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Last updated: 1 April 1996

A Human Resource Framework for the Australian Public Service

Please note: This document is for reference purposes only and is no longer considered by the APS Commission to be current. It may contain good practice advice and/or advice on the transitional arrangements between the 1922 and 1999 Public Service Acts.

Managing our people

The way the Australian Public Service (APS) discharges its roles and functions is changing significantly. Central to these changes is the capacity of organisations to provide an environment for managers to manage people and to lead them through change. Human resource management (HRM) is a major vehicle for continuous improvement and the management of change.

The purpose of this document is to set out the current framework of principles, policies and practices used to manage people in the APS and to help each manager understand his or her responsibilities in an integrated way.

The last decade has seen significant reforms in the APS aimed at improving its performance by reforming our structures and systems. Major areas of reform spanned budgetary arrangements, planning and decision making processes, organisational structures, and industrial relations arrangements. The overall success of these reforms has been largely dependent on their being mutually supportive and integrated in nature. But an essential ingredient in the success of the reforms has been people.

The Management Advisory Board (MAB) publication, Building a Better Public Service, emphasised the critical role that people play in the reform process:

"The primary means for achieving this (further improvement) will be through developing the main resource of the Service, its people. The strong positive attitudes and commitment which public servants have to a better Public Service need to be brought more clearly to the forefront and used to underpin a real culture of continuous improvement."

The productivity gains sought from the reform process have come from peoples skills, flexibility, effectiveness and discretionary effort. HRM is not just a matter of getting people to work harder - that would just be a focus on inputs. Rather, its focus is on helping people to work more effectively - and adding value to their work - thereby enhancing organisational effectiveness and productivity, and delivering a better service to the public. How managers work with people is as important as the tasks they are doing.

The goal of human resource management in the APS is to focus on individual performance and adding value in what they do, thus helping people achieve their agency''s objectives and continuously improve their agency's performance.

The devolutionary process of the past ten years or so has focused greater attention on the importance of accountability and effective performance management. More than ever, the strategic and supportive management of people has become the cornerstone of excellent managerial performance and achievement of corporate goals.

Characteristics of the Australian Public Service

The APS has always been underpinned by certain characteristics and values shared across the Service. These include:

• a basic commitment to serving the Australian community;
• a number of basic principles and values which underlie the management and organisation of work, and which apply in particular to the selection, development, deployment, management and retirement of staff; and
• the incorporation of these principles and values into an overarching legal, administrative and policy framework to form the basis for a career service.

The career service means that officers can move forward and laterally in their careers, and can also move from one agency to another, and will continue to be treated in accordance with these principles.

The career service also means that the community can expect consistent standards of commitment and professionalism right across the APS.

Performance management and HRM in the APS

Building A Better Public Service noted in relation to the importance of enhanced individual performance:

Individual performance management will be an increasingly crucial issue in the coming decades. A continuing emphasis on organisational effectiveness and productivity, and increasing community pressures for quality of service, will focus attention on the link between individual and corporate performance. These pressures will require a much more coherent and strategic approach to performance management.

This report identified three strategic directions for continuing reform in the APS:

• making performance count;
• leadership; and
• strengthening the culture of continuous improvement.

The emphasis on making performance count can be pursued through developing a greater client focus and better provision of services; systematically evaluating programs and performance; rewarding good individual and team performance; and being more accountable.

The need in the APS for a continuing move to a performance-based culture through improved performance management is fundamental to our continuing success.

However, the term 'performance management' can be viewed from different perspectives. On one hand it can relate to the performance of government, or a particular agency. Alternatively, it can focus on the performance of a particular policy or program. It can also include consideration of our management systems, for example, our budgetary and planning processes.

The focus within the HRM Framework is on the performance of people, as individuals and in teams, in achieving agency and program goals.

In the context of HRM, performance management focuses on the need to draw together and integrate individual and team performance to achieve organisational goals. A key consideration in the performance of people is their individual motivation. MAB commented on motivation through its publication Performance Management: The Integrated Use of Recognition, Rewards and Sanctions:

"Experience suggests that motivation relates to enabling people to understand where their role fits into the organisation and the contribution they make to achieving agency goals. It means providing people with useful and satisfying jobs, recognising their contributions, and creating an environment in which they can grow and learn. Motivation also involves giving people the elbow-room to operate with relative independence within the boundaries established by goals, values and culture."

Our interest in gaining the commitment and involvement of our people and in adding value to their work has the potential to integrate all aspects of people management in the APS.

People management - whose responsibility?

The belief that people are the key to getting maximum performance from our organisations has led to a growing emphasis on an integrated approach to HRM, where responsibility for the way people are treated and managed is shared by line managers and is no longer just the responsibility of the corporate support area.

A theme underlying all the key reforms in the APS has been the freeing up of the bureaucratic processes to allow managers greater scope to manage.

This increasing decentralisation and devolution can confuse the balance of responsibilities for managing our people and may be contributing to a fragmentation or compartmentalisation of HRM activities. It is important that all managers have the opportunity to see and understand the integrated nature of HRM. All supervisors and managers need to have a working knowledge of the different parts of HRM and the relationships between those different parts.

In APS agencies, the responsibility for people management is shared by two related, but distinct groups - line and personnel managers. The work of the line manager is directly concerned with the production and distribution of the agency's goods or services and with responsibility for directing and supervising the work of others. Personnel managers, or human resource managers, work in specialised areas providing support services to the organisation.

Every manager has people management responsibilities and needs to apply all that is involved in good people management.

Good people management, then, is the responsibility of all staff.

In an environment where departments and agencies have greater flexibility and responsibility to use their resources, including their people, to meet corporate goals, the HRM Framework is intended to provide a conceptual and communications tool to help all managers manage their people more effectively.

Management and leadership

HRM is only one of the corporate management responsibilities which line managers now undertake. The new management environment, with its emphasis on devolved responsibility and accountability for productivity and performance, means that individual officers at most levels can no longer function effectively without broad management and planning skills. A major challenge of HRM and development across the APS is to provide the skills and knowledge to enable officers to better manage and deploy all corporate resources to meet organisational and Service-wide goals.

Building A Better Public Service observed that leadership, especially by Secretaries of departments and other agency heads, continues to play a central role in consolidating the major reform initiatives of the past decade. MAB described effective leadership as:

• articulating clear messages about overall government directions;
• establishing a culture of responsiveness to government and an awareness of client needs;
• promoting, by personal example, the highest standards of diligence and integrity;
• improving two-way communication with people and including people in planning and policy developments;
• giving agencies, work units and people as much scope to manage for results as is possible and assisting through advice and guidance;
• being interested in results and insisting on accountability against established indicators;
• rewarding good performance and seeking to improve that which is not of a sufficiently high standard; and
• defending the APS from unfair criticism.

Leadership is part of the role of every manager in an organisation. It is what distinguishes management from administration.

Managers are increasingly being required to broaden their focus towards leadership. Leadership is characterised by a willingness to adopt and manage change, to innovate, to share and to communicate a longer term strategic vision, to provide support to people in decision making, to encourage considered risk-taking, and to model desirable behaviour and recognise contributions and achievements.

Building A Better Public Service noted

"that leadership...will play a central role in bedding down the major reform initiatives of the past decade."

The objective must be to get the best out of people by maintaining and improving their commitment, motivation and participation. Greater productivity and improved performance will not be achieved without further improvements in managing our people. To achieve the increased skill levels and adaptability that we are seeking, improved HRM principles, policies and practices must be part of the goals and objectives of each organisation, and part of the personal goals and objectives of each individual.

People are the key to achieving a more productive and responsive public service. The APS's overall efficiency and effectiveness is directly dependent upon the selection, performance and management of individual officers. Leadership should demonstrate and emphasise this recognition of what is at the heart of good people management.

Individuals responsibilities

Within the framework of people management, responsibility for performance lies not only with agencies and managers but also with each individual. While managers can and should adopt appropriate practices to enhance and maintain the performance of their people, each individual is expected to take responsibility for his or her own conduct and performance.

The Public Service Act 1922 and Public Service Regulations, specifically Regulations 8A and 8B, set out the standard of conduct expected of men and women of the APS. This standard identifies the roles and responsibilities of public servants in fulfilling their duties. Detailed guidance on the standard of conduct expected of APS officers in a range of situations can be found in the Guidelines on Official Conduct of Commonwealth Public Servants.

Key Public Service Values and People Management

Key Public Service Values

In Building A Better Public Service, MAB articulated a set of Key Public Service Values which distinguish the special features of work and employment in the public service, while reflecting the direction of contemporary public sector management practice.

The Key Public Service Values are:

Responsiveness to governments:

• serving loyally and impartially Ministers and the Government; and
• providing frank, honest and comprehensive advice.

A close focus on results:

• pursuing efficiency and effectiveness at all levels; and
• delivering services to clients conscientiously and courteously.

Merit as the basis for staffing:

• ensuring equality of opportunity; and
• providing fair and reasonable rewards as an incentive to high performance.

The highest standards of probity, integrity and conduct:

• acting in accordance with the letter and spirit of the law;
• dealing equitably, honestly and responsively with the public; and
• avoiding real or apparent conflicts of interest.

A strong commitment to accountability:

• contributing fully to the accountability of the agency to the Government, of the Government to the Parliament and of the Parliament to the people;
• fully supporting the administrative and legal measures established to enhance accountability; and
• recognising that those delegating responsibility for performance do not lose responsibility and may be called to account.

Continuous improvement through teams and individuals:

• striving for creativity and innovation; and
• making individual and team performance count.

These key values represent an effective blending of new and traditional values. In outlining the values and ethos expected of today's public servants, MAB noted that the changes brought about by the management reforms:

"...do not imply any retreat from traditional values. Rather, the new and the old should reinforce each other."

This view accords with the concept of the 'New professionalism' which promotes the integration of the best of the improved management practices (such as a focus on results and continuous improvement) and the best of the more traditional APS values (such as the merit principle and service to the public).

The Key Public Service Values help maintain the ethos of professional, accountable public service. However, none of these values can be effective in isolation. To operate effectively they must:

• be supported by policies and strategies aimed at eliminating unjustified discrimination in employment in the workplace;
• be based on an objective appreciation of individual worth and talent which supports the effective operation of the merit principle, and to the efficient and effective deployment of people in support of corporate planning and agency goals; and
• feature a uniform commitment to fairness and non-discrimination to maintain Service-wide standards of equity, ethical conduct and accountability.

HRM principles

The HRM principles reflect an agreed set of concepts which characterise the way we manage people in the APS. Agencies and individuals undertaking widely different tasks under different priorities and pressures, whose roles and responsibilities are changing or static, who serve different client groups in different parts of Australia, all operate in accordance with these overarching principles. These principles reflect historic and contemporary community standards and expectations about public sector efficiency, equity and justice.

The HRM principles, which are closely linked with the Key Public Service Values referred to above are:

• merit;
• equity;
• efficiency;
• effectiveness;
• independence;
• ethical conduct;
• industrial democracy; and
• accountability.

Natural justice, privacy and flexibility

The Key Public Service Values and the HRM principles are supported by the further important concepts of natural justice and privacy, and the need for flexibility, in the way in which our people management policies and practices are developed and implemented.

• Natural justice, which means procedural fairness, ensuring fair decision making, giving people the opportunity to be heard in relation to decisions being taken about them and for those decisions to be taken by an unbiased decision maker.
• Privacy, which aims to ensure that all staff adhere to the provisions of the Privacy Act 1988. This includes the proper safeguarding and protection of personal information, and the need to ensure that people are fully informed of the uses to which this information may be put.
• Flexibility, which is the ability of people and processes to respond to identified changes in circumstances within short time frames, and for the merit of individual cases to be considered in the light of the spirit of the program/process.

Important features of people management in the APS

People management policies and practices in the APS value people as individuals, and assume that they:

• want to do the best work they are capable of doing and have pride in their achievements;
• are their own best source of motivation and disciplined behaviour;
• will respond to opportunities to take responsibility for continuously improving the organisation's performance; and
• are willing to be held accountable for their contributions.

Public servants are drawn to a public service career because of a belief that government serves good purposes and they want to be part of it.

The Key Public Service Values and HRM Principles underpin our people management practices and assist in distinguishing the employment culture of the APS from that of other sectors.

Implementing and managing change

Workplace bargaining has enabled individual agencies to exercise a good deal of flexibility in developing arrangements for managing their people in ways which best suit their circumstances, and the devolution of a range of people management powers to line managers has increased their flexibility in managing their people.

The HRM Framework

The six key areas of HRM

The HRM Framework identifies and incorporates the six key interrelated areas which together comprise effective HRM.

• Human resource planning aims to ensure that people with the right skills and abilities are available in sufficient quantity to meet organisational goals by effectively forecasting and planning for future people requirements in agencies. Human resource planning is integral to successful corporate planning in the APS.
• Staffing practices aim to ensure fair and effective procedures and processes for the recruitment and deployment of people, thereby ensuring the best use of those people who will make the most effective contribution to the organisation and to the community. 'Quality in selection' based on merit and equity is a fundamental consideration.
• Remuneration and conditions aim to ensure the attraction and retention of people, and the encouragement of staff performance, commitment and morale, through appropriate remuneration and conditions, including a safe, healthy and harmonious work environment. The change to the name of this key area to 'Remuneration and conditions' (first edition - 'Working conditions') recognises the advances that have been achieved in the APS towards a broader range of mechanisms for attracting people and for rewarding good performance.
• Performance management aims to provide the crucial link between individual performance, attitudes and behaviour and the overall goals, culture and values of the organisation.
• Human resource development aims to improve organisational effectiveness and individual performance by providing people with opportunities to develop the competencies required to fulfil their current responsibilities and by helping them to pursue their career goals.
• Working together aims to foster recognition of the interdependence of staff and management, and the need for leadership as well as staff participation, in achieving organisational effectiveness, in encouraging individual performance and in linking individual and corporate goals and aspirations. The change of the name of this key area to 'Working together' (first edition - 'Staff relations') represents an important emphasis on co-operative approaches in the relations between management and people in the APS. This approach is obvious through formal mechanisms such as workplace bargaining, but it is also underpinned by the recognition that the best results are achieved when the goals of agencies and their people are both served.

These key areas, the specific aspects of HRM they cover, and their relationship with each other and with overall corporate planning are set out on the chart. They form a logical breakdown of the central elements of HRM grouped around the two traditional key pillars of HRM - remuneration and conditions, and staffing practices.

For example, for human resource development programs to be organisationally effective, they must develop in people the competencies that have been identified as necessary through human resource planning, and they must enhance the performance of staff in ways recognised in the performance management system. In addition, they should foster the ability of individual staff members and their managers to communicate about performance and conduct issues.

As the challenges and issues facing agencies may change over time, and vary between individual agencies, different mixes of these policies and practices will need to be used so that agency goals can be met. Understanding how the range of policies and practices interrelate is necessary before different mixes are tried.

The need in the APS to further foster a performance based culture through improved performance management is fundamental to linkages which occur in the people management framework.

