provide relevant background information:52
The background may include any or all of:
- the relevant history and current status of the issue
- the policy, technical, legal or cost factors affecting a decision, or its implementation
- who will be affected, and in what ways
- who may implement the decision or action, and how.
Formatting the Document
Automated word processing offers individual drafters a wide array of type faces and styles. In the context of official correspondence, the selection of type face and style has only two legitimate purposes:
- maximum readability for the recipient
- image and credibility of the Ministers and Department.
Style requirements are set out in the AGPS style manual. Ministerial office style guidelines include preferences established with each Minister’s office, and these must be adhered to in correspondence for each office.
All Ministerial documents must be prepared and processed in [agency system]. Word templates are available within [agency system] for all types of documents.
Good layout and structure assist in rapid reading of documents by making the information they contain readily accessible. Useful devices include careful use of:
- ‘dot-dash’ points
- headings and indentation
- the use of vertical lists to present facts and options
- graphs and tables.
Clearance Standards
A Minister must be able to assume that, for any advice received from the Department, the information upon which it is based is authoritative, the most comprehensive available, and the judgements included are consistent with portfolio-wide priorities. It is the responsibility of the signatory to ensure that this is the case.
Where clearance responsibilities are delegated by Executive Directors, officers must be aware of their obligation to ensure drafts have received sufficient clearance both up the line (when senior perspective is required) and across Business Divisions (when there may be implications not obvious to a drafting officer).
Clearance and consultation within the Department, within the portfolio and across the Government as a whole, should be stated in the minute.
Internal Clearance
In accordance with SES Guidelines, SES officers are ultimately responsible for advice to Ministers originating from their areas. However, senior officers are at all times responsible for setting the levels of clearance required for particular subject matter in their own area, and for establishing the basis on which it is appropriate for clearance to be sought up the line.
Drafting officers are responsible for ensuring that drafts have been appropriately checked with other Business Divisions to ensure that advice is comprehensive and that all relevant considerations are brought to the attention of the clearing officer. The circular, Guidelines to Staff on Obtaining Legal Services, should always apply when including legal advice.
Financial implications must always be agreed with the Chief Financial officer before advice is sent to Ministers. You should make clear in your advice whether external agencies have been consulted about budgetary impacts.
External Coordination
Coordination with portfolio bodies, other departments and external bodies serves three purposes:
- strengthening the background information used to support the advice we provide to our own Minister
- identification and reduction of implementation difficulties that might otherwise arise
- the opportunity to influence positively the advice being put to the Government from other sources.
Some forms of coordination are formal requirements placed upon either the Department (e.g. coordination comment on Cabinet submissions, contributions to joint briefings) or the Minister (e.g. need to consult with the Minister for Finance and Administration, the Prime Minister or the Treasurer).
Where the Minister is required to formally consult, it is the responsibility of the relevant Business Division(s) to ensure that the Minister is provided with all advice necessary for the consultation. As a rule, such advice should include the outcome of prior consultation between this Department and any other department or significant stakeholder in the Minister’s consultation process.
When this Department is approached by another portfolio on a consultation basis, judgement must be exercised as to whether the subject matter warrants bringing it to the attention of the Minister.
In all clearance processes, there should be adherence to the relevant records management guidelines, which are available on [agency Intranet].
The guidelines detail the practices and procedures for the creation and maintenance of departmental records, including vital statutory instruments, in accordance with legislative requirements and best practice. Executive Directors are responsible for the effective management of records within their area, that is, the proper creation, maintenance, storage and disposal of records.
Style, Headings and Content of Minutes
The following guidelines set out a standardised format and series of possible headings for providing briefing to Ministers. They should be read in conjunction with the specific requirements of individual Ministers, which are available on [agency Intranet site]. The templates available in [agency system] also provide the requirements in relation to font, layout, signature block etc for each Minister.
The officer signing the minute is responsible for the style, structure, content and presentation of the advice. It is important to understand the purpose of the advice. If, for example, the minute seeks a decision from the Minister involving complex technical and legal aspects, it should use more of the suggested headings listed below than a simple note conveying background information on a particular matter.
Security Classification
The Department has a duty of care to ensure that sensitive or national security material is suitably notated. All papers created for the Minister should have the appropriate security classification as set out in the Quick Guide to Classifying Information, which is available on [agency Intranet site].
Cabinet-in-Confidence documents may be emailed from the Department to agencies connected to the Fedlink secure network. Alternatively they can be sent via the secure Cabinet system. The Cabinet Liaison Officer [contact details] or alternatively the Legislation Liaison Officer [contact details] can advise on the appropriate handling of Cabinet documents and access to a secure fax machine if required.
File and [agency system] Number
Inclusion of the file number in [agency system] ensures proper standards of record keeping and correspondence tracking in the Department. The [agency system] number is automatically generated when a Minute is generated. If documents need to be sent urgently to Ministers, this should be noted in [agency system] as an item delivered directly to the Minister’s office.
Address
Correct format is to address the Minister by his full Ministerial title within the portfolio, for example, Minister for Transport and Regional Services.