Three important dimensions of effective people management

Clearly, managing the performance of people in the APS is a complex task. It is not a simple linear process whereby if a manager does 'x, y and z' a certain result will be achieved. People management should be viewed as three interacting dimensions:

• a system of legislation, policy, practices and technologies associated with managing people in the workplace. In the APS the systems element of HRM embraces the Public Service Act 1922, the Public Service Regulations and related Determinations, industrial awards and agreements, the Guidelines on Official Conduct of Commonwealth Public Servants, and established procedures and guidelines covering, for example, areas such as discipline, staff selection, and probation;
• the skills and knowledge related to the responsibilities associated with managing people in the workplace, and the skills and knowledge required by people to undertake their line responsibilities. Such management skills can include leading, coaching, counselling, mentoring, providing feedback, planning and negotiating; and
• a culture which influences people management practices in the workplace, and conveys messages about the Key Public Service Values and which values performance.

Too often in the past 'good' people management in the APS has been considered only in relation to systems; occasionally in relation to skills and knowledge; rarely in relation to culture; and almost never in the context of these three interacting dimensions.

Effective continuing reform needs to focus on all three dimensions of people management to ensure that reform objectives are implemented as intended in the workplace. Culture is the dimension with the most potential to ensure there is congruence between the three dimensions.

The Management Advisory Board, through its recent publication Performance Management: The Integrated Use of Recognition, Rewards and Sanctions commented:

"Strategic performance management requires, as its foundation, a culture within agencies that recognises and values people's good performance and the management of performance. It rests on making performance count, leadership and continuous improvement and it is reflected in the way people and agencies do their business."

The role of central agencies

Central to an integrated approach to people management in a devolved environment is an understanding of the role of central agencies in providing the overall framework of standards, policies and values.

Acknowledging the changed roles of the central agencies, following the reforms of the past decade, Building A Better Public Service noted:

"The reforms of the 1980s have dramatically affected the public sector management role of the central agencies. While there can be some tensions between this role and their wider policy advising responsibilities, within the Public Service they are now more concerned with establishing the frameworks within which managers are authorised to manage. This will be the continuing focus of central agencies."

The Management Advisory Board was established to advise the Commonwealth Government on significant management issues affecting the APS. MAB has no statutory powers or executive authority, but serves as a regular forum for an exchange of views and information impinging on strategic APS management policy, and for the dissemination of best management practice across the APS.

There are nine members of MAB including some Secretaries of portfolio departments, the Public Service Commissioner, a senior national union official, and a Chief Executive Officer from the private sector. MAB is chaired by the Secretary of the Department of the Prime Minister and Cabinet.

The Public Service and Merit Protection Commission has policy responsibility for the strategic management of central elements of human resource management in the APS - recruitment, promotion, mobility, conduct, career paths, performance management, human resource development, redeployment, retirement and the monitoring of Equal Employment Opportunity (EEO).

In undertaking its people management policy responsibilities in the APS, the PSMPC follows a strategic policy and evaluation cycle by:

• setting an appropriate framework in the form of a policy statement, guidelines or broad instructions, usually after consultation with operating agencies;
• communicating and promoting that framework to people in the APS ( to develop their skills and knowledge and to foster cultural change);
• monitoring and obtaining appropriate feedback on the implementation of the framework and how it is working in practice;
• identifying and communicating good practice where this is appropriate and productive;
• undertaking evaluation or promoting evaluation methodologies; and
• in the light of evaluation, revising policies and re-commencing the cycle where necessary.

The Department of Industrial Relations is directly responsible for industrial relations policy, pay policy, base rates of pay, the establishment of conditions of service which have common application across the APS, employment structures and work level standards. It co-ordinates Service-wide industrial relations agreements and represents the employer in the majority of Service-wide matters before the Australian Industrial Relations Commission. It has major responsibility for negotiating the framework agreements which underpin agency bargaining. The Department also provides advice and training to agencies on both the procedural aspects of agency bargaining and on how to use such bargaining to improve agency performance and achieve a workplace culture conducive to continuous improvement. DIR also provides advice on general industrial relations matters.

The Department of Finance manages the payment of all APS salaries. It also has responsibility for policy advice on position classification standards and for specific approval of funds for agency SES profiles. It is responsible for encouraging efficient and effective resource management by departments and agencies. It provides APS workforce statistics, and provides policy advice to the Minister for Finance on superannuation arrangements for Commonwealth sector civilian employees and Parliamentarians. It also provides policy advice on, and facilitation of agency implementation of, workplace bargaining for staff in Australian Government employment.

The Department of Employment, Education and Training is responsible for the operational aspects of base grade recruiting, and also provides advice on national policies on training and employment.

The role of line agencies

Much responsibility for people management in the APS has been devolved to line agencies and, through them, to individual line managers.

Agencies and their managers now have a good deal of flexibility in managing their people under a Service-wide umbrella of legislation, agreements, policy, practices and values.

There is then an important role for individual agencies in relation to the three important dimensions of effective people management in:

• developing their own detailed people management practices and guidance;
• being responsible for developing the skills and knowledge of their people; and
• encouraging particular supplementary values which reflect their work environment and responsibilities, for example, a focus on client service or commercial practices.

HRM and corporate planning

Effective corporate performance is derived in large part from corporate planning processes which directly link corporate goals and people management policies, practices and values. Achieving agency goals requires, among other things, a successful blend of the three important dimensions of people management - systems, skills and knowledge, and culture. Agencies' corporate plans should describe the ways in which these dimensions interlink and integrate with the broader, strategic goals of the organisation.

People management policies and practices integrate with the corporate planning process through the need to ensure that people are recruited, trained and deployed in ways that meet the current and foreseeable demands on the agency in achieving its strategic goals. The corporate plan should express the way in which the agency's people management policies and practices will help this need to be met.

Several agencies have recently developed people management strategies which link the Service-wide framework outlined in this publication with the responsibilities of their line managers. For example, the Human Resource Strategy of the Department of Transport, the Human Resource Management Plan 1994-1997 of the National Museum of Australia, and the Australian Security Intelligence Organisation's People Management in ASIO 1994-95 to 1996-97.

HRD in agencies

The strategic significance given to HRD is in the establishment or maintenance of an effective learning culture in the organisation - one which supports development of individual potential and fosters increased commitment and motivation. But to be strategically effective, HRD activities must:

• form an integral part of the corporate planning process;
• relate to, and service, corporate and program goals and needs;
• be regularly and rigorously evaluated; and
• be adequately resourced.

In particular, HRD must have close links with agencies' HRM and performance management processes. As part of a broader HRM strategy, these links ensure that people have the appropriate competencies to contribute to achieving their agency's goals and that effective strategies are available to enhance individual and team performance.

Information and evaluation

As the chart indicates, effective people management needs to be supported by appropriate management information systems. As well as providing a basis for efficient administration, they can provide the internal statistical information on trends in people management issues - for example, turnover, average age, promotion rates - on which effective human resource planning must be based. They can help measure the efficiency and effectiveness of current practices, such as the management of temporary transfer arrangements. They can monitor supervisors' responsibilities in relation to the reporting process for probation and the review process for performance appraisal. They can record skills profiles and development histories, and help match human resource development (HRD) programs to individual needs. Finally, they provide the basis for external HRM reporting obligations such as annual reports and EEO performance.

Effective management information systems also contribute information necessary to assess whether agency people management policies and practices are actually meeting corporate goals.

The Department of Finance has recently produced a publication which focuses on the use of HRM information systems in the APS - Toward Better Personnel Management: A Review of Personnel Management Information Systems, Information Technology and Systems Group, Department of Finance, 1994.

HRM benchmarking

Benchmarking is a strategic activity aimed at the pursuit of continuous improvement. It is a process of assessing an agency's procedures, products and service performance against organisations that have achieved a recognised standard of excellence in the same or similar field.

MAB, in its publication Benchmarking: Improving Performance in the APS, commented:

"Benchmarking is...an ongoing, systematic process to search for and introduce best practice into an organisation."

Although typically applied for competitive advantage in industry, benchmarking can have practical applications in the public sector as well. In the HRM context, it can provide a useful way to identify and assess the contribution of people management practices to an agency's corporate performance. By helping agencies learn from other organisations' high performance standards, benchmarking provides an incentive for agencies to adapt, where appropriate, that learning to improve the quality of their own people management practices.

Agencies can also use benchmarking techniques to add value to their strategic planning processes. For example, it can be a valuable means of setting appropriate measurable objectives to improve the organisation's strategic performance. It can also help strategically focus an agency's HRM performance by providing challenging, yet achievable targets or goals across all key areas of the HRM Framework.

The good practice indicators provided against each key area in the compendium to this publication suggest factors against which agencies and individual line managers may wish to consider the effectiveness and the efficiency of their performance in managing people.

Conclusion

Traditionally, in the APS, we have focused on remuneration and conditions, staffing practices and human resource planning as the essential components of people management - we have tended to concentrate on the people management system.

More recently we have recognised the importance of the skills and knowledge of our managers and their people - we are giving considerable attention to human resource development.

Now we are recognising the importance of culture in supporting the people management system and the skills and knowledge of our people. This is reflected in our contemporary interest in working together and performance management.

Our managers and their people need to understand the system. They and their people need the skills and knowledge to undertake their responsibilities and we need a culture which supports them. This needs to be a culture which recognises and values their people's performance and their contributions to the achievement of corporate and program goals.

We need to achieve a fully integrated approach to people management if we are to be effective in serving government and, through it, the Australian community. Our efforts to date in gaining the commitment and involvement of our people and in adding value to their work can be built upon by now making an improved effort to integrate all aspects of people management in the APS.

Primary References

A number of documents have been referred to in the previous pages which describe people management reforms occurring within the Australian Public Service. Publications which readers of this book should be aware of as primary reference material in the field of people management are as follows:

Building a Better Public Service, MAB-MIAC Publications Series No 12, AGPS, Canberra, 1993

A Framework for Human Resource Management in the Australian Public Service, Public Service Commission, AGPS, Canberra, 1992

Managing People in the Australian Public Service: Dilemmas of Devolution and Diversity, Report 323 of the Joint Committee of Public Accounts, Parliament of the Commonwealth of Australia, AGPS, Canberra, 1992

The Australian Public Service Reformed: An Evaluation of a Decade of Management Reform, Task Force on Management Improvement, Canberra, December 1992

Accountability in the Commonwealth Public Sector - An Exposure Draft, MAB-MIAC Publications Series No 5, AGPS, Canberra, June 1991

Annual Reports of the Public Service Commissioner, Public Service Commission, AGPS,1987-1988 onwards

Strategic Benchmarking, Gregory H Watson, John Wiley and Sons, New York, 1993

Benchmarking Staff Performance: How Staff Departments Can Enhance Their Value to the Customer, Jac Fitz-Enz, Jossey-Bass, San Francisco, 1993

Corporate Planning: Theory and Practice, David Hussey, Pergamon Press, Oxford, 1982

Adding Value: A Systematic Guide to Business-Driven Management and Leadership, Gerard Egan, Jossey-Bas, San Francicso 1993

Leading People in Change: Empowerment, Commitment, Accountability, A report by a panel of the National Academy of Public Administration, Don I Wortman, et al, 1993

Key Area:Human Resource Planning

Objective

To forecast and plan for the future people requirements in agencies.

Overview

Human resource planning involves forecasting the numbers and the skills profiles of people needed by an organisation and working out the best way of obtaining them when they are needed. Human resource planning includes forecasting:

• workforce numbers in sufficient details to be useful (eg., by occupational group, classification, organisation unit and location);
• likely changes to the work of the agency; and
• work force supply - this involves forecasting the variations in the current work force estimated to occur over the following years.

Human resource planning helps managers decide what strategies need to be developed to maintain a supply of skilled workers who will best contribute to the organisation's goals. It helps managers take a more strategic and a medium term approach to people management by ensuring that urgent day-to-day operational activities do not exclusively determine their activities.

Human resource planning should be the concern of all managers in their organisation. As organisations change in size and complexity, it becomes even more critical to plan in a structured way. Human resource planning helps to identify the impact any changes will have on the workforce and allows managers to plan cost effective ways of restructuring their organisation.

Good practice indicators

Effective human resource planning processes are in place when:

• appropriately skilled people are available to be deployed in the organisation to meet forecast work demands;
• the organisational structure provides people with the opportunity for appropriate career paths, and is perceived to contribute to effective and efficient work practices;
• existing job design provides people with satisfying jobs which provide challenge, responsibility, personal development, and an appropriate degree of autonomy in determining work outcomes;
• turnover of people is managed within resource allocations, enabling work to proceed with minimal disruption and without long term stressful workloads having to be carried; and
• relevant workforce statistical data is readily available to inform management decision making on human resource issues.

Element: Organisational Structure

Objective

To maximise the organisation's capacity to productively and flexibly arrange, manage and deploy its resources to achieve its current and future goals.

Overview

Organisational structure is the means of integrating the work of an agency, and ensuring that the objectives and activities of individual work units are specifically related to organisational goals.

Organisational structures should provide scope for flexible deployment of people and promote equity, job satisfaction, motivation and commitment to organisational goals, and provide access to career paths. When these conditions are met, the organisation is more likely to be seen by people and potential recruits as a desirable place to work.

Underlying principles

Appropriate organisational structures contribute to efficiency and effectiveness. By providing a framework for the definition and delegation of responsibility, they provide clear lines of accountability. They can also contribute to career development by maximising opportunities for multiskilling.

Organisational structure in practice

Organisational structures are premised on, but not driven by, common APS classification standards. A prime consideration in the development of an organisation's structure is to get as close a fit as possible between it and the organisation's corporate goals and responsibilities.

Responsible agencies

The design and implementation of organisational structures is the responsibility of individual agencies.

Related elements

Organisational structure links closely with other Framework elements including: job design and multiskilling; position classification standards; appointment, promotion and transfer; work environment; redeployment; supervising people; orientation programs; managing industrial relations; and communicating with people.

Element: Executive Management

Objective

To provide a unified cohesive senior management group which can be deployed flexibly across the Service in response to changing policy and management priorities.

Overview

Effective corporate performance in a dynamic, devolved and achievement-oriented APS is dependent on an executive management with particular capabilities. These include: leadership skills and the ability to communicate corporate objectives; broad corporate management skills including human resource management; and the ability to effectively deploy these skills across an organisation, or across the APS, in response to changing government or community priorities.

Each portfolio department is headed by a Secretary, who is the principal policy adviser to the Minister and the manager of the department and its programs and services. Secretaries are appointed by the Governor-General on the basis of a recommendation from the Prime Minister, who in turn receives a report from the Secretary of the Department of the Prime Minister and Cabinet prepared in consultation with the relevant Minister. Similar procedures apply to the termination of Secretaries.

The Senior Executive Service (SES) is the senior management cadre. While part of the broader APS, it is separately managed and developed as a unified, cohesive senior staffing group. Except for SES (Specialist) officers, the SES is selected in accordance with APS-wide core selection criteria which emphasise leadership, corporate management skills and judgement. SES officers are appointed or promoted to a broad band, and may be moved around within this band to meet changes in agency responsibilities and priorities. Arrangements for the recruitment, promotion, human resource development, performance appraisal, mobility and separation of the SES all reflect the particular needs of a flexible, APS-wide cadre. The human resource management of the SES is based on the same principles and policies as the broader APS.