Subject
The subject line should contain enough information to narrow the subject down to the area at issue, for example, ‘Scoresby Freeway’ is not as useful a guide to the subject as ‘Scoresby Freeway—Funding Options’.
Action Sought
The purpose of the communication is most clearly defined in terms of ACTION SOUGHT from the recipient. For the Minister, this means ‘How I need to respond’. This should be set out in the briefest and clearest terms immediately below the SUBJECT heading. Examples of typical actions sought might be:
| ACTION SOUGHT: | That you sign the attached papers for Executive Council relating to ... Board appointments |
| ACTION SOUGHT: | That you indicate your preferred approach for the Department to consult with industry on ... |
Where there is no specific field for ACTION SOUGHT, include this information under Recommended Action.
Priority
Where appropriate, include in the ‘Black Box’ on the top right hand of the Minute, any critical date. If there is a critical date the ‘Black Box’ should indicate—DEADLINE [include date]. Where there is no critical date the ‘Black Box’ should indicate—NO DEADLINE. Do not simply use the term URGENT.
Whenever there are factors that require the Minister to give priority attention to the ACTION SOUGHT, these should be set out clearly against a heading immediately following the ACTION SOUGHT.
The priority message should indicate a genuine deadline and the consequences of failing to meet that deadline. Failure to insert a deadline where the matter is urgent runs the risk of the paper being overlooked. Examples might be:
PRIORITY/DEADLINE: Clearance of the draft submission by 1 November is needed if the legislation is to meet the timetable for Autumn Session passage.
By this stage, the Minister or his office should have all the information they need to assess the priority of the material that follows and to schedule it for attention.
Key Issues
The first sentence to follow this heading should establish the nature and scope of any issue that the Minister is asked to address in responding to the advice. Many issues may not require more than a few words to outline. In such cases you should not pad out the issues with insignificant considerations or unnecessary background. In more complex cases, more space may be needed to describe the issues properly. The more complex the issue, the more care should be taken to ensure that it is communicated as clearly and simply as possible.
This heading is not the place to canvass solutions. It should cover only such information relevant to the reason a Minister now needs to be involved in the subject. This may include identification of conflicting interests that may be affected by a Minister’s decision or action. It should also include reference to any formal powers or obligations under which the Minister would act.
Current Situation
This heading covers a concise description of the state of play on the issue. Items could include:
- reference to the most current statement of relevant Government policy
- the substance of any current representations from parties involved
- the state of any legal or administrative processes.
These items should be tightly summarised, with more detailed information available in attachments if necessary. The focus should be on the substance of the matter addressed, rather than just a simple chronology.
Legal and/or Technical Issues
Significant technical or legal issues may warrant noting under a separate heading. The source and authority of any views included should be made clear. Treatment in the main body of the advice should be limited to conveying such implications as the Minister must understand in order to take the relevant decisions or actions. Once these are outlined, detailed discussion should be set out in attachments. Where the Department’s line of advice to the Minister differs from other opinions quoted, the reasons and authority for taking a different view must be made clear.
Options
Where there is a range of possible options for action, each should be presented with care to ensure that the implications are fully explained.
Options not favoured by the Department should still be presented objectively, particularly if they are being pursued by other parties to the issue. If detailed discussion of complex options is needed, this can be in attachments. The main text should present only the key aspects of each option.
If the range of possible options is very wide, judgement should be exercised in presenting a view of the options that is representative, but does not attempt to include minor variations.
If you cannot reduce the range of options to a maximum of three, this may indicate that there are threshold issues that should be resolved before final action options are proposed to the Minister. In these cases, it may be more effective to advise, and seek decisions, on individual components of the issue at different stages, rather than presenting the Minister with an inordinately complex web of considerations and options in a single paper.
The treatment of each option should summarise clearly any implications concerning:
- relationship to current policy and practice
- effects on interested parties
- process issues, for example,
- is legislation needed?
- is formal consultation required?
- can parties appeal against the decision?
- budgetary effect
- precedents or constraints on future options or actions.
Conclusion
This heading should be used in preference to ‘Summary’ (which tends to invite repetition). The text under CONCLUSION should briefly and clearly set out the arguments leading to the recommended course of action.
Recommendations and/or Recommended Action
Active briefs should contain a thoughtful and self-contained recommendation after analysis of all information.
The recommendations should be consistent with the ACTION SOUGHT where this information is included, as amplified by the OPTIONS and CONCLUSION sections.
Wording of recommendations for Minister’s action should clearly describe specific actions, so that there is no ambiguity as to what the Minister’s signature to the advice means. Recommendations should not rely on other parts of the minute to make sense, that is, they must be self-contained.
A recommendation ‘That you note the above’ is pointless and should not be used. Similarly, formulations such as ‘that you agree to the strategy outlined above’ are to be avoided.
When in doubt, it is better to inform the Ministers than to refrain.
Contact Officer
The relevant SES officer for the advice takes full responsibility for all content, but may nominate a contact officer (below the signature to the advice) if the Minister (or office) wants to follow up on matters of detail held by the contact officer. A nominated contact officer must be competent and available to advise the Minister directly on any matter covered in the advice, unless the nomination specifies a particular field of competence
(e.g. legal or technical issues).
Action Block
At the end of each minute, there should be a provision for the Minister to acknowledge action on the recommendations. In general terms, this should signal:
APPROVED/NOT APPROVED
AGREED/NOT AGREED/NOTED
SIGNED/NOT SIGNED.
3.2 Minutes to the Minister—The Essentials—Department of Health and Ageing
Minutes to the Minister See also The Essentials on the Intranet.
What is a Minute?
A minute to the Minister is a document initiated in an action area:
- to inform a Minister about an issue, situation or event
- to seek a Minister’s approval of a proposal, and/or
- to seek a Minister’s signature on correspondence initiated within the portfolio.
Critical date
The critical date must be a calendar date and should allow the Minister not less than five working days to consider the minute. If a critical date is five working days or less, a member of the Executive must give a waiver. Refer to The Essentials on the Intranet for an example on working out the ‘five-day rule’.
If a critical date is given, a reason must be stated.
Correct example: ‘To enable gazettal for an implementation date of 30 June 2004’.
Wrong: ‘Urgent’ or ‘ASAP’ are not acceptable.
Timing and urgency
Remember that Ministers are not always available, are always busy and their priority may not be yours. Allowing sufficient time for consideration will be appreciated.
If the timing is less than five working days, you must provide advice about the minute’s urgency to the Minister’s DLO and the relevant adviser and also notify the minutes officer of the person who has been advised.
Templates
- On the Windows Taskbar, select the templates icon, choose Parliamentary and select Minute to the Minister/Parliamentary Secretary. It will prompt you for information needed.
- The Essentials on the Intranet site has an example of a completed minute to the Minister.
Length
Keep minutes as short as possible, but
- provide enough information for the Minister to fully consider the issue
- provide as attachments (flagged for reference) all documents mentioned in the text, including previous minutes.
Recommendations
Clearly state each action that the Minister needs to take.
- Begin ‘that you NOTE’, ‘that you SIGN’, ‘that you APPROVE’.
- Continue with point format R1, R2, R3.
- Mention all media releases, letters and other attached documents requiring approval and/or signature.
Clearance
Minimum clearance level for minutes is Division Head and/or State Manager, but minutes referring to sensitive or contentious issues may require higher clearance levels. Minutes for [Minister] may be cleared at Assistant Secretary and/or State
Program Manager level. Some divisions may have an alternative clearing arrangement. Check with your business management unit.
- Minutes must be signed by the person whose details appear as the clearance officer.
- Consult Portfolio Strategies Division before finalising any minute involving changes to agreed current year outlays or forward estimates of administered or departmental funds.
- All Budget-in-Confidence minutes must be cleared and co-signed by the First Assistant Secretary, Portfolio Strategies Division or the Assistant Secretary, Budgets before being delivered to Parliamentary Section.
- Media releases must be cleared through public affairs officers.
Outcomes
It is mandatory to enter an outcome from the list on the second screen of the template.
Completed minutes
Deliver the correct number of copies of the minute and its attachments to the minutes officer, [address].
Copies
| Minister [name] ccs required | Original + 7 copies + 6 copies of first page of minute |
| Minister [name] Always cc to [name] | Original + 6 copies |
| Minister [name] Always cc to [name] | Original + 5 copies |
Minute Numbers
The minutes officer will allocate a minute number. Minutes that go to Ministers’ offices without numbers may be returned unread.
To obtain a minute number urgently, call the minutes officer and advise about the urgency of the minute. Fax the minute to [number]. Note that even if a copy has been faxed, the correct number of copies are still to be provided to the minutes officer.
Attachments
- Attach a ‘Sign or initial here’ flag at each place a signature or initial is required.
- All attachments on the original minute must be fl agged.
- Attachments must be referred to in the text of the minute, and listed at the end of the minute.
- Previous minutes must also be attached if referred to in the minute.
If there is a letter attached to the minute that is to be signed by the Minister or Parliamentary Secretary, it should be created as a separate Word document using the appropriate template. Parliamentary Section will check formatting etc before forwarding to the Minister’s office.
- Do not create the letter as a separate page to the minute document.
- Provide letters on correct letterhead with attachments and appropriately sized and addressed envelopes.
- Send the letter(s) as an email attachment to the MINUTES TO THEMINISTER email account (do not send the minute to this email account).