The SES (Specialist) category is a distinct sub-group covering positions requiring the exercise of technical or professional skills at a high level, but having only limited management responsibilities. While SES (Specialist) positions have their own selection criteria, they must include broader criteria to ensure that the individual selected is able to operate effectively in a senior APS environment.

Underlying principles

The high level leadership skills and ethos of executive leadership contribute to organisational efficiency and effectiveness and to individual accountability. Legislation, policies, guidelines and practices are based on providing standard remuneration and conditions of service, recognised work level guidelines, selection on merit, fair and equal access to development opportunities and consistent and fair treatment in all employment issues. Flexibility is also an important consideration, where broad management skills of the SES contribute to individual and organisational flexibility.

Executive management in practice

For executive management to be effective, the following should be in evidence:

• a sense of APS-wide professionalism and esprit de corps exists among SES officers;
• all SES officers are fully conversant with their responsibilities and roles;
• key APS values and ethics are reflected in the leadership provided by the SES;
• policies and practices related to executive management are integrated into the ongoing management of the department or agency;
• forward planning is undertaken for executive vacancies, development, mobility, redeployment and retirement;
• all selection activity is based on open competition, equity and merit;
• personal development is undertaken as an ongoing and essential component of executive management;
• structured career planning and development is pursued as both a self management and organisational tool;
• objective, fair and results-oriented performance appraisal is accepted as an integral aspect of executive management;
• opportunities for placement and mobility for SES officers are pursued to maximise the matching of individual talent and experience to the management requirements of the APS; and
• redeployment and retirement policies and practices balance dignity and equity for individuals with the overall interests of the APS.

Responsible agencies

Responsibility for the management of the SES is shared between the PSMPC, the Department of Finance, the Department of Industrial Relations and Secretaries and Heads of individual departments and agencies.

The Public Service Commissioner, on the advice of Secretaries, is responsible for SES selection, termination of probationary appointments, approval of voluntary retirement and involuntary retirement or reduction. The Commissioner also has responsibility for the wider policy aspects of the career development and management of the SES.

The Department of Finance has responsibility for the provision of 'Senior Executive Classification' guidelines and, for budget funded agencies, exercises a control over SES staffing levels through profile and funding controls.

The Department of Industrial Relations provides policy oversight of APS department level industrial agreements and determines SES pay and conditions.

Secretaries have the power, within the Department of Finance approved profile and work level guidelines, to create, abolish and determine the duties of SES positions within their own department.

Related elements

Executive management is linked to other elements within the Framework, including: recruitment planning; career planning; leadership; mobility/exchanges; EEO programs; management development programs; and communicating with people.

Element: Job Design and Multiskilling

Objective

To assign the tasks and responsibilities of individual jobs and work groups to maximise the achievement of organisational goals within available resources.

Overview

Effective job design benefits both management and people by promoting efficiency and performance within the organisation and by providing opportunities for skills acquisition and improving career opportunities and job satisfaction. Under the APS Agreement Improving Productivity, Jobs and Pay in the Australian Public Service 1992-1994, and its successor, the Interim Framework Agreement, Australian Public Service, further improvements to job design and working patterns and arrangements can be achieved through agency workplace bargaining agreements.

Underlying principles

Job design should facilitate efficient and effective organisational arrangements, be flexible enough to accommodate changing work patterns and priorities and take into account occupational health and safety and EEO considerations, including the principle of reasonable adjustment. Effective job design should result in satisfying jobs characterised by challenge, authority and control by individuals over complete pieces of work. Jobs should comprise a range of tasks that optimise the development and use of a variety of competencies.

Job design and multiskilling in practice

APS jobs should be designed in accordance with objective standards which encourage the development of an individual's competencies while contributing to the goals of the organisation. People should be encouraged to participate in the process of job and work design.

Employees generally have a broader range of responsibilities than they had in the past, and they generally need to expand their range of skills in order to progress their careers. It is important that supervisors and human resource development strategies encourage people to improve their full range of skills which will also enhance their ability to adapt to the changing nature of work in the APS.

Responsible agencies

Job design is the responsibility of individual organisations. Guidance is provided by the Department of Industrial Relations.

Related elements

Job design and multiskilling are linked to other elements within the Framework, including: appointment, promotion and transfer; recruitment planning; career planning; mobility/exchanges; pay; entry level training; vocational education and training; management development programs; further education; communicating with people; and participative management.

Element: Position Classification Standards (Work Level Standards)

Objective

To provide a basis for consistent classification of positions across the APS through the application of criteria to assist in the determination of appropriate employment groups and the appropriate work level for positions.

Overview

A position classification standard is an official statement issued by the Department of Finance. It describes the work of an employment group and of the various work levels within the group.

The concept of an employment group or classification structure is basic to the APS system of job classification. The group or structure can be regarded as a family of jobs, the occupants of which perform similar types of work. Where possible, these structures are described by position classification standards. The standards describe the work of an employment group and the various levels within it according to accepted work value criteria.

As a result of the 'Second Tier' and ' Structural Efficiency Principle' Agreements, simplified classification structures were introduced in all areas of APS employment. The majority of people are now employed within five structures - the Administrative Service Officer, Senior Officer, Professional Officer, Technical Officer and General Service Officer structures, which have common pay points. This facilitates career opportunities for people, by providing lateral as well as upward mobility, and has allowed managers greater flexibility in the deployment of people within and between career streams. Under the Agreement - Improving Productivity, Jobs and Pay in the Australian Public Service 1992-1994, and its successor, the Interim Framework Agreement, Australian Public Service, there has been scope for adaptation of these structures to address particular requirements in individual agencies.

All classification structures in the APS contain a number of distinct levels which are differentiated by separate pay rates. The range and level of work undertaken at each classification level varies according to the degree of skill, responsibility and knowledge required. Position classification standards provide a basis for the consistent classification of work by setting out the criteria by which positions should be classified. Adherence to these standards as the primary basis of classification decision making is essential in maintaining the integrity of classification structures.

Effective use of work classifications which establish skill related career paths will provide an incentive for workers to continue to participate in skills formation.

Underlying principles

In exercising classification powers managers should ensure equity and consistency within and across departments by following the agreed position classification standards. The basic principle is that work of equal value should attract equal pay.

Position classification standards in practice

The primary consideration in classification assessment is the work value of the position. Factors relevant to the assessment of work value include the difficulty and complexity of the work, the skills and attributes necessary to perform the work, the responsibility and accountability requirements of the position, the level of communication, negotiation and supervision involved, any qualification requirements and the general working environment.

The APS operates within a position based framework. This means that positions are classified on the basis of the work required to be performed in the job rather than the particular qualities of the individual performing it. Managers can create, abolish and reclassify positions within the parameters of the agreed classification structures.

Responsible agencies

The Department of Industrial Relations is responsible for determining the classification structures to be used in the APS, and for developing and reviewing position classification standards, in consultation with the Department of Finance. Position classification standards are then issued by the Department of Finance.

Related elements

Position classification standards are linked to other elements within the HRM Framework, including: career planning; appointment, promotion and transfer; mobility/exchanges; EEO programs; pay; performance appraisal; managing underperformance; and vocational education and training.

Element: Workforce Statistics and Analysis

Objective

To provide data to support the achievement of corporate goals through the planning of strategic as well as operational human resource management.

Overview

The effective collection and analysis of workforce statistics enables the matching of broad demographic trends in the workforce and the APS with the specific requirements for skilled and qualified people to meet an agency's corporate aims.

This requires investment in internal statistical and analytical resources and systems which can, on the basis of the corporate plan, assist in identifying the skills and knowledge currently available among people. These systems should also identify the gaps which may need to be filled, the likely losses from movement or retirement, the impact of secondments, exchanges and leave entitlements and the timeliness and effectiveness of agency selection and recruitment processes.

It also requires access to broader statistics on the shape and size of the APS, the likely source, inside or outside the APS, of particular skills and qualifications, and any particular demographic trends - an ageing population or a shortage of officers at any particular level - that may need to be taken into account in human resource planning.

The collection and analysis of workforce statistics is essential for effective recruitment, career and succession planning. Allied to an effective skills audit, it also provides the basis for human resource development and EEO program planning.

Underlying principles

Workforce statistics and analysis support organisational efficiency and effectiveness by providing a firm basis for human resource planning and practice to meet corporate and portfolio goals.

Workforce statistics and analysis in practice

The internal collection and analysis of statistics require effective reporting systems, which may differ according to each agency's particular needs and interests.

Managers in line areas need to be kept informed of the ongoing results of analysis. Systems should support officers, be responsive to their needs and be easily accessible in the workplace.

Responsible agencies

Service-wide statistical data is made available by the Department of Finance from the 'Continuous Records of Personnel'. Consolidated statistics on the composition of the APS are published annually by the Department of Finance. The PSMPC publishes statistics annually on the SES.

Related elements

Workforce statistics and analysis relates closely to the Framework elements of: recruitment planning; career planning; succession planning; EEO programs; pay; and conditions.

Element: HRM Information Databases

Objective

To provide the information on which informed decisions can be made in relation to human resource planning, and the development of human resource policy.

Overview

HRM information databases usually include the gathering and use of data across a range of people management processes, ranging from appointment, promotion and transfer to probation, appraisal, training and development, and administration of pay and conditions.

Effective HRM information databases contribute to the efficient operation of organisations and provide a means for the effective communication of corporate values and culture. HRM databases also provide feedback to senior management and human resource planners on the effectiveness of HRM practices in the agency and on the demand for training and other development opportunities. Finally, HRM systems can provide a means of monitoring the operation of HRM reporting and review processes in an agency, including in relation to the probation period and to the performance appraisal cycle.

Another important aspect of HRM information databases is their ability to disseminate and apply the frameworks and guidelines issued by the central agencies with responsibility for overall APS policies and principles - the PSMPC, the Department of Industrial Relations and the Department of Finance.

Underlying principles

By ensuring effective collection and storage of information, HRM information databases contribute to efficiency and effectiveness in decisions regarding the management of people.

HRM information databases in practice

To be effective, HRM information databases have to be readily accessible to all people who need the information, including those in regional offices and outrider organisations. HRM systems need to be user-friendly, and convey information in a form that can be readily used by line managers. There are several proprietary makes of HRM information systems available to agencies, including NOMAD, ORION and PERSPECT.

In addition to proprietary and tailored HRM information systems, the Commonwealth Managers' Toolbox provides a CD-ROM based medium for accessing a range of legislation, guidelines and advisory materials spanning all areas of human resource management for the APS. The Toolbox is available to all APS agencies.

Responsible agencies

Individual agencies are responsible for establishing their internal HRM systems, including local policy guidelines and associated practices. Agencies may establish appropriate management information systems to manage their HRM data in accordance with their own requirements and as necessary to meet their various reporting obligations.

The Department of Finance has recently produced a publication which focuses on the use of HRM information systems in the APS - Toward Better Personnel Management: A Review of Personnel Management Information Systems.

Related elements

HRM information systems potentially encompass all elements of the Framework. In particular, however, they relate to organisational structure; workforce statistics and analysis; recruitment planning; appointment, promotion and transfer; separation; pay; conditions; induction and probation; performance appraisal; vocational education and training; management development programs; and further education.

Element: Recruitment Planning

Objective

To ensure that agencies recruit people with the required competencies and in the required numbers when they are needed.

Overview

Successful recruitment planning assists agencies in meeting their corporate objectives by developing strategies designed to recruit people with the right skills and attributes to work in the agency when needed. Recruitment planning forms an essential part of an agency's corporate planning process.

Recruitment planning should incorporate strategic (long-term) as well as operational (short-term) perspectives. APS managers should focus not only on filling current job vacancies but also on preparing for future needs having regard to the future requirements and goals of the agency.

Planning strategies must be supported by competitive pay structures and attractive conditions of service. Appropriate induction and ongoing training and development as well as structured rotations are important in enhancing the skills of people and maintaining motivation and morale.

Underlying principles

Recruitment planning should take into account the key principles of merit, equity, efficiency and effectiveness. There are no specific legislative provisions governing the planning process.

Recruitment planning in practice

The effectiveness of recruitment planning depends to a large extent on the reliability and quality of data available to managers.

An organisation's management information database should provide the necessary internal statistical information on such matters as current recruitment patterns, age profiles, staff turnover and career progression rates on which recruitment planning is based. There are also a variety of economic, political, industrial and social factors that can affect an agency's potential labour supply. Recruitment planning needs to include contingency provisions which recognise these variables and changing organisational priorities.

Managers can utilise various appointment, promotion and transfer strategies and practices when identifying how to meet an agency's staffing requirements. For example, forecast shortfalls in an the agency's middle or senior management ranks can be met by recruiting certain categories of employees, such as cadets or graduates, well in advance of anticipated requirements, recognising that these recruits will need extensive development and training.

Responsible agencies

Individual agencies are responsible for their recruitment planning.

Related elements

Recruitment planning is closely linked with the Framework elements of: workforce statistics and analysis; HRM information databases; succession planning; appointment, promotion and transfer; temporary performance; induction and probation; supervising people; orientation programs; and entry level training.

Element: Career Planning

Objective

To ensure that individuals are able to make informed and strategic choices and decisions about what they want from a career in the APS and how they might achieve it.

Overview

Career planning contributes to individual performance by empowering people to better match their talents, interests and development needs to their jobs. It contributes to corporate goals by facilitating the effective deployment and use of talent, experience and enthusiasm.

Career planning is the process of forming realistic career expectations and plans which take account of the opportunities available in the workplace and an individual's preferred lifestyle and goals.

Career planning is both an organisational and a personal responsibility. For individuals, this means that they know their own interests, skills and development needs while being aware of the opportunities available within their workplace and the wider APS. For agencies, good career management practice means providing people with practical opportunities to identify and meet their career development needs, and to become more mobile within their agency and the wider APS.

Essentially, career planning activities concentrate on the development needs of an individual - their identification and improvement - and the implementation of a plan to meet identified needs.

Good career planning practices can help to create a more skilled, creative and flexible workforce, and one which is committed to continuously improving its performance.

Underlying principles

Career planning contributes to efficiency and effectiveness by encouraging the best use of individual talent and experience. Officers also need to be aware of the fundamental link between merit and career progress in the APS. Career planning must take into account the need to compete on a merit basis for promotion as well as for lateral movement. Career planning also facilitates individual flexibility by helping officers to plan and to develop themselves beyond their current job responsibilities.

Career planning in practice

Agencies can promote good career planning practices and formalise their commitment to regular reviews of people performance and career development:

• through providing courses and workshops which help individuals to understand their strengths and weaknesses more clearly, and then to look at the opportunities available to them within their agency and the wider APS;
• by tailoring, including through skills and audit surveys, their training and development activities to the career needs of their people;
• by linking training and development activities to the performance appraisal process; and
• by marketing their training and development activities in a strategic framework which sets out the linkage between corporate goals and individual needs of people.

Responsible agencies

Career planning is the responsibility of the individual, and agencies can assist through providing courses and workshops which offer strategies and options for career planning.

The PSMPC conducts career management/career planning workshops for women, middle managers and the SES. For the SES, the PSMPC publishes a career development framework which charts the relationship between its SES development courses and the career needs of SES officers in each band.