The process
| START | FINISH | |
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| Action area determines that minute is needed | Action area collects and files original. Action officer ensures that any action arising from the minute is completed. | |
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| Action officer prepares minute (using the template) | Minutes officer notes comments, updates [agency system] and arranges return of minute to action officer | |
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| FAS or AS clears and signs minute | Minister’s office keeps copy, updates [agency system], returns original to Parliamentary Section | |
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| PAO clears media releases and if minute is Budget-in-Confidence, action area has it cleared through FAS PSD or AS Budgets | Minister considers minute, makes comments and signs original | |
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| Action area delivers original and copies of minute to minutes officer, Parliamentary Section | |
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Parliamentary Section assembles original and sends remaining copies of minute to Minister’s office by regular courier run | |
| Minutes officer checks and records minute on [agency system], files one copy, passes two to Executive |  |
3.3 Protocols—Guidance for Handling Ministerial Correspondence and Briefing—an example
| Ministerial Replies | Generally correspondence addressed to the Minister will be signed by the Minister or an adviser—departmental responses should only be prepared for routine matters or matters that were incorrectly referred to the Minister. The briefing template includes a feedback mechanism for authors—the Minister’s Office has set a goal of 90% acceptance of Ministerial replies. |
| Turnaround Times | The requirement for preparing responses to correspondence is 10 working days for other Members of Parliament, constituents, and VIPs—and 15 working days for other people. There may be occasions when this is not possible (e.g. when cross-agency coordination or intensive research is required) in which case an interim response should be prepared, or the Minister’s office notified. Always be mindful of timeframes—provide as much time as possible for our Ministers to consider issues, but without compromising the content. |
| Ministerial Routine Publications | Approval for Publications If no comment is received for routine publications it can be assumed that the Minister is happy for the publication to be released (although this intention must be made clear in the brief ). Hot Issues/campaigns/potentially controversial publications |
| When to Copy Briefs between Ministers’ Offices | All briefs prepared for the Minister [title] and the Parliamentary Secretary are to be copied to the Minister[title]. A full set of QTBs will be provided to our Ministers, and to the Senator who is responsible for our business in the Senate to ensure that they are prepared to respond to questions that may be raised in either House. |
| Seeking Extensions | There are to be no extensions given for Ministerials for other Members of Parliament/Ministers without appropriate clearance being first obtained from the Ministers’ Offices— this must be through the Ministerial and Parliamentary Services Section. |
| Contact with Ministers’ Offices and MPs’ Offices | Significant contacts by officers with Ministers’ office staff should be recorded in a file note. Emails should be filed. Any requests for information from Members of Parliament should be cleared with the relevant adviser in the Minister’s Office via the Departmental Liaison officer. Telephone contact with Ministerial advisers should generally be at the SES level. Other staff should contact DLOs in the first instance. Where appropriate oral briefings should be followed up with a written brief. |
3.4 Extracts from the Legislation Directory (July 2004)—Department of Transport and Regional Services53
Contents
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| Legislation Directory Group Responsible: Programmes—Transport South East Responsible officer: Contact Number: |
Australian Land Transport Development Act 1988PurposeThe Act is to provide funding for the development and maintenance of land transport systems. Funding may be provided for:
The Act also provides for funding of land transport and road safety research. The Act was originally enacted as the Australian Centennial Roads Development Act to replace the previous five year road funding programme and the Bicentennial Roads Program. The Act originally had a five year life. In 1993, it was renamed and amended to extend its coverage of land transport infrastructure by adding provincial cities and rural highways, Black Spots and urban public transport projects and to remove its sunset provision. This Act is currently used to fund the National Highway and Roads of National Importance Program, the Black Spots Program and a small research programme which includes the Commonwealth’s contributions to Commonwealth and/or State road bodies. To ensure continuity of funding for the Commonwealth’s land transport programmes, the Act contains provisions which credit (hypothecate) a portion of the excise on petrol and diesel fuel to a Special Account for expenditure under the Act. Similar provisions were contained in the previous roads legislation and the Bicentennial Roads Program was funded through an additional excise levy on fuel of 2 cents per litre. To ensure maximum Budget flexibility, governments have adopted the practice of specifying the funding to be provided for the purposes of the Act in the Budget rather than rely on the hypothecation provisions. Generally, payments are made to State and Territory Governments for projects approved by the Minister under the Act. For mainline rail projects, payment may be made to approved railway authorities and, for research projects, to approved research organisations. The Act has also been used to fund the road safety communications activities of the Australian Transport Safety Bureau. Role and Responsibilities of the MinisterFor the purposes of funding under the Act the Minister may declare:
The Minister also approves individual projects under the various categories for funding under the Act and may approve National Highway or Black Spots programmes of works. The annual road safety communications programmes of the ATSB are also approved under the Act. Although the Act provides for funding of local roads, the procedure is for the Minister to determine principles for the allocation of funds, paid to a State, to local government bodies in the State for the construction and maintenance of local roads. Under these provisions the Minister does not approve projects on local roads. However, under the Black Spots Program individual projects are approved. To ensure that the excise revenue hypothecated under the Act equals expenditure determined in the Budget the Minister is required, after consultation with the Treasurer, to determine the charge rate for a financial year expressed in cents per litre. The charge rate is the share of fuel excise credited for expenditure under the Act. The Act contains a default charge rate which applies if a determination is not made. A determination is a disallowable instrument and may be disallowed by either House of Parliament up to 15 sitting days after tabling. All maintenance works on the National Highway over $2 million in value and all construction works on the National Highway and Roads of National Importance must be put to public tender. The Minister has the power to grant exemptions from this requirement on grounds specified in the Act. Requirements (e.g. Reporting, Consultation etc.)The States are to provide monthly reports on their expenditure on projects receiving funding under the Act and the progress on those projects. The States and other organisations receiving funding under the Act are required to provide statements of expenditure each year and verification of the expenditure statement by the State Auditor-General (or a qualified accountant in the case of other recipients). The Minister is to provide a report to Parliament detailing payments made throughout the year under the ALTD programme, as soon as practicable after June 30 each year. Delegated Legislation (e.g. Regulations, Determinations, Orders etc.)Notes on Administration, which specify the administrative details, reporting requirements, etc that the States must comply with as a condition of receiving funding under the Act have been approved by the Minister. The Black Spot Program has separate Notes on Administration approved by the Minister. |
| Legislation Directory Group Responsible: Regulatory Surface Transport Regulation and Reform Contact officer: Contact Number: |
Shipping Registration Act 1981PurposeThe Shipping Registration Act provides for Australia to register ships and bestow nationality. It was introduced to provide a code for the registration of Australian-owned ships. Role and Responsibilities of the MinisterThe Minister may:
Requirements (e.g. Reporting, Consultation etc.)Nil Delegated Legislation (e.g. Regulations, Determinations, Orders etc.)Shipping Registration Regulations The Minister may exempt a ship from the requirement to have the name of the ship and its home port written on the outside of the ship. This exemption is rarely granted. It has been used for historic ships, for example, the replica of the Endeavour. |
| Legislation Directory Group Responsible: Programmes—Transport South East Responsible officer: Contact Number: |
Trade Practices Act 1974, Part XPurposeThe purpose of Part X is to ensure that Australian shippers, that is, exporters and importers, have continued access to liner cargo shipping services of adequate frequency and reliability at freight rates that are internationally competitive. Part X has its origins in the late 1920s and resulted from concerns that Australian exporters should have access to adequate and efficient liner shipping services at reasonable freight rates. The legislation sets out conditions for granting limited, but assured exemptions from sections 45 and 47 of the Trade Practices Act 1974 to allow liner shipping companies to collaborate as conferences. The conditions include requirements to negotiate with exporters and importers on standards of service and freight rates to be provided under registered agreements. Part X provides a legislative framework within which shipping conferences and their customers can resolve problems through commercial negotiations, with only minimal government involvement. Australia’s major trading partners (USA, Japan, Korea, European Union and New Zealand) have arrangements broadly similar to Part X for regulating international liner shipping. Role and Responsibilities of the MinisterThe primary role of the Minister is in relation to the enforcement powers under Part X designed to deal with situations where shipping conferences may have failed to meet their obligations under that legislation. If exporters or importers are dissatisfied with the result of their negotiations with shipping conferences, the Minister can refer the matter to the Australian Competition and Consumer Commission (ACCC) for investigation. This can lead to the Minister removing the Part X exemptions from members of the shipping conference concerned. Decisions by the Minister that affect the interests of conference shipping lines, and/or users of their services are reviewable by the Australian Competition Tribunal. Requirements (e.g. Reporting, Consultation etc.)In order to obtain the exemptions from the Trade Practices Act granted by Part X, members of a liner shipping conference must register the agreement under which they operate with the Registrar of Liner Shipping. The Registrar is an officer of the Department appointed by the Minister or a delegate of the Minister. Prior to making a final decision on removing the Part X exemptions from members of a registered shipping conference agreement (i.e. deregistration of an agreement), the Minister is required to consult, either personally or through authorised officers, with parties to the agreement concerned directed at obtaining an undertaking or action by the parties that would make deregistration of an agreement unnecessary. In practice, such consultations have always been conducted by authorised officers. An authorised officer is an officer of the Department appointed by the Minister or a delegate of the Minister. After exercising his or her enforcement powers under Part X, the Minister is required to table in the Parliament a statement about the decision and a copy of the ACCC’s report on the matters being dealt with under the enforcement powers. Delegated Legislation (e.g. Regulations, Determinations, Orders etc.)Trade Practices Regulations |
3.5 Example of documentation setting out the regular meetings that occur between agency employees and the Minister, and how these work
EXECUTIVE MEETINGS WITH THE MINISTER
In one portfolio, the Minister had a practice of meeting and discussing ‘for decision’ briefing submissions with the relevant Division Head or the officer who had signed the briefing (usually SES). The Secretary, relevant Ministerial advisers and the Departmental Liaison Officers (DLOs) also attended these meetings.
As well as providing the opportunity for regular, face-to-face contact with the Minister, the practice streamlined the decision-making process and, importantly, the communication of decisions or further briefing requirements back to the Department.
The meetings also helped to ensure that any statutory deadlines or legislative compliance issues were dealt with in the appropriate timeframe.
Meetings were based on agendas listing the briefings to be discussed (see section on ‘Agenda Process’ below).
Indicative meeting times were set with more frequent meetings in parliamentary sitting weeks. In practice, there was considerable variation in the indicative times and even days. When the Minister was interstate, meetings would occur through a video link.