Related elements

Career planning is linked to other elements of the Framework, including: executive management; job design and multiskilling; recruitment planning; succession planning; appointment, promotion and transfer; temporary performance; mobility/exchanges; further education; and communicating with people.

Element: Succession Planning

Objective

To contribute to the achievement of corporate goals by ensuring the availability of suitably qualified people to compete for key management, professional and support positions in agencies.

Overview

Succession planning contributes to the achievement of corporate goals by identifying key management and professional positions, by assessing the factors which may cause these positions to fall vacant and by providing strategies to identify and develop possible replacements. In this way, succession planning contributes to organisational performance and productivity by minimising disruption and discontinuity in filling positions which are critical to an agency functioning. This process is likely to be particularly important in timely filling of key management, specialist technical or professional positions.

Succession planning in the APS is aimed at identifying and, where necessary, developing people with the appropriate skills who may be available to fill vacancies, either through transfer at level or through providing an adequate field from which to make a selection. Succession planning in the APS must take account of, and be compatible with, public service principles and values, including appointment and promotion on the basis of merit and open competition.

An internal HRM statistical and analytical capability which can undertake attrition analysis, which can identify qualified replacements and the availability of particular skills linked to training and development programs is essential for effective succession planning. Rotations, secondments and exchanges provide opportunities to broaden the pool of skills and experience within an organisation and thus facilitate succession planning. Career planning gives individual officers the strategic career outlook which will enable them to develop themselves to complement succession planning. Succession planning is best undertaken in association with processes which ensure that the organisational structure is still relevant to corporate goals.

Underlying principles

Succession planning supports efficiency and effectiveness through facilitating the rapid replacement of lost skills and experience. However, it needs to take place within a framework of merit, equity and non-discrimination.

Succession planning in practice

Succession planning aims at encouraging and developing selection fields from which to fill critical vacancies. It should avoid a system or a culture in which this process can be confused with patronage and in which officers feel they have a right to succeed to particular positions.

Responsible agencies

Individual agencies are responsible for their succession planning.

Related elements

Succession planning relates closely to other elements of the Framework, including: recruitment planning; career planning; appointment, promotion and transfer; separation; invalidity retirement; vocational education and training; management development programs; further education; mobility/exchanges; retirement planning; communicating with people; and participative management.

References: Human Resource Planning

Organisational structure

The Fifth Discipline Fieldbook: Strategies and Tools for Building a Learning Organisation, Peter M Senge, 1994

Corporate Renaissance The Art of Reengineering, Kelvin F Cross, John J Feather and Richard L Lynch, 1994

The Australian Taxation Office: Modernisation Through People, Structures and Technology, John Mathews and Andrew Griffiths, 1992

Reglomania: The Curse of Organisational Reform and How to Cure It, Roy Gilbert, 1991

Under New Management: Australian Organisations in Transition, Dexter C Dunphy and Douglas Stace, 1990

Reforming the Public Sector: A Handbook for Public Sector Managers and Unionists, Andrea Shaw and the Labour Research Centre, Canberra 1990

Executive management

Senior Executive Service Statistics 1992-93, Public Service Commission, February 1994

Government Response to the Report of the Senate Standing Committee on Finance and Public Administration on the Development of the Senior Executive Service, Senator the Honourable Peter Cook, 15 October 1991

The Role of Secretaries of Departments in the APS, Occasional Paper No 8, Public Service Commission, March 1990

The Senior Executive Service 1984-89, Occasional Paper No 7, Public Service Commission, January 1990

Careers and Culture in the SES, Occasional Paper No 10, Public Service Commission, December 1990

Job design and multiskilling

Handbook of Australian Public Service Classification Management, Department of Finance, 1992

Reasonable Adjustment-Enabling the Manager to Focus on Ability, Public Service Commission, 1990

Participative Work Design, Department of Industrial Relations, 1988

Position classification standards

Handbook of Australian Public Service Classification Management, Department of Finance, 1992

Office Structures Implementation and Structural Efficiency Principle Implementation Circulars issued by the Department of Industrial Relations

Classification Guidelines and Circulars issued by the Department of Finance

Workforce statistics and analysis

APS Statistical Bulletin, covering each financial year published by Department of Finance

APS Staffing Statistics Report, covering each calendar year published by the Department of Finance

Implementation of Equal Employment Opportunity in the Australian Public Service 1993-1994: Trends and Strategies, Public Service Commission, 1994

HRM information databases

Toward Better Personnel Management: A Review of Personnel Management Information Systems, Department of Finance, 1994

Human Resource Management Information Systems: The Big Picture, Public Service Commission, 1990

Report on a Survey of Management Information Systems in the APS, Department of Finance and Public Service Board, 1985

Developing a Business Driven Information Technology Strategy, Department of Finance et al., 1981

Recruitment planning

Aboriginal and Torres Strait Islander Recruitment and Career Development Strategy, Department of Employment, Education and Training, 1991

Career planning

Six Careers: Women Managers in the Australian Public Service, Public Service Commission, 1992

Succession planning

Career Management and Succession Planning Study, John Oughton and Don Brereton, 1993

A Broader View of Succession Planning, Peter Wallum in Personnel Management Journal Vol, 25 September 1993

Paths to Leadership: Executive Succession Planning in the Federal Government, US NAPA, 1992

Nothing Succeeds Like Succession Planning, Yvonne Sarch in Human Resources Journal Vol 9, Spring 1993

Planning Successfully for Succession Planning, Cheryl Getty in Training and Development Journal Vol 47, November 1993

Key Area: Staffing Practices

Objective

To ensure fair and effective procedures and processes for the selection and deployment of people to meet organisational needs.

Overview

Effective staffing practices are based on the consistent and open application of the overall principles of merit and equity. Natural justice is also an important consideration.

Good practice indicators

The Public Service Act 1922 (the Act) prescribes merit in terms of relative suitability and relative efficiency as the basis for appointment to and promotion in the APS. The Act prohibits patronage and favouritism in relation to any staffing decision. It also prohibits, in relation to appointment, promotion or transfer, discrimination on the basis of political affiliation, race, colour, ethnic origin, social origin, religion, sex, sexual preference, marital status, pregnancy, age or physical or mental disability.

Equality of opportunity is essential to the effective operation of the merit principle.

Staffing practices essentially describe the systems in place to manage the movement of people into, within and out of the APS. These practices are crucial to the effective management of people as the key resource of the public service.

While managers in the devolved APS environment have a degree of flexibility to assist them in managing their people, they must exercise sound judgement, fairness and consistency when selecting and deploying their people. Poor staffing practices will have negative flow-on effects on productivity, morale and people turnover if left uncorrected.

Effective staffing practices are in place when:

• staffing practices and programs are fully understood and consistently applied across the agency;
• staffing processes are open and enable decisions to be made on the basis of merit where appropriate;
• people are fully informed of the reasons for staffing decisions, and have the opportunity to comment on them; and
• the agency has a current EEO program, which identifies any barriers to equity and ensures measures are taken to overcome them.

Element: Appointment, Promotion and Transfer

Objective

To select and place people through fair and equitable procedures to meet organisational needs.

Overview

Effective selection of people through appointment, promotion and transfer is pivotal in achieving organisational goals. People are the key resource in the APS. Successful selection strategies should be adopted to give effect to an organisation's recruitment planning activities. These strategies will ensure that the most suitable and efficient people available are selected.

Practices for appointment, promotion and transfer should be targeted at achieving quality in selection. Sound practices will result in better individual and organisational performance through efficiencies achieved in supervision, training and development. The benefits available to an agency through good appointment, promotion and transfer practices can be enhanced by appropriate induction, orientation and effective probation, and supportive career development strategies. Poor appointment, promotion and transfer practices can impair the achievement of organisational objectives.

Underlying principles

Merit is the basis for appointment and promotion decisions in the APS. The application of the merit principle entails adequate publicity; assessment against realistic standards; absence of unjustified discrimination, patronage and favouritism; and ranking on the basis of an assessment of suitability/efficiency. In addition, managers must take into account EEO principles and objectives and have regard to anti-discrimination legislation and administrative law requirements.

Managers may transfer people at level without undertaking a full merit selection. However, those transferring must still fulfil the requirements in relation to the avoidance of patronage, favouritism and unjustified discrimination.

APS appointment, promotion and transfer practices may be subject to a number of formal or informal channels of review.

In a devolved environment, APS managers have a great deal of flexibility in undertaking selection activities within the formal framework which governs HRM. This formal framework consists of the Public Service Act 1922 and Public Service Regulations, Determinations and PSMPC instructions and guidelines.

Appointment, promotion and transfer in practice

In filling vacancies, there is a variety of options available to managers to attract the best applicant. For above base non-SES vacancies, managers may choose to restrict the applicant field to APS staff, or to advertise internally as well as externally in the press. Transferring people within or between organisations is also an option. All base grade positions must be advertised in the press and the Commonwealth Employment Service as well as internally. Base grade Administrative Services Offices (ASOs) and Graduate Administrative Assistants (GAA) are recruited centrally. Special base grade recruitment programs are available for the recruitment of members of certain designated groups.

Several selection techniques are available to distinguish between applicants for vacancies. These include written applications, relevant selection tests, interviews, assessment centres, biodata questionnaires and reports from referees. It is important that the selection technique chosen is reliable, fair and valid, and that persons undertaking selections be trained in the appropriate technique. Poor selection techniques and processes often result in poor performance outcomes later.

Responsible agencies

The PSMPC has responsibility for establishing the policy framework for appointment, promotion and transfer. Centralised base grade recruitment is conducted for ASOs and GAAs by Recruitment Services Australia (Department of Employment, Education and Training) under policies and guidelines determined by the PSMPC. Individual agencies are responsible for the appointment, promotion and transfer of non-SES staff within the established policy and legislative framework.

Related elements

Effective appointment, promotion and transfer policies link closely with other Framework elements including: recruitment planning; temporary performance; redeployment; mobility/exchanges; career planning; supervising people; EEO programs; orientation programs; and entry-level training.

Element: Temporary Performance

Objective

To fill vacancies where it is essential that their duties be performed while they are temporarily vacant.

Overview

Temporary performance arrangements provide agencies with flexibility to fill short-term vacancies through temporary transfer at level or by temporary performance in a higher position (higher duties). Temporary performance arrangements also facilitate people gaining further experience in different duties at the same level or in a higher classification. The opportunities available to undertake temporary performance assists managers in developing the skills and experience of people and supports career development strategies.

Underlying principles

The core APS staffing principles of equity, merit, non-discrimination and the avoidance of patronage and favouritism apply to the use of temporary performance.

While the duties of a position are normally carried out by the substantive occupant, temporary performance may be required pending permanent filling of a vacancy or while the substantive occupant is on leave or performing other duties.

Temporary performance should be kept to a minimum and vacancies should be examined to consider other filling options and to determine whether the duties need to be performed.

Selection for higher duties must be based on the efficiency of the officer, the importance of the ongoing performance of the duties, the duration of the vacancy and the costs involved. For periods of three months or less, managers may take into account the need for officers to gain experience in the duties. For periods over three months the most efficient officer should be selected.

Temporary performance in practice

Agencies are able to determine their own criteria for filling temporary vacancies at level. For higher duties, consideration must be given to the factors discussed above and in particular the duration of the vacancy. Vacancies of more than three months should usually be advertised to attract a suitable field of applicants, and selection decisions may be appellable.

Responsible agencies

The PSMPC has responsibility for establishing the policy framework based on legislative requirements for the use of temporary performance. Individual agencies are responsible for the selection of officers for temporary placement in accordance with the policy and guidelines determined by the PSMPC.

Related elements

Effective use of temporary performance links closely with other Framework elements, including: appointment, promotion and transfer; flexible employment arrangements; recruitment planning; mobility; career planning; and EEO programs.

Element: Flexible Employment Arrangements

Objective

To provide working arrangements which meet the needs of the organisation and the needs of people.

Overview

In a changing society, flexibility in working arrangements which suit the work of the organisation and which attract people to the organisation, may be essential in recruiting and retaining quality people. In the APS, flexible working arrangements include: part-time work; home-based work; and fixed-term temporary employment.

An organisation's ability to provide flexible working arrangements is a key consideration in meeting corporate goals. These arrangements should also allow people to continue working with the organisation when their personal circumstances change, thereby assisting agencies and the APS to retain valuable expertise.

APS managers are faced with a number of options when deciding to fill a vacancy in the organisation. Managers are able to decide whether the vacancy should be filled on an ongoing (permanent) basis, or only for a specified period and whether the hours of duty should be full-time or part time. Managers also have the option of deciding whether the work should be performed in the usual office environment or at home.

Decisions made in this area affect the concept of the career service and should take into account the requirements of the organisation and the needs of people. Managers must balance productivity requirements against the diversity of employment needs in terms of achieving the goals of the organisation.

Decisions taken about the flexible employment arrangements follow on from the recruitment planning process and impact on the type of recruitment practice used to fill vacancies in the organisation. Decisions may also need to be made at any stage of a person's employment regarding, for example, permanent part-time work or home-based work.

Underlying principles

The key principles involved in this approach are merit, equity, efficiency, effectiveness, and industrial democracy.

The APS has been at the forefront of introducing flexible working arrangements in Australia. This approach recognises that many workers today have family responsibilities, and that these responsibilities should be recognised in determining how careers can be structured.

Flexible employment arrangements in practice

In making decisions about the flexible employment arrangements, managers and people must have regard to the Public Service Act 1922 (the Act) and the Public Service Regulations, permanent part-time work awards and International Labour Organisation Convention 156 on workers with family responsibilities. Division 2B of Part III of the Act deals with part-time officers and Division 10 with temporary employees. Home based work is covered by an interim award.

When filling vacancies, managers should examine the job description and selection criteria to ensure that they accurately reflect the requirements of the particular job. Managers should then consider the other variables that apply and establish the most effective means of staffing the particular vacancy.

While the occurrence of a vacancy represents an opportunity for managers to reassess the requirements of particular jobs, people can apply to vary their hours of work or apply to work from home at any time.

Responsible agencies

The PSMPC has responsibility for the policy aspects of temporary employment, permanent part-time work and home-based work. The Department of Industrial Relations is responsible for the conditions of service aspects of these arrangements.

Related elements

Flexible employment arrangements relate to other elements including: organisational structure; job design and multiskilling; workforce statistics and analysis; recruitment planning; appointment, promotion and transfer; temporary performance; EEO programs; pay; conditions; supervising people; and communicating with people.

Element: EEO Programs

Objective

To achieve a public service with a composition and values that reflect the Australian community as a whole.

Overview

The key areas and elements of HRM all operate within an overall framework of equal employment opportunity. EEO is a major strategy for the achievement of corporate goals and facilitating individual performance, in that it requires managers to fully utilise the potential of all their people and to develop their capacities. It also recognises that a diverse APS workforce not only reflects the diverse composition of the Australian population, but enhances strategies for the more effective delivery of programs and services to the Australian community.

A main aim of EEO programs is to remove barriers which interfere with the effective operation of the merit principle in relation to appointment and promotion, thus allowing all officers to compete for positions on an equal basis.

The concept of EEO covers principles, measures and programs. This element is concerned chiefly with EEO principles and the requirements relating to EEO programs, rather than details of measures that can be taken to integrate EEO into HRM. A number of ideas for such measures are included in the other elements of the Framework.

Agency EEO programs are the key vehicle for implementing EEO in the APS. These programs should be aimed at the elimination of unjustified discrimination in all aspects of HRM, including workforce planning, appointment, promotion and transfer, access to development opportunities, career paths, working conditions and the work environment. Programs should also promote the ongoing responsibilities of managers for fair and equitable treatment for all people.

The implementation of EEO should be linked with performance appraisal through the inclusion in performance agreements of criteria which address EEO responsibilities.

Underlying principles

EEO in the APS is based on the merit principle. This requires that job applicants be assessed in fair and open competition, according to their abilities, skills and personal qualities, and without discrimination, patronage or favouritism. The effective operation of all HRM principles is dependent upon a commitment to EEO and its integration in HRM practice. EEO principles require that the worth of the individual be respected, and that diversity, tolerance and flexibility be valued. Put into practice, EEO principles mean that:

• judgements are genuinely based on merit and not on stereotypes or discriminatory values;
• language is inclusive and not exclusive;
• people skills and abilities are measured equitably and balanced with experience;
• resources and assistance are provided in a way which accommodates differences between individuals and groups; and
• opportunities exist for considering claims of discrimination.

EEO programs in practice

Agency EEO programs are designed to ensure that action is taken to eliminate unjustified discrimination against the EEO groups of women, Aboriginal and Torres Strait Islander people, people with disabilities and people of non-English speaking background; and that measures are taken to enable members of EEO groups to compete for appointment, promotion and transfer and pursue careers in their agency and in the APS generally as effectively as other people.

Section 22B of the Public Service Act 1922 (the Act) provides the statutory framework for APS EEO programs. Section 33 of the Act precludes unjustified discrimination in relation to appointments, transfers and promotions.

The Act requires each APS agency to develop an EEO program which sets objectives, policies and procedures, and performance indicators for the effective implementation of EEO.

The implementation of EEO is guided by the PSMPC document Equal Employment Opportunity: A Strategic Plan for the Australian Public Service for the 1990s, published in 1993, which outlines objectives, strategies and performance indicators for EEO to the year 2000.

The PSMPC provides guidance for agencies on the development, planning, implementation and review of EEO programs. This guidance emphasises:

• the importance of a high level of management commitment to the implementation of the program;
• the need to incorporate the objectives of the EEO program into corporate planning and/or high level business and operational planning;
• the need to establish firm EEO performance indicators and mechanisms to hold managers accountable for their achievement;
• the need to involve people and unions in the development and implementation of the program;
• the need to take account of the particular interests of regional offices; and
• the allocation of adequate resources to support EEO programs and activities.

Guidance is also provided on the processes involved, such as setting objectives, establishing performance indicators and evaluation and monitoring methods.

Responsible agencies

The PSMPC has policy responsibility for approving EEO programs and monitoring continuing progress in relation to EEO in the APS. It assists agencies with the development, implementation and review of their programs and analyses Service-wide data and agency implementation reports. The Public Service Commissioner has a statutory responsibility to report on EEO to the Prime Minister through an annual report. To support these responsibilities, the PSMPC issues guidelines on EEO programs and related issues such as workplace and sexual harassment, and provides advice on good practice through a number of avenues.

A number of other agencies also have specific responsibilities related to EEO:

• the Department of Employment, Education and Training administers APS-wide base grade entry arrangements and the Aboriginal and Torres Strait Islander Recruitment and Career Development Strategy;
• the Department of Industrial Relations has policy responsibility for workers with family responsibilities and English language in the workplace;
• the Department of Finance maintains the Continuous Record of Personnel, the database which records career information, including EEO data on permanent officers;
• the Human Rights and Equal Opportunity Commission administers legislation covering human rights, sex, race and disability discrimination; and
• the Merit Protection and Review Agency provides a mechanism for people to raise any concerns related to discrimination and EEO, as part of the more general grievance process.

Related elements

EEO programs provide the vehicle for implementing EEO in the APS. To be effective, they need to ensure the integration of EEO principles into the full range of HRM activities. As such, in any work undertaken on any of the elements of the Framework, reference should be made to the agency's EEO program to ensure that any relevant provisions are incorporated.

Element: Redeployment

Objective

To ensure an adequate supply of skilled and well qualified people are retained in the APS.

Overview

Redeployment of people to suitable positions is an effective way of dealing with excess staff.

Redeployment allows managers a degree of flexibility in placing people into jobs. It also provides staff with a greater range of career options.

Underlying principles

APS managers are responsible for the redeployment of people. The key principles underpinning redeployment are equity, efficiency, and effectiveness. Timeliness and sensitivity are also important considerations in redeployment.

Redeployment in practice

Agencies need to anticipate and plan for restructuring. Redeployment should be the first consideration in an excess staff situation. In the current environment, where substantial numbers of officers may become excess, it is essential that those people who wish to pursue a career in the APS are viewed as people with potential. There are benefits in redeployment where this is practical. The costs of redundancy on the one hand and recruitment and training of new people on the other can be significantly reduced by effective redeployment.

Managers involved in the redeployment of excess staff must have regard to the Agreement Improving Productivity, Jobs and Pay in the APS 1992-1994, the APS Redeployment and Retirement (Redundancy) Award 1987, the Public Service Act 1922, and the Excess Staff Instructions.

Agencies are required to consider their own excess people for suitable vacancies in their agency before advertising. Where practicable, agencies should arrange inter-agency redeployment for their excess officers.

All excess people who seek redeployment must be referred to the APS Labour Market Adjustment Team of the Public Service and Merit Protection Commission. Where an excess person declines an offer of voluntary retrenchment, the APS Labour Market Adjustment Team and the responsible agency will continue redeployment efforts until the end of the officer's retention period.

An excess person seeking transfer to an advertised vacancy is considered in isolation from, and not in competition with, other applicants. An excess person is expected to be transferred to a position at or below the person's level where the officer is able to perform the duties of the position efficiently, either immediately or within a reasonable period.

Responsible agencies

Agencies have primary responsibility for the redeployment of people. Excess staff seeking redeployment must be referred to the APS Labour Market Adjustment Team of the PSMPC.

Related elements

Redeployment is related to other elements of the Framework including: organisational structure; career planning; appointment, promotion and transfer; management of ill and injured workers; managing underperformance; retirement planning, and separation. Redeployment can also be assisted in some cases by appropriate vocational education and training programs.

Element: Retirement Planning

Objective

To provide people with information and advice to help them make realistic decisions about retirement and to cope with post-work lifestyle decisions.

Overview

Retirement planning may be provided through a programmed course or through providing individual or group access to consultants. In various forms, it can be provided to voluntary and involuntary, age and invalidity retirees.

Retirement programs and activities demonstrate a commitment to, and concern for, the dignity and interests of retirees and potential retirees. It indicates that the organisation's concern for the welfare of its people does not diminish when their employment is to cease.

Retirement planning programs and activities may need to be linked to the career and succession planning processes so that allocation of time and resources to retirement planning takes account of likely demand. The provision of effective advice on retirement should include authoritative advice on the complex issue of superannuation entitlements and this should be obtained from ComSuper.

Underlying principles

The provision of retirement planning assists equity by ensuring that all people have access to adequate information on which to make decisions and plans about retirement.

Retirement planning in practice

Retirement planning can vary according to the circumstances of the retirement and the needs and interests of the individual. It may include the provision of financial counselling to people contemplating voluntary retirement, or lifestyle counselling for those who have agreed to it. Retirement planning can also address health and personal issues associated with leaving the workforce.

While the nature of retirement planning may vary across the APS, it is important, in the interests of equity and fairness, to minimise inconsistencies of access within each agency.

Responsible agencies

The provision of retirement planning is the responsibility of individual agencies. There is no overall policy on retirement planning, and its form and content are the responsibility of individual agencies. In its response to the report of the Senate Standing Committee on Finance and Public Administration on the development of the SES, the Government made a commitment to the provision of career counselling for displaced SES officers. The nature of the counselling is to be determined by individual agencies.

ComSuper is responsible for the administration of superannuation arrangement in the APS. A range of information for retirees is available from agencies' personnel sections.

Related elements

Retirement planning embraces several other elements of the Framework including: redeployment; recruitment planning; career planning; succession planning; superannuation; separation; invalidity retirement; mobility/exchanges; and communicating with people.

Element: Separation

Objective

To manage separation procedures in a cost effective way that encourages the retention of quality people.

Overview

For the purposes of this document the term separation includes resignation, early and maximum age retirement, voluntary retrenchment, involuntary retirement, dismissal, forfeiture of office, forfeiture of employment and death.

Separation rates in the APS fluctuate in relation to the overall economic environment and the availability of alternative employment opportunities. In this context, effective management of the separation process will ensure that the best people are retained by an agency to assist in achieving corporate goals and objectives and maximising corporate performance.

Separation rates can be minimised by offering attractive salary and conditions of service and through appropriate induction, training, mobility, and career development opportunities. High separation rates are a costly and inefficient use of resources and can have a disruptive effect on the organisation. They can also be an indicator of poor organisational morale and of organisational failure in implementing change.

Underlying principles

The key principles underpinning separation are equity, efficiency, effectiveness, industrial democracy and accountability. Another important consideration is natural justice.

Separation in practice

Best practice in managing separation involves providing a work environment that encourages the retention of quality people. Separation other than through resignation or voluntary early age retirement is an important part of a performance management strategy and must be linked to strategic directions and goals, implementation of reforms and the development of broader people management policies and practices.

Separation, as a management tool, should only be considered as a last resort in situations where other measures for managing underperformance have been ineffective, or where redeployment attempts have been unsuccessful. Appropriate incentives are provided under awards and legislation to encourage people to separate in certain circumstances.

Where people elect to separate voluntarily from the APS, it is essential that they be fully advised of all the consequences of the decision. A resignation, once submitted and formally accepted, cannot legally be withdrawn.

Reasons for voluntary separation should be monitored by agencies through exit interviews.

Responsible agencies

The PSMPC has policy responsibility for separation arrangements in the APS.

Related elements

Separation embraces several other elements of the Framework including: succession planning; appointment, promotion and transfer; superannuation; conditions; management of ill and injured workers; invalidity retirement; managing underperformance; ethics and managing conduct; redeployment; and retirement planning.

References: Staffing Practices

Appointment, promotion and transfer

SES Selection: Principles, Guidelines and Good Practice, Public Service Commission, 1995

Australian Public Service Employment Information: Entry and Career Path Requirements (P15 Gazette), Public Service Commission, 1994

Appointment to the Australian Public Service pamphlet, Public Service Commission, 1990

Staff Selection Guidelines, Streamlining Booklet No. 5, Public Service Board, 1987

Transfer and Promotion, Streamlining Booklet No. 3, Public Service Board, 1987

Recruitment, Appointment and Probation, Streamlining Booklet No. 1, Public Service Board, 1986

Guidelines on the Application of Additional Selection Criteria in the Selection of Administrative Service Officers Class 1 and Administrative Service Officers (Aboriginal Services) Class 1, Personnel Management Guidelines, Public Service Commission, 1994

Introduction of Two Additional Selection Criteria for ASO1 Recruitment and Revised Selection Arrangements for ASO (Aboriginal Services) Class 1 and Office Trainees who are Aboriginal or Torres Strait Islander, Public Service Commission Circular 1992/12, 24 January 1992

Guidelines on Generic Duty Statements and Selection Criteria, Joint circular issued by the Public Service Commission and the Departments of Finance and Industrial Relations, 1990

Joint Selection Committees pamphlet, Merit Protection and Review Agency, 1994

Guidelines on Identified Positions, Public Service Commission Circular 1992/9, 28 July 1992

Intellectual Disability Access Program Guidelines, Public Service Commission 1992

Intellectual Disability Access Program Information Kit, Public Service Commission, 1992

Appeals against Promotions and Temporary Performance Directions pamphlet, Merit Protection and Review Agency, 1994

Review of Non-Appellable Promotions pamphlet, Merit Protection and Review Agency, 1994

Keeping of an Appointment under s.42 of the Act, Public Service Commission Circular 1994/35, 29 November 1994

Appointment of Retrenched Commonwealth Staff, Public Service Commission Circular 1994/24, 5 September 1994

Proposed Amendments to Base Grade Recruitment and Selection Arrangements, Public Service Commission Circular 1994/15, 15 July 1994

Prime Minister and Cabinet (Miscellaneous Provisions) Act 1994: Amendments to Public Service Act 1922, Public Service Commission Circular 1994/10, 9 June 1994

Health and Physical Fitness Requirements for Appointment/Confirmation of Appointment in the APS, Public Service Commission Circular 1993/18, 13 October 1993

Appointment to the APS of Retrenched Commonwealth Staff, Public Service Commission Circular 1993/14, 29 September 1993

Outcomes of the Review of Base Grade Recruitment, Public Service Commission Circular 1993/3, 15 January 1993

APS Workplace Bargaining Agreement Implementing Changes to Service Wide Arrangements, Public Service Commission Circular 1992/19, 23 December 1992

APS Employment of Retrenched Commonwealth Staff - Amended Delegation of Power to Appoint Persons to the APS, Public Service Commission Circular 1992/18, 23 December 1992

Appointment of Staff to the Australian Public Service following Resignation to Care for Young Children, Public Service Commission Circular 1990/18, 20 September 1990

Delegation of Powers under Section 47B of the Public Service Act, Public Service Commission Circular 1990/21, 18 September 1990

Changes to Medical Standard for Appointment/Confirmation of Appointment to the Australian Public Service, Public Service Commission Circular 1990/13, 28 June 1990

Temporary performance

Appeals against Promotions and Temporary Performance Directions pamphlet, Merit Protection and Review Agency, 1994

Temporary Performance Unattachment, Streamlining Booklet No. 4, Public Service Board, 1987

Flexible employment arrangements

New Temporary Employment Arrangements in the APS, Public Service Board Circular 85/8046, 18 June 1986

Temporary Employment - Extension of Referral Services, Public Service Commission Circular 1992/17, 15 December 1992

Temporary Employment - Trial of Recruitment Through Recruitment Services Australia, Public Service Commission, Circular 1995/2, 10 February 1995

Revised Temporary Employment Arrangements - Appointment of Temporary Employees, Public Service Commission Circular 1992/16, 17 December 1992

Temporary Employment, Public Service Commission Circular 1993/17, 24 December 1993

Australian Government Employment Permanent Part Time Work (ACOA) Award, Public Service Board Circular 86/4240 of 13 May 1986. (There are a number of other circulars issued by the Public Service Board and the Department of Industrial Relations relating to the operation of other PPTW awards)

APS Workplace Bargaining Agreement Implementing Changes to Service Wide Arrangements, Public Service Commission Circular 1992/19, 23 December 1992

Parental Leave Test Case - Implications for Permanent Part Time Work, Public Service Commission Circular 1994/11, 15 June 1994

Interim Home Based Work Award, February 1994

Home Based Work Interim Award Information Kit, Department of Industrial Relations

EEO programs

EEO: A Strategic Plan for the APS for the 1990s, Public Service Commission, 1993

EEO Programs Guidelines 1 and 2 Updated, Personnel Management Guidelines, Public Service Commission, 1990