In general, briefings listed on an agenda for a particular week were required to be lodged with the Department’s Parliamentary Services Unit by c.o.b. on Wednesday in the preceding week.
Urgent briefings or briefings delivered ‘by-hand’ were required to be delivered to the DLO and not left with the receptionist at the Minister’s Office. If a briefing was delivered direct to an adviser (not the preferred practice), a copy was also required to be provided for concurrent delivery to the DLO.
Agenda Process
When obtaining a briefing number from the Department’s Parliamentary Services Unit, officers were asked to nominate a date on which they would like the briefing to be discussed. These ‘active’ briefings became the primary source for the agenda.
Each week (Wednesday afternoon) staff of the Parliamentary Services Unit queried the Department’s document management system for all briefings flagged for a meeting in the following week. This list was circulated to Divisions who added or deleted items.
A draft agenda was then sent to the DLOs in the Minister’s Office who consulted with the advisers. Further items may have been added or deleted. A near final agenda was usually returned to the Parliamentary Services Unit on Friday afternoon for circulation (and discussion, if necessary) with the Department’s executive the following Monday.
After the meetings, the DLOs notified the Parliamentary Services Unit of the briefings discussed and decided and those which were not discussed. The latter group was renominated for the draft agenda in the following week, and the process started again. Items continued to be listed on the draft agenda until they were dealt with or removed from the ‘active’ list.
The process relied heavily on the ‘Date Required’ section of the briefing template.
Electronic Copies
All briefing submissions were also sent electronically to a folder shared with the Minister’s office.
Return of Papers to the Department
Following the meetings, papers were generally returned from the Minister’s office via the DLO to the Parliamentary Services Unit. This was necessary to enable the Minister’s signed decision and/or approval to be scanned into the document management system record for ease of reference. After scanning, the papers were returned to the owning Division for filing.
On the rare occasions that papers were returned with the Divisional representative, the original signed decision and/or approval was required to be forwarded to the Parliamentary Services Unit for scanning. The papers were then returned to the owning Division for filing.
3.6 Extract from departmental document on the preparation of Question Time Briefs: Online Information Sheet: Parliamentary Sitting Day Processes—Department of Family and Community Services
QTB PROCESS ON A PARLIAMENTARY SITTING DAY8.00–9.00am Branches should consider the day’s media and any other ‘hot issues’ and initiate QTBs if aware of an issue. However, to avoid unnecessary work, it is worthwhile checking with the DLOs or adviser if the QTB is required. If a new QTB is planned, the coordinator should contact the QTB Officer to obtain a QTB number and place the QTB on the daily listing. 9.00–9.15am By 9.30am Coordinators notify Branch Managers and pass request to Section Managers and/or action officer. Action officers may discuss the QTB with the relevant adviser to ensure clarity on what is required and the particular line to take— early contact may save rewrites later. By 10.00am 10.00–11.00am Cleared QTBs are saved by Branch coordinator in the sitting folder in the shared ‘PQTB’ directory by no later than 10.45am. The Branch coordinator advises the QTB officer when the QTB is saved in directory. STO and agency coordinators email QTBs to the QTB officer and notify by phone that they have been sent. 10.45–11.00am 11.00am–12.30pm By 12.30pm 1.00–2.00pm 2.00–3.30pm After 3.30pm |
3.7 Extract from How to Deal with Ministers and the Parliament: A Guide for Senior Officers—Australian Taxation Office
Chapter 5 Preparing MinisterialsWhat is a Ministerial?Ministerials are correspondence (letters, emails and facsimiles) sent to the Treasurer or the Minister for Revenue and Assistant Treasurer who, in certain circumstances, turn to the Tax Office to draft a response. This type of correspondence is sent for response initially to the Treasury which then allocates it to its agencies, including the Tax office. Some Ministerial responses require input from both agencies, and sometimes a number of agencies, to address the issues raised. Parliamentary Services coordinates arrangements with Treasury and other agencies as appropriate. How do I receive a Ministerial?Your business line (BSL) Ministerial coordinator receives all Ministerials for the BSL via the parliamentary document management system (PDMS).The coordinator forwards them to the appropriate officer for response. PDMS is the Tax Office electronic system for tracking, routing and preparing Ministerial replies and other parliamentary documents. Preparing Ministerial repliesAll letters from federal Members of Parliament (MPs) must receive a reply signed by a Minister or the Parliamentary Secretary. All letters from constituents or businesses will usually be signed by a member of the Minister’s staff . There will be times when the Minister will sign letters direct to this group, and Parliamentary Services will provide guidance if this is required. As the Ministers or their staff will be signing the Ministerial, the response must be written as though the Minister is responding to the constituent or business—not the Tax office. Responses should be written in plain English. The information provided must be current and clearly assess, from the Minister’s perspective, the issues raised. The response should be in the appropriate style and tone, technically correct and free from spelling and grammatical errors. The Tax Office Style Guide, available on [agency system] provides general advice on clear writing and preferred styles. Some key points to keep in mind when preparing a reply.
FormattingWhen preparing your response, you will find that the PDMS system automatically includes the correct spacing between paragraphs through the template, such as spaces between address block and salutation and space for the signature. The closing line and/or signature must not be the only lines on the page. If this is the case, the reply is to be re-formatted by:
TemplateThe template for the completion of the response is found on the PDMS. The PDMS automatically generates and produces the Ministerial reply outline, which includes the correct letterhead, author’s address, salutation, opening paragraph and appropriate signature block. Standard paragraphsThe second paragraph of the Ministerial reply should state one of the following, where the reply concerns the Tax office. These paragraphs are not to be used for government policy, initiatives or election commitments.
In all these cases, the third paragraph should begin with: The Commissioner advised me that … The final/closing paragraph should be short and kept to one sentence: I trust this information will assist you or/and your constituent (insert constituent’s name). If the response cannot assist the taxpayer, sentences similar to any of the following may be used:
Secrecy provisions relating to MinisterialsThe Commissioner is bound by secrecy provisions that apply to all the Acts he administers. His ability to provide taxpayer information to a Minister without breaching the various secrecy provisions depends on the purpose for disclosing the information and the particular taxation legislation involved. In accordance with advice received from the Solicitor-General, the Tax Office can provide information about a taxpayer to the Treasurer and the Minister for Revenue and Assistant Treasurer, in respect of some laws where the disclosure is ‘within the performance of an officer’s duties’. Some of which are:
However, there are some tax laws that do not allow the disclosure of taxpayer information. Some of which are:
For full information, please refer to the Law administration practice statement: PS LA 2004/9—Disclosure to Ministers of Information about the Affairs of Taxpayers. TimeframesThe Treasurer and Minister for Revenue and Assistant Treasurer identify Ministerials as high priority tasks and responses should be provided in a timely manner. The deadline for a Ministerial is 15 working days from registration of the Ministerial by Parliamentary Services to being sent to the Minister’s office for signature. This usually provides the BSLs 10 working days to answer Ministerials and less time for those Ministerials requiring urgent responses. As soon as it becomes apparent that a response will not meet the deadline, Parliamentary Services should be told. Some situations could arise because the Tax Office is waiting for an external outcome such as a decision of a court case, or the investigation into the issues raised is complex and lengthy and therefore the set deadline is not able to be met. Clearance processesDraft responses must be approved by the appropriate EL 2 officer or above(some BSLs require SES approval) before being sent via PDMS to Parliamentary Services for a final quality assurance check and sending to the Minister’s office. |
3.8 An example of departmental Intranet guidance on handling media inquiries
Media inquiries
The Minister’s office has issued strict procedures for dealing with the media.
The first rule is, DON’T—unless you have first been through the formal clearance process.
Any political inquiry, policy announcement or sensitive issue should be handled in every case by the Minister’s office.
For background on programmes or policies, the Minister’s office may clear an SES officer to give a media interview or provide a background briefing.
The Minister’s office may also request that a Public Affairs officer handles a media query.
The first step if you are contacted directly by a journalist by phone, email or in person is always:
Immediately refer the query to the relevant director in Public Affairs.
Public Affairs will contact the journalist to inquire:
- What exactly they would like to know—are they seeking an interview or are they looking for background?
- Where they are from and what they plan to do with the information?
- What prompted the query, and who else they may have approached for comment (e.g. the Minister’s Office, NGOs, other government agencies etc)?
- What is their deadline?
Public Affairs will then come back to the line area with a request for proposed responses to the journalist’s questions, and an indication of the urgency of the request. They will include this information in a media inquiry form, to which the talking points may be attached.
Usually, the response you draft needs to be similar to that you would prepare for a Question Time or Hot Issues brief, that is, clear, simple talking points that as far as possible directly answer the question (you may attach more detailed background information, as you would for a QTB, but journalists are usually looking for a succinct concise answer).
You should then refer your response back to Public Affairs, where an officer will look at your proposed answers, and may suggest some changes, or request some further information.
After the response has been cleared by an SES officer, Public Affairs will:
- contact the Minister’s policy adviser and/or the media advisers to inform them of the inquiry and the proposed response
- seek advice on whether the Minister’s office will handle the query, or whether it should be handled by the Department
- inform the line area of the outcome, and oversee the delivery of the response.
Sometimes, a media query may just be a request to be directed to existing information, in which case Public Affairs will simply inform the Minister’s office of the media contact and report on the outcome.
Regardless of the journalist asking the question, or the nature of the query, Public Affairs needs to handle it, so that:
- we have a consistent and coordinated response
- we are timely in our response
- we can keep the Minister’s office fully informed
- we are aware of what issues are running in the media and can anticipate future developments
- departmental officers are not exposed should there be inaccurate reporting, or media coverage of which the Minister’s office is unaware.
When off duty …
The procedures for media liaison apply as much when you are off duty as they do when you are at work. If socialising with journalists, remember that just because you are off duty, what you say is not necessarily off the record. If asked for information, suggest that the journalist contacts Public Affairs during business hours.