Further Steps Forward - EEO into the 1990s, Public Service Commission, 1992

Eliminating Workplace Harassment Guidelines, Public Service Commission, 1994

Focus on Ability, Your Guide to the Employment and Career Development for People with a Disability in the APS, Public Service Commission, 1990

Focus on Ability, Reasonable Adjustment, Enabling the Manager to Focus on Ability, Public Service Commission, 1990

Intellectual Disability Access Program Guidelines, Public Service Commission, 1992

Intellectual Disability Access Program Information Kit, Public Service Commission, 1992

Aboriginal and Torres Strait Islander Recruitment and Career Development Strategy, Department of Employment, Education and Training, 1991

Maximising Diversity, A Report on the Employment of People of Non-English Speaking Background in the APS, Public Service Commission, May 1990

Joint Council Papers on Women in Non-traditional Areas of Employment, Personnel Management Guidelines, May 1990

Accents are Everywhere pamphlet, Public Service Commission, 1992

Redeployment

Career Transition Services for Surplus and Excess Officers in the APS pamphlet, Public Service Commission, 1994

Redeployment and Restructuring Services for APS Organisations with Surplus and Excess Officers pamphlet, Public Service Commission, 1994

The APS Agreement Improving Productivity, Jobs and Pay in the Australian Public Service 1992-1994, Department of Industrial Relations, 1992

Excess Staff, Streamlining Booklet No. 7, Public Service Board, 1987

APS Redeployment and Retirement (Redundancy) Award 1987

Retirement planning

Financial Planning for SES Officers, Public Service Commission, 1994

Your Life and Money in a Changing World, Occasional Paper No 1, Public Service Commission, 1989

Separation

Separation pamphlet, Public Service Commission, to be published in 1995

Resignation pamphlet, Public Service Commission, to be published in 1995

Retirement pamphlet, Public Service Commission, to be published in 1995

Fair and Equitable Treatment of all People Affected by an Excess Staff Situation, Public Service Commission Circular No. 1994/14, 16 September 1994

Managing Underperformance - Inefficiency Procedures, Public Service Commission, March 1993

Guidelines for Handling Displaced SES Officers, Public Service Commission, 1992

Forfeiture of Office pamphlet, Public Service Commission, 1990

Discipline Handbook, Public Service Commission, June 1988

Excess Staff, Streamlining Booklet No. 7, Public Service Board, 1987

Age Retirement, Early Retirement, Streamlining Booklet No. 9, Public Service Board, 1987

Key Area: Remuneration and Conditions

Objective

To ensure the attraction and retention of people, and the enhancement of their performance, through appropriate pay and conditions.

Overview

Pay and conditions of employment applying in the APS are intended to reasonably remunerate people for the work they perform, and take into account their skill, experience and working environment.

APS pay policy has a major focus on remuneration for productivity improvements.

APS conditions of employment are intended to contribute to the quality of working life and provide a means of attracting and retaining high calibre people.

The introduction of agency bargaining in the APS maintains the commitment to providing appropriate remuneration packages for people. The first ' Framework Agreement' between the Commonwealth and the public sector unions included as one of its objectives to:

"provide certainty, stability and equity in relation to overall Service-wide pay and conditions arrangements for the period of the Agreement by maintaining awards complemented by appropriate certified agreements."

Good practice indicators

Effective remuneration and conditions arrangements are in place when:

• people have access to relevant information on their pay and conditions of employment and superannuation, preferably at induction;
• managers are acquainted with conditions of employment applying to their people;
• systems for administration of conditions are as simple as possible;
• any changes or variations in applying conditions follow consultation and consideration of people's family responsibilities; and
• there is a framework of conditions which meets the needs of a diverse workforce as shown by comparative application and retention rates.

Element: Pay

Objective

To establish fair and reasonable remuneration for people employed in the APS by providing core pay and classification structures and appropriate career paths.

Overview

Pay fixation in the APS reflects the Government's general wages policy favouring decentralised wage determination linked to improvement in productivity, efficiency and flexibility. The Agreement between the Government and unions, which introduced workplace bargaining in individual APS agencies, was called Improving Productivity, Jobs and Pay in the Australian Public Service 1992-1994. It enabled APS agencies and unions to enter into agency level negotiations to improve the productivity, efficiency and flexibility of agencies. Benefits are shared by employees generally (in the form of supplementary pay and enhanced conditions of employment), clients of the agency, the agency and the Government on the taxpayers' behalf.

The Agreement provided three general pay increases for all APS staff, the introduction of performance pay, and set out the framework for agency agreements and the principles for agency bargaining. Base rates of pay set out in the Agreement apply for its duration. Agencies may negotiate supplementary pay as part of workplace bargains consistent with the framework for agency agreements and the principles for bargaining.

The Agreement is replaced by the Interim Framework Agreement, Australian Public Service which continues the framework for agency bargaining while increasing base rates of pay with the objective of avoiding any ongoing discrepancies between salaries arising from agency agreements.

APS classification structures were modernised prior to the introduction of workplace bargaining. The revised pay and classification structures were designed to underpin improvements in efficiency and productivity and to provide more satisfying and equitable jobs. The restructuring saw the development of core pay and classification arrangements which provided a solid foundation for the move to workplace bargaining in the APS.

The core pay and classification structures within the APS provide an important foundation to the maintenance of the career service and enable mobility within and between APS organisations.

Underlying principles

Appropriate pay arrangements contribute to the efficiency and effectiveness of APS agencies.

These principles will be renewed, refined or revised as part of the successor framework arrangements to the APS Agreement.

The maintenance of flexibility within the APS is a further consideration.

Pay in Practice

Pay rates are currently paid under paid rates awards. The Department of Industrial Relations (DIR) manages the wages process at the Service-wide level in the APS and represents the Government, in consultation with other agencies, in negotiations with unions to define the framework for settling wages and productivity arrangements at the Service-wide and individual agency level. The current framework for negotiating agency level wage and productivity agreements is contained in the APS Agreements discussed in the Overview of this publication.

Responsible agencies

DIR provides agencies with Service-wide base rates of pay and is responsible for maintaining the core APS pay and classification arrangements. DIR also provides advice and assistance to agencies and the community on rates of pay and related matters including performance pay, as well as guidelines and advice on Service-wide aspects of the payment of performance pay to Senior Executives and Senior Officers in the APS.

Payment of APS staff is managed by the Department of Finance.

Related elements

Agencies can provide details of supplementary productivity pay applicable to their own agencies. Agencies should also ensure people have up-to-date information on pay arrangements. New starters and potential staff should be aware of pay and classification structures and have access to personnel who can provide assistance in relation to queries on pay matters.

Pay has links with several other elements of the Framework including: position classification standards; appointment, promotion and transfer; superannuation; performance management; incentives and rewards; job design; position classification standards; and organisational structure.

Element: Superannuation

Objective

To provide income security in retirement and the option of superannuation as a discretionary component of remuneration in the APS.

Overview

Superannuation has been an integral part of the conditions of employment for members of the APS since 1922. There have been a number of statutory schemes introduced over the years. Current arrangements centre on the operation of the following schemes:

• the Commonwealth Superannuation Scheme (CSS), established under the Superannuation Act 1976, which has been closed to new members since 30 June 1990; and
• the Public Sector Superannuation Scheme (PSS), established under a Trust Deed in the form set out in the Superannuation Act 1990. Membership of this scheme is required for all permanent appointees to the APS as a condition of that employment. Temporary, fixed term and casual appointees are subject to discretionary eligibility arrangements.

Underlying principles

Superannuation is underpinned by the principle of equity.

Superannuation in practice

The CSS and PSS are superannuation schemes with benefits derived from two distinct sources: a member financed component, comprising member contributions and interest; and an employer financed component, which includes the productivity superannuation component. Contributions to the CSS are set at five percent of salary for superannuation, with an option to make additional contributions to a maximum of ten percent of salary. Variations are subject to restrictions. Contributions to the PSS are quite flexible. Members can contribute between two and ten percent of their salary on a fortnightly basis. Contributions can be changed, up or down, at any time to suit individual financial circumstances.

CSS benefits are primarily pension based. PSS benefits are primarily lump sum orientated, but pension options are also available. The benefits are payable on all forms of retirement, although invalidity retirement is subject to the Boards of Trustees' approval. Benefits are payable to dependants, or the deceaseds' estate, in the event of the death of a member or recipient member of the schemes.

The Superannuation (Productivity Benefit) Act 1988 caters for temporary and casual staff excluded from membership of the PSS by the discretionary eligibility rules, and facilitates employers meeting their minimum obligations under the Superannuation Guarantee legislation. The main scheme under these arrangements is the Australian Government Employees Superannuation Trust (AGEST), administered by Jacques Martin Industry. AGEST is also the designated fund for receipt of APS performance pay superannuation components. There are a number of other superannuation funds approved for these purposes.

Responsible agencies

The CSS and PSS schemes are administered on behalf of the Boards of Trustees by ComSuper. The Boards provide a range of information booklets and leaflets relating to membership of the two schemes to personnel sections for distribution to members. The Boards also produce annual member information statements that comply with the requirements of the Superannuation (Industry) Supervision Act 1993. Comprehensive 'new starter' kits are available on request for the information of new appointees.

Related elements

Primary responsibility for scheme membership activities rests with agency personnel sections, which report commencements, variations and cessations to ComSuper through the Finance Pay system or by other means. ComSuper publishes a range of documents and database tools for personnel officers, and provides training courses.

Policy issues are determined by the Minister for Finance and the Government. The Department of Finance provides policy advice to the Minister and the Government.

Superannuation impacts on several other elements within the Framework, including: redeployment; retirement planning; management of ill and injured workers; separation; induction and probation; career planning; mobility/exchanges; pay; supervising people; incentives and rewards; managing underperformance; and communicating with people.

Element: Conditions

Objective

To ensure the attraction and retention of quality people, and the enhancement of people's performance, through the provision of fair and reasonable conditions of employment.

Overview

Conditions of employment have a major impact upon people's total remuneration entitlements. APS conditions of employment are intended to contribute to the quality of working life and provide a means of attracting and retaining high calibre people. Generally, APS conditions of employment are at or above community standards.

The encouragement of workplace bargaining in agencies is aimed at achieving ongoing improvements in productivity and efficiency and enhanced performance of the APS. Agency negotiations aimed at achieving demonstrable improvements in the productivity, efficiency and flexibility of the agency may result in variations to specific conditions of employment. However, essential standards of employment conditions such as hours of work, public holidays, recreation, sick and long service leave, parental leave and redeployment and redundancy arrangements must be maintained. The application of these essential standards can be varied by agreement in accordance with the Principles in clause 9 of the Agreement, Improving Productivity, Jobs and Pay in the Australian Public Service 1992-1994, and the Interim Framework Agreement, Australian Public Service.

Underlying principles

Conditions of employment are founded on the principles of equity, efficiency and non-discriminatory application to all people eligible for a particular condition.

Terms and conditions of employment in the APS also need to recognise the needs of people with family responsibilities.

The achievement of greater flexibility in employment arrangements can have direct benefits for people and management.

Conditions in practice

Agencies should ensure that people have access to relevant information on their conditions of employment and superannuation. This should form a major part of induction and orientation procedures. Systems for administering conditions should be as simple as possible. Many conditions approval arrangements can be successfully devolved to line areas.

Conditions of employment, other than superannuation, are set out in a variety of instruments including:

• Acts of the Commonwealth Parliament;
• Determinations made under the Public Service Act 1922;
• awards and Service-wide agreements of the Australian Industrial Relations Commission; and
• certified agency agreements.

Responsible agencies

The Department of Industrial Relations has responsibility for Service-wide conditions of employment in the APS and for providing advice to departments and agencies. Many conditions approval arrangements have been devolved to line agencies.

Under the Framework Agreement between the Commonwealth and public sector unions, individual agencies are free to negotiate a wide range of conditions issues with their people and workplace unions.

The ComSuper has operational responsibility to the Boards of Trustees for the principal superannuation schemes covering the APS. The Department of Finance has policy advising responsibility for all the superannuation arrangements covering Commonwealth sector civilian employees.

Related elements

Conditions has links with several other elements of the Framework including: organisational structure; career planning; flexible employment arrangements; EEO programs; pay, superannuation; work environment; invalidity retirement; performance appraisal; incentives and rewards; and retirement planning.

Element: Work Environment

Objective

To achieve corporate goals by improving productivity through the development of safe and healthy working environments.

Overview

A positive, safe and healthy environment in the workplace contributes to improved morale and work performance. It assists to reduce absenteeism and minimise the rates of injury and illness.

The effective establishment and maintenance of this environment will usually only be achieved when there is a co-operative and consultative relationship between management and their people. It is dependent upon many factors, but both the physical and psychological needs of the agency and the individual should be considered.

Strategies for change within the workplace, whether due to broad policy decisions or internal (more local) change, need to consider the impact of that change upon the work environment. They need to incorporate health and safety factors, particularly when the change involves new technologies.

Diversity within the workplace should also be acknowledged and flexibility of practice developed to ensure the maximum contribution of all elements of the workforce.

Underlying principles

Under legislation, agencies, through their managers and supervisors, are responsible for the development and maintenance of safe and healthy workplaces.

Positive work environments which consider the needs of all parties contribute to improved efficiency and effectiveness.

The provision of safe and healthy workplaces, conforming to all available standards, helps to prevent work related injury and illness and meets equity considerations by ensuring similar standards of work environments across the APS.

Work environment in practice

The term 'work environment' now covers a range of situations from standard office accommodation to private homes and other non-standard arrangements. The term also includes psychological factors such as stress, and other non-physical factors. This diversity means that a broad range of health and safety issues need to be dealt with and that consultation and co-operation have an even more important role to play in the achievement of positive results. Accordingly, managers, supervisors and their people require wider and different skills to deal with this and agencies should ensure that these skill requirements form part of human resource development plans.

The formal health and safety requirements within the APS are set out in the Occupational Health and Safety (Commonwealth Employment) Act 1991. The Act covers Commonwealth departments, authorities and government business enterprises. It requires agencies to develop policies, in co-operation with employees and their associations, that promote and develop measures to ensure the health, safety and welfare of people.

Responsible agencies

Comcare has responsibility for the administration of the Act. Its role is to ensure that the legislation is implemented and that regulations and codes of practice are developed and adopted.

The maintenance of a safe and healthy work environment in accordance with the relevant guidelines, legislation and associated codes of practice is the responsibility of individual agencies. Policy advice may be sought from Comcare in relation to specific occupational health and safety issues; from the Department of Industrial Relations and Comcare in relation to home based work; and from DIR and the PSC on other more general issues.

Related elements

Work environment is related to many other elements within the Framework, including: job design and multiskilling; HRM systems; recruitment planning; EEO programs; management of ill and injured workers; redeployment; invalidity retirement; induction and probation; supervising people; communicating with people; participative management; consultative arrangements; and grievance resolution.

Element: Management of Ill and Injured Workers

Objective

To ensure that ill and injured workers are assisted in their rehabilitation and their productive return to the workplace.

Overview

Effective strategies for managing ill or injured workers can contribute significantly to improving productivity and achieving organisational goals. They are important in making the best use of people and in maintaining morale.

A positive response by managers to the health problems of ill or injured workers is important in dealing with cases where attendance or work performance is affected by illness or injury. Such an approach is likely to reduce lengthy absences from work and increase the likelihood of a successful return to the workplace.

Effective management of ill and injured workers will achieve long-term improvements in efficiency and reduce the likelihood of invalidity retirement. Poor practices in this area will result in increased use of sick leave and increased compensation and administrative costs.

Underlying principles

APS managers are responsible for managing cases involving ill and injured workers. Equity, efficiency, and industrial democracy are the key principles which underpin this process. Flexibility and privacy are further important considerations.

Management of ill and injured workers in practice

The policy and procedures relating to the management of ill and injured workers are contained in the Public Service Act 1922 and the Public Service Regulations and, in cases where compensation is involved, in the Commonwealth Employees' Safety, Rehabilitation and Compensation Act 1988. The handling of medical information is subject to the provisions of the Privacy Act 1988 and the Guidelines on the Keeping of, and Access to, Personal Records.

Good practice in managing ill and injured workers involves early intervention by management and regular contact with individuals throughout the recovery or rehabilitation process.

Cases should be carefully documented and there should be close co-operation between managers and individuals when developing options to return to work. Redeployment to alternative duties may be considered in some instances. When identifying appropriate duties for ill or injured employees, managers should take into account the principle of reasonable adjustment. There should also be regular monitoring of an individual's progress after returning to work.

Responsible agencies

Agencies are responsible for managing cases involving illness or injury.

Related elements

Management of ill and injured workers is related to many other elements within the Framework, including: mobility/exchanges; separation; superannuation; conditions; working environment; redeployment; invalidity retirement; supervising people; and communicating with people.

Element: Invalidity Retirement

Objective

To provide a structured and efficient means of separation of those people who are totally and permanently incapacitated for work.

Overview

The interests of people and the overall interests of the APS are best served by good occupational health and safety policies and practices which minimise the need for invalidity retirement and the associated social and financial costs.

The incidence of invalidity retirement depends in part on the effectiveness of an organisation's approach to managing ill and injured workers. Successful case management, involving early intervention by management, structured return to work arrangements and full consideration of redeployment options, can contribute to reducing costly absenteeism and minimising invalidity retirement.

Underlying principles

The key principles governing invalidity retirement are equity, efficiency, and effectiveness. Other important considerations are privacy and natural justice.

Invalidity retirement in practice

Under the legislation governing the Commonwealth Superannuation Scheme (CSS) and the Public Sector Superannuation Scheme (PSS), a Secretary of a department may not retire a CSS or PSS contributor (other than a member of the PSS who is at least 60 years of age) unless the relevant superannuation Board of Trustees is satisfied that the person is entitled to invalidity benefits. The relevant Board may approve invalidity retirement only where it is satisfied that, because of a mental or physical condition(s), it is unlikely that the contributor will ever be able to work in any employment or hold any office for which the person is reasonably qualified by education, training or experience or could become reasonably qualified after retraining.

Secretaries are not required to seek the trustees' approval to retire on invalidity grounds persons not covered by the CSS or the PSS, but their eligibility for benefits would be governed by the rules of any superannuation scheme they are in.

Invalidity retirement provisions are contained in Divisions 8B and 8C of Part III of the Public Service Act 1922. The provisions of the Superannuation Act 1976 and the Superannuation Act 1990 are relevant to the retirement of superannuation contributors on invalidity grounds. The Privacy Act 1988 and the Guidelines on the Keeping of, and Access to, Personal Records published by the PSMPC apply to the handling of medical information.

Responsible agencies

The Commissioner for Superannuation has responsibility for the administration of superannuation arrangements and for advising agencies on invalidity retirement issues.

Related elements

Invalidity retirement is related to many other elements within the Framework, including: separation; superannuation; conditions; working environment; management of ill and injured workers; redeployment; supervising people; and communicating with people.

References: Remuneration and Conditions

Pay

Personnel Management Manual Volumes 2 and 8

Improving Productivity, Jobs and Pay in the Australian Public Service 1992-1994, Department of Industrial Relations, 1992

Interim Framework Agreement, Australian Public Service, Department of Industrial Relations, 1995

Individual Agency Workplace Bargaining agreements

Supported Wage System. A New Choice for Some People, Supported Wage Management Unit, Department of Human Services and Health, 1994

Superannuation

Commonwealth Superannuation Board of Trustees No 1, Annual Report, 1993-94 (PSS)

Commonwealth Superannuation Board of Trustees No 2, Annual Report, 1993-94 (CSS)

Commissioner for Superannuation Annual Report (ComSuper), 1993-94

The Super Book-PSS Scheme Handbook, Retirement Benefits Office, 1992

Your Super Scheme-CSS Scheme Handbook, Retirement Benefits Office, 1992

SuperNews newsletters Nos 1-23, ComSuper, February 1993 onwards

Superannuation Circulars No RBO A1 to A49, September 1990-February 1994

Superannuation Circulars No ComSuper A1 onwards, March 1994 to date

PSS Scheme Leaflets, reprinted annually:
Summary of the Scheme
Temporary, Casual and Part-time Workers
Additional Death and Invalidity Cover
Transfer of Entitlements into the Scheme
The Productivity Benefit
Preservation of Benefits
Death Benefits
Maximum Benefit Limits
Reasonable Benefit Limits
Taxation of Benefits

CSS Scheme Leaflets, reprinted annually:
Preservation of Benefits
The Productivity Benefit
Death Benefits
Reasonable Benefit Limits
Taxation of Benefits

Conditions

Awards of the Australian Industrial Relations Commission applying to the APS

Improving Productivity, Jobs and Pay in the Australian Public Service 1992-1994, Department of Industrial Relations, 1992

Interim Framework Agreement, Australian Public Service, Department of Industrial Relations, 1995

Individual Agency Workplace Bargaining agreements

Personnel Management Manual Volumes2 and 8

Work environment

APS Work and Family Information Kit, Department of Industrial Relations, 1994

Addressing Absenteeism: Strategies for Encouraging Attendance at Work in the APS. A Joint Management/Union Statement, Department of Industrial Relations, 1994

A Summary of the Occupational Health and Safety (Commonwealth Employment) Act 1991, Comcare, 1991

Reasonable Adjustment - Enabling the Manager to Focus on Ability, Public Service Commission, 1990

Review of Occupational Health and Safety in Australia, Report by the Review Committee to the Minister for Industrial Relations, October 1990

National Information Strategy for Occupational Health and Safety, National Occupational Health and Safety Commission, September 1990

Home Based Work Interim Award Information Kit, Department of Industrial Relations

Management of ill and injured workers

Fitness for Continued Duty Instructions, Personnel Management Guidelines, Public Service Commission, 1991.

Australian Government Health Service Handbook - Guidelines for Medical Officers, Department of Health, Housing and Community Services, 1992

Guidelines on the Keeping of, and Access to, Personal Records, Public Service Board, October 1985

Invalidity retirement

Fitness for Continued Duty Instructions, Personnel Management Guidelines, Public Service Commission, 1991

Australian Government Health Service Handbook - Guidelines for Medical Officers, Department of Health, Housing and Community Services, 1992

Guidelines on the Keeping of, and Access to, Personal Records, Public Service Board, October 1985

Key Area: Performance Management

Objective

To foster productivity and effectiveness by maximising and maintaining individual and team performance.

Overview

The concept of performance management in the APS can be considered at several levels. At the broadest level, it encompasses the performance of the Government in fields such as social policy, foreign relations, defence and economic management. It can also relate to the performance of systems, programs, legislation, policy frameworks and institutions such as government agencies. In terms of people management, performance management is concerned with the level of individual and team performance, and how that performance can contribute to the effectiveness of government and public administration.

To achieve its objectives of facilitating APS agencies' productivity and effectiveness, performance management must be an essential part of APS workplace culture - a culture where individuals are accountable for their performance, and where good performance and the management of performance are recognised and valued.

Recent reviews of the impact of public sector management reforms have highlighted the importance of performance management in contributing to greater organisational effectiveness and a culture of continuous improvement in the APS.

The increased focus on individual performance management and its links with corporate performance was emphasised in the MAB publication Building A Better Public Service:

"Individual performance management will be an increasingly crucial issue in the coming decades. A continuing emphasis on organisational effectiveness and productivity, and increasing community pressures for quality of service, will focus attention on the link between individual and corporate performance. These pressures will require a much more coherent and strategic approach to performance management."

Good practice indicators

Effective performance management practice is in evidence when:

• managers provide leadership and integrate performance management with other aspects of their work in managing people;
• people understand that their performance directly contributes to the ongoing success and viability of the agency and its programs;
• individual and team responsibilities and their performance are clearly linked to the achievement of program and corporate goals and the needs of clients;
• individuals and teams have a clear understanding of their work responsibilities and the standards of work expected of them;
• individuals and teams meet the standards of behaviour expected of public servants;
• managers monitor and assess the performance of their people;
• individuals and teams receive regular feedback on their performance against program and corporate goals;
• managers make use of the potential of all of their people and develop their skills in encouraging individual career planning;
• improved and valued performance is recognised and rewarded;
• managers seek to improve poor performance and address continuing poor performance;
• people treat one another and members of the public with courtesy and sensitivity to their rights, duties and aspirations; and
• processes for performance management meet legal requirements and are perceived as fair and equitable.

Element: Induction and Probation

Objective

The objective of induction is to assist in making new starters aware of the legal, financial and administrative framework of the APS and of their responsibilities and rights as officers of the Service.

The main purpose of probation is to allow a manager to judge a probationer's suitability for employment in the APS while allowing new people an opportunity to evaluate the APS as a career path.

Overview

Good induction processes benefit an organisation by ensuring that new starters understand corporate goals and objectives. They help ensure that people are aware of expected standards of performance, commitment and behaviour which contribute towards achieving those goals. They also demonstrate commitment by the organisation to new starters. The induction process may be complemented by orientation programs and by training programs which address particular technical or professional aspects of a job.

Good induction processes enable people to contribute effectively as quickly as possible and reduce the likelihood of early separation from the APS. Induction completes the recruitment process and is the first stage of career development.

Probationary assessment is an integral component of effective performance management in the APS. Effective monitoring of a person's performance during probation allows a manager to identify relevant strengths and weaknesses in a probationer's performance, to provide constructive feedback and counselling and to take any necessary remedial action.

Appropriate action to address weaknesses identified during the probationary period may prevent underperforming or unfit people from proceeding through the probationary stage. Over the longer term such action can save resources otherwise required for supervision, counselling, training and management of underperforming people.

Proper induction complements probationary procedures by providing new starters with an understanding and appreciation of the requirements of their job and the standard of work expected, as well as the organisational goals, functions and values of their agency and the APS as a whole. Proper probationary procedures enhance the effectiveness of induction through regular monitoring and assessment of a new probationer's conduct and work performance, and the provision of feedback and counselling where necessary.

Underlying principles

Equity, effectiveness, and accountability underpin induction and probation. Providing guidance, feedback, counselling and an opportunity to comment on performance in the probationary process is essential in applying natural justice considerations.

Section 47 of the Public Service Act 1922 prescribes the legislative requirements in relation to probation. Managers are responsible for all probation decisions for non-SES people and these decisions may be subject to review. In relation to the SES, the Public Service Commissioner is responsible for decisions to terminate probationary appointments. While there is no legislation governing induction, provision of an effective induction program is an important part of good HRM practice.

Induction and probation in practice

Induction and probation are intended to assist the assimilation of new people into the workforce. APS experience suggests that six months should normally be regarded as a reasonable period of probation. The role of the supervisor is critical in both the induction and probation processes. Induction may involve formal course-work as well as on-the-job training and instruction from supervisors. All new starters should be made aware of their rights and responsibilities under Public Service Regulations 7, 8, 8A and 8B as members of the APS and the organisation, and of accepted standards of conduct and behaviour. They should also be provided with the Appointment on Probation and Standard of Conduct pamphlets and the Guidelines on Official Conduct for Commonwealth Public Servants published by the PSMPC. Any agency-specific guidelines or codes of conduct should also be made available to probationers.

To manage the probationary process well, managers responsibilities include:

• ensuring probationers are correctly inducted and receive any necessary training;
• communicating all work performance expectations clearly to the probationer;
• regularly reporting on the work performance and conduct of the probationer, providing counselling and other feedback, and documenting any subsequent action undertaken;
• integrating probation with overall performance management strategies (eg., performance appraisal, increments, etc); and
• recommending confirmation or termination of a probationer's appointment with accompanying documentation setting out the reasons for the recommendation.

Responsible agencies

The induction and probation processes are the responsibility of individual agencies, and should be consistent with their requirements and work practices.

The PSC issues guidelines for the administration of probation in the APS.

Related elements

Effective induction and probation link closely with other Framework elements, in particular, orientation programs. Other related elements include: recruitment planning; career planning; appointment, promotion and transfer; supervising people; managing underperformance; ethics and managing conduct; entry level training; and communicating with people.

Element: Supervising People

Objective

To effectively link individual performance and organisational goals to foster the performance, commitment, motivation and participation of people on a day-to-day basis.

Overview

This element of Performance Management focuses on the day-to-day responsibilities of supervision and complements the more formal processes described in this Key Area of the Framework.

Supervising people is a key element of performance management in the APS. It is crucial for the effective integration of individual and team performance and organisational goals, and for improving the performance, commitment, motivation and participation of people. Recognising and valuing people's diverse values and motives, and their contributions in the workplace, is a key component in fostering productivity, morale and the enthusiasm of people.

Managers have an important role in modelling their agency's performance management policies and practices as an integral part of their day-to-day activities, rather than as an 'add on' responsibility. Managers should give consistent messages in their performance management approaches, and should recognise and separately address different levels of performance.

Effective supervision requires practices based on effective leadership. Leadership involves a willingness to adopt and manage change, to innovate, to share and communicate a longer term strategic vision, to provide support to people in decision making, to encourage considered risk taking, and to model behaviour and recognise contributions and achievements. It is leadership that distinguishes management from administration.

Effectively supervising people will help identify appropriate training and career development opportunities and reduce the future incidence of performance management problems. The consequences of poor practice in this area negatively affect the achievement of corporate goals and objectives by reducing the effectiveness of individuals and/or work teams.

Underlying principles

The key principles underpinning supervising people are equity, efficiency, effectiveness, ethical conduct, industrial democracy and accountability. Privacy and natural justice are also important considerations.

Supervising people in practice

Effectively supervising people must be based on ongoing, consistent and open communication between managers and their people. This includes clear articulation of work expectations and performance standards, guidance on work planning processes, support for people in balancing their work and family responsibilities, and appropriate counselling when necessary.

Other components of supervising people include the provision of timely and relevant induction, and the responsible use of probation and other formal reporting mechanisms. The day-to-day role of the supervisor complements the more formal processes.

Responsible agencies

Individual managers within agencies are responsible for meeting their managerial/supervisory obligations in accordance with the provisions of Public Service Regulations 29 and 30.

The PSMPC is responsible for the issue of policy advice on aspects of performance management and provides good practice advice. It also provides training and advice on supervising people through its management module programs.