Media releases and events
Media releases and alerts about activities or issues concerning the Department and Australian Government policy can be issued by the Minister, the Parliamentary Secretary, or by the Department. Most media releases will be issued in the Minister’s name and all media opportunities should first be offered to the Minister’s office.
Preparation of media releases
All media releases must be planned and drafted in consultation with Public Affairs.
All officers should be aware of the FIVE-DAY RULE, that is, all draft media releases must be with the Minister’s office at least five days before they are to be released.
The normal process for media releases is:
- line area and Public Affairs agree on the need to draft a media release
- line area prepares a first draft
- line area emails draft to the relevant Public Affairs director, where it is edited into a format designed to give it the best possible appeal to the media
- Public Affairs returns the release to line area for Branch Head clearance, after which Public Affairs emails the release to the relevant policy adviser in the Minister’s office, copying in the assistant media adviser, the line area contacts, and, if the release concerns a Ministerial event, the Minister’s Appointments Secretary.
If the media release is not part of a Ministerial brief, Public Affairs will also liaise with the line area on the preparation of a Media Release/Event briefing note for the Minister’s policy and media advisers, summarising the background to the release, its purpose and the recommended timing for its release.
Tips on writing media releases
- Keep the text to one typed page. If a release is too long, it will not be read by journalists. Also, a two-page release costs twice as much to distribute than a one- page release. Allow room on the page for a header.
- Lead the release with the most important information. The first three paragraphs should cover off the three issues of what is being announced (the programme, event, new funding etc.), by whom (usually the Minister), where (at a conference, event, in Parliament etc.), and what the outcome of the announcement will be. Use plain English and avoid technical terms or jargon.
- Illustrate the issue with examples. Be as specific as possible.
- Report on outcomes of the policy or programme to date.
- Put the issue into context. Provide some background, relate the issue to broader government policy if appropriate.
- Include some quotes.
- If in doubt, see the Minister’s previous releases on the Internet for examples, or consult your Public Affairs contacts before you begin the draft.
Joint media releases
The Minister and Parliamentary Secretary often issue media releases jointly with their Australian Government, State and Territory colleagues.
The process for drafting these releases is the same as for other releases, except that it will involve liaison with other departments at the drafting stage. Ministerial media advisers will negotiate with their counterparts in other Ministers’ offices on the final text of the release. Public Affairs can provide or create joint Ministerial media release templates.
Media release distribution
When the Minister has cleared a media release for distribution, his office will email an electronic copy to Public Affairs for distribution by fax stream and on the Internet.
Public Affairs has a contract with [company], which can issue media releases to hundreds of metropolitan, regional and specialist media outlets. This is a good way to reach the Canberra political journalists but it does not guarantee that the news will reach the most appropriate media.
Costs
Public Affairs pays distribution costs of up to $100. If distribution costs are greater than that, the line area is forwarded an invoice from [agency system]. Charges are by the page, which is why we try to keep releases to one page only.
The cost of issuing releases varies from a minimum of around $60 to up to $500, depending on the number of pages and the breadth of the audience they need to reach. For example, a release that is of particular importance to regional Australians as well as to urban residents will be distributed nationally, to all metropolitan news outlets, as well as to regional and sometimes to suburban news outlets. Other releases may need to go to specialist media—business journals and newsletters, for example.
Note: Media releases are usually also boxed in the Parliament House press gallery by the Minister’s office or a departmental officer. This is a free service, but it only reaches the political reporters and unless it is a high profile political story, it will not get widespread coverage.
Identifying media implications and events—clearing briefs with Public Affairs
Most briefs relating to policies and programmes will involve issues with media implications of some sort. Sometimes the issue may provide an opportunity for a Ministerial announcement and/or media event. At other times, it may require the development of an issues management strategy.
Public Affairs should be consulted at the draft stage of most briefs, so that these issues can be identified early in the process and work can start on associated communications.
Even if there are no immediate media implications, Public Affairs will note the possibility of future interest and will be able to assist you with media and public relations management when the issue progresses.
Media monitoring and clipping
- The Department employs contractors to monitor the print and electronic media daily.
- Summaries of media coverage are available each day at Press Clips.
- The Media Monitoring User Guide explains the most effective way to use the media monitoring system.
- Public Affairs can arrange for transcripts, videos or audio CDs of stories on a user- pays basis. Note that these items are very expensive; some ABC transcripts are made available online for free from the ABC.
- Public Affairs can also arrange to monitor coverage of an expected story if given advance notice.
Online Media Centre
Public Affairs disseminates information on recent initiatives and significant issues online to media and key stakeholders.
- The Department’s online media centre aims to give journalists in particular, but other people as well, easy access to a wide range of information.
- Departmental News is a regular email update of significant announcements, events and publications.
- Links to major events can be found on our events calendar.
52 For Incoming Minister’s briefs, the background should include an outline of the relevant legislation and any significant discretions that are vested in the Minister by that legislation.
53 The Legislation Directory is currently being updated.