Related elements

Many other elements within the Framework are linked to supervising people, particularly: executive management; HRM systems; EEO programs; management of ill and injured workers; redeployment; induction and probation; performance appraisal; incentives and rewards; managing underperformance; leadership; communicating with people; participative management; consultative arrangements; and grievance resolution.

Element: Performance Appraisal

Objective

To improve work performance against agency corporate goals by improving individuals' understanding of their work responsibilities and the performance standards expected of them.

Overview

Performance appraisal in the APS is part of a broader strategy directed at better managing the performance of individual public servants. It is consistent with the focus of recent management improvement reforms aimed at improving organisational performance. Performance appraisal requires a supportive management culture to be effective.

Performance appraisal directly relates individual performance to corporate achievement. It assesses individual achievement and links this achievement to corporate success through matching individual job responsibilities, standards and performance indicators to the corporate plan.

Performance appraisal agreements, now in place for Senior Executives and Senior Officers and equivalents, make explicit and complement the day-to-day performance management arrangements undertaken by managers. In negotiating performance agreements, managers have to communicate corporate goals, and consider the views of people on the feasibility of strategies for their achievement. In this way, appraisal facilitates the individual's understanding and ownership of corporate goals.

Effective appraisal practices strengthen workplace communication by requiring supervisors and people to discuss and resolve performance problems before they become intractable. Further, appraisal contributes to participative management by requiring managers to consult people and to take their views into account in setting targets and developing strategies. Performance appraisal helps identify skills and skill enhancement needs.

A number of agencies are now introducing simple structured feedback arrangements for their ASO 1-6 and equivalent level staff. These schemes have a focus on work planning, feedback and training and development, and complement the appraisal arrangements for more senior people.

Underlying principles

A number of principles underpin effective performance appraisal. The equity principle and privacy considerations underlie the framework within which performance feedback and advice on personal development must occur. Appraisal schemes meet equity concerns by being seen to be fair and objective, and focusing on outcomes to be achieved rather than personal style. Appraisal schemes meet natural justice concerns by requiring supervisors to provide early and full information on performance or behavioural problems. Through communication and feedback on performance, they promote a climate conducive to industrial democracy. Performance appraisal schemes are further underpinned by the principle of accountability.

Performance appraisal in practice

Performance appraisal for Senior Executives and Senior Officers has been agreed by the Government and unions under the APS Workplace Bargaining Agreement which included the introduction of performance-based pay. Performance appraisal programs are the responsibility of individual agencies in consultation as appropriate with employees and staff associations, and in accordance with guidelines issued by the PSMPC. Under the APS Workplace Bargaining Agreement, these programs need to be endorsed by the PSMPC.

Individual agency performance appraisal programs should include:

• a rating scale by which an individual's performance can be assessed;
• provision for appraiser and appraisee training, including giving and receiving feedback;
• development needs analysis based on a separate assessment against the competencies appropriate to the officers' level;
• a process to continually monitor and review performance outcomes to take account of changing circumstances;
• a moderation process to ensure equity and consistency in ratings;
• arrangements for review of individual ratings;
• arrangements for quality control, monitoring and evaluation; and
• effective privacy arrangements.

Performance appraisal practices, however, should not be limited to formal programs for Senior Executives and Senior Officers. Simple and less formal systems of work planning and performance feedback are appropriate for other levels of people within APS agencies. Such performance management approaches are critical to achieving performance gains and meeting the career aspirations of people.

Responsible agencies

Each agency is responsible for the development and administration of its performance appraisal program.

The PSMPC issues guidelines for the implementation and administration of performance appraisal programs for Senior Executives and Senior Officers in the APS. It is also responsible for the endorsement of agencies' performance appraisal programs in accordance with the PSCMP's guidelines and a joint PSMPC, Department of Industrial Relations, Department of Finance memorandum on performance appraisal and performance based pay.

The PSMPC offers a one day training module on performance appraisal which addresses all aspects of the process including writing agreements through to giving and receiving feedback.

Performance pay guidelines are the responsibility of the Department of Industrial Relations, and the Department of Finance is responsible for reporting Service-wide on performance appraisal and performance pay outcomes.

Related elements

Performance appraisal embraces several other elements of the Framework including: career planning; mobility/exchanges; EEO programs; pay; supervising people; incentives and rewards; managing underperformance; management development programs; further education; and communicating with people.

Element: Incentives and Rewards

Objective

The objective of incentives and rewards is to reward, motivate and retain people within agencies. Recognising and valuing the contributions that individuals and teams make to the achievement of corporate goals is a central component of motivation. Recognition can encourage greater teamwork, co-operation and pride in organisations, and provide a catalyst for improved performance.

Overview

With the decline in promotion rates, the resulting career plateauing and reduced scope for higher duties in agencies - the so-called traditional forms of reward - agencies need to consider new and innovative means of motivating and retaining their people. There is a need for agencies to give increased importance to other forms of reward such as enhanced mobility/exchanges opportunities, more diverse career development opportunities and recognition schemes.

The APS range of recognition and reward practices can be broadly divided into two main groups - pay based and non-pay based; although the boundaries between the two categories are sometimes unclear. For example, promotion can be viewed as a pay based reward because it increases salary. However, it also recognises performance and provides status, which are non-pay based rewards.

Pay based recognition and reward practices include promotion, incremental advancement and performance pay. Non-pay based forms of recognition and reward include awards under the honours system, agency based award schemes and various informal ways of rewarding valued performance such as recognition of performance by supervisors and access to high profile career development and representational opportunities. Performance pay in the APS applies for both the SES and for the Senior Officer structure. Performance appraisal provides the basis for the allocation of performance pay.

Underlying principles

There is considerable variation between departments' and agencies' schemes for recognising and rewarding the contributions of their people. The schemes are closely linked to and reflect the organisational culture, structure and goals. Many awards are also designed to shape the organisational culture in a particular way by providing incentives for improvements in productivity, quality, client service or towards innovation. These are particularly evident in departments or agencies which have undergone significant restructuring and reorientation in recent years.

Responsible agencies

The key principles underpinning incentives and rewards are efficiency, effectiveness, equity and accountability. Natural justice is also an important consideration.

Incentives and rewards in practice

The APS has a structure of rewards and incentives which is designed to attract and retain people with appropriate skills and abilities, and to provide fair and reasonable rewards as an incentive to high performance. Individual managers and supervisors play an important role in providing recognition of good performance, and have mechanisms which can be flexibly used as non-monetary rewards, including: citations, awards, medals and other means of publicly acknowledging achievements, for example career development opportunities, enhanced mobility/exchange options, and higher duties opportunities.

In addition, managers and supervisors have many day-to-day opportunities to recognise valued performance when it occurs. This simple opportunity to respond to work effort is often undervalued and under-used. Agency performance management policies should encourage supervisors to give more informal recognition to people. A range of rewards and incentives should be used, as there are differences (including gender and cultural differences) in what motivates people. The Management Advisory Board publication Performance Management: The Integrated Use of Recognition, Rewards and Sanctions describes the practices in APS agencies and other public sectors.

Agencies have access to a range of Service-wide and agency level options for recognising and rewarding valued performance. These need to be integrated in a performance management strategy, which in turn is linked closely to the agency's particular strategic directions and corporate goals, broader people management policies and practices, and the implementation of the APS-wide reforms.

Provisions relating to payment of increments are contained in salary determinations made by the Department of Industrial Relations, which also has responsibility for policy relating to performance-based pay.

Related elements

Incentives and rewards are linked to other elements within the Framework, including: job design and multiskilling; flexible employment arrangements; mobility/exchanges, pay, conditions; work environment; induction and probation; supervising people; performance appraisal; managing underperformance; ethics and managing conduct; management development programs; further education; mobility/exchanges; and participative management.

Element: Managing Underperformance

Objective

To effectively manage problems with work performance.

Overview

Managing underperformance should be addressed in the overall context which recognises that individuals are ultimately responsible for their own performance. A positive approach by managers to managing people's performance which includes effective dialogue between supervisors and their people and regular feedback and counselling is important in identifying and resolving any problems or weaknesses in work performance.

Each agency should have in place a range of strategies which provide an integrated and effective approach to managing people's performance and which stresses that the achievement of organisational goals is dependent on individual contributions. Effective performance is dependent on the commitment and willingness of managers to actively manage the performance of their people and seriously address problems once they arise. Early intervention and positive support can result in improved performance. Poor handling can lead to intractable and complex problems.

Effective performance is the outcome of a number of factors including effective appointment, promotion and transfer, the responsible use of induction and probation, access to training and development, and appropriate supervision and performance feedback.

There is a range of formal and informal mechanisms for addressing underperformance. Where informal mechanisms are not successful in restoring performance, the inefficiency provisions provide a formal mechanism for managers to deal with poor performers quickly and effectively, while protecting people against arbitrary or unfair action. Where it is considered that a person's underperformance results from deliberate acts, the use of the misconduct provisions may be considered.

Underlying principles

The effective management of underperformance is founded on the core principles of equity, efficiency, effectiveness, and ethical conduct. Natural justice is also an important consideration.

Managing underperformance in practice

Successful performance management in the APS depends on the responsible use by managers of established procedures and arrangements such as induction and orientation, staff counselling, probation and performance appraisal. Integral to these processes are clear articulation of work expectations by supervisors, regular reviews of achievement including those relating to probation and increments in which people can participate, willingness by managers and supervisors to discuss the strengths and weaknesses with their people, and to plan ways to overcome identified weaknesses. Openness to change on the part of both management and individuals is important. In some cases, adjustment of management style will also be an effective strategy to overcome problems.

In the first instance managers should seek to improve on poor performance. If those strategies fail, they should use the inefficiency provisions. The need to use the inefficiency provisions will be minimised if the steps outlined above are followed.

The policy framework relating to managing underperformance is set out in the Public Service Act 1922 (the Act) and the Public Service Regulations and the Inefficiency Procedures notified under s.76X of the Act, and in the Workplace Bargaining Agreement, Improving Productivity, Jobs and Pay in the Australian Public Service 1992-1994 under the heading of improved handling of inefficiency in the APS. Agencies are responsible for dealing with problems of underperformance for non-SES staff and can ultimately retire an officer or reduce an officer in classification. Where the person has not agreed to this action, these decisions are appellable. Redeployment and Retirement Appeal Committees may confirm or revoke the original action. Provisions allowing for the regression or retirement of under-performing SES staff require the approval of the Public Service Commissioner.

Responsible agencies

The PSMPC has policy responsibility for managing underperformance. The Inefficiency Procedures are instructions issued under s76X of the Public Service Act 1922 and are binding on agency heads.

The PSMPC conducts a management program titled Managing for Improved Performance which specifically addresses performance management:

Related elements

Managing underperformance is linked to other elements within the Framework. For example, the element appointment, promotion and transfer has the potential to have a major impact on managing underperformance. Clearly, careful selection decisions will help to ensure that the most suitable persons are selected for positions. The element job design and multiskilling, if undertaken poorly, can result in low morale due to lack of challenge in the work, inappropriate procedures or systems, excessive workloads or competing priorities. Similarly, the element work environment can impact on managing underperformance. For example, performance levels can be adversely affected if required resources or equipment are not provided, air conditioning systems do not function properly, or the organisation is subject to frequent change and restructuring. Other elements which are linked to managing underperformance include performance appraisal, incentives and rewards, redeployment, leadership and supervising people.

Element: Ethics and Managing Conduct

Objective

To establish and maintain high standards of ethical conduct by improving individuals' understanding of key public service values and the possible implications of breaching these standards.

Overview

A uniform standard of conduct and behaviour is central to the concept of a career public service and helps to ensure that public confidence in the APS is maintained. Ethical conduct and behaviour are prescribed through the legal requirements specified for people working in the APS and reflect community expectations of public servants.

Managing conduct well impacts positively on efficiency and effectiveness by allowing people to reach their full potential and to effectively contribute towards achieving corporate goals. A proactive approach by management which ensures that people are fully aware of their responsibilities is likely to reduce the prospect of misconduct or unethical behaviour occurring. Appropriate conduct and behaviour is an outcome of effective people management and communication.

An ineffective approach to managing conduct can impact negatively on the ability of an organisation to meet its objectives and can have significant resource implications in terms of supervision and counselling.

Formal disciplinary action may be taken where misconduct occurs, or where a person is found guilty of a criminal offence which is relevant to his or her employment. Misconduct can include wilfully disobeying or disregarding a direction or instruction, negligence or carelessness, harassment of other staff, or incompetence within a person's control. The disciplinary process should not be seen as a mechanism for imposing punishment on people - it is about effectiveness and efficiency, and aims to ensure that the culture, values and reputation of the APS are maintained.

Underlying principles

The key principles underlying ethics and managing conduct are equity, efficiency, effectiveness, ethical conduct, and accountability. Natural justice and privacy are also important considerations.

Ethics and managing conduct in practice

It is essential that information and advice on official conduct, including the consequences of misconduct, are readily accessible to and easily understood by people. Managing conduct well includes appropriate induction and ongoing communication and feedback between managers and people and the provision of appropriate training for people and line managers where necessary.

The provisions relating to the conduct and responsibilities of staff members are set out in the Public Service Act 1922 and the Public Service Regulations. Legislation such as the Crimes Act 1914, the Privacy Act 1988, the Freedom of Information Act 1982, the Administrative Decisions (Judicial Review) Act 1977 and federal anti-discrimination legislation may also be relevant. In certain circumstances, agency specific legislation or instructions may impose additional requirements on managers and people.

The PSMPC has also produced guidelines on eliminating sexual and workplace harassment.

All employees are required to conduct themselves in ways that maintain and enhance the reputation of the APS. In addition, managers are responsible for ensuring that the conduct and behaviour of their people meets accepted standards and for instigating disciplinary action where necessary. The disciplinary provisions relating to public servants are set out in the Public Service Act 1922 and the Public Service Regulations. The more serious sanctions to discipline people are subject to review by Disciplinary Appeal Committees which can confirm, vary or set aside the original direction.

Responsible agencies

The PSMPC has responsibility for establishing the policy framework for ethics and conduct. Individual agencies are responsible for ensuring that people adhere to the standard of conduct required, and for taking disciplinary action in situations where breaches occur.

The PSMPC conducts management modules specifically addressing ethics and administrative law:

• Managing Ethically - Applying APS Principles;
• Legal Requirements of Managers; and
• Legal Awareness seminars.

Related elements

Ethical conduct and behaviour underpin all elements of the Framework. For example, the elements supervising people, and induction and probation may impact on the ethics and managing conduct element. If managers do not clearly articulate, at an early stage, what standards of official conduct are expected of officers, inappropriate actions may result. Other elements which are linked to ethics and managing conduct include job design and multiskilling, work environment, orientation programs, entry level training, vocational education and training, performance appraisal, and incentives and rewards.

References: Performance Management

Induction and probation

Probation: Principles, Guidelines and Good Practice Guide, Public Service Commission, 1995

Guidelines on Official Conduct of Commonwealth Public Servants, Public Service Commission, March 1995

Appointment on Probation pamphlet, Public Service Commission, 1995

Industrial Relations Act: Impact on Probationary Arrangements, Public Service Commission circular 1994/3, 28 November 1994

The Management of Underperforming Officers in the Australian Public Service, MAB-MIAC Publications Series No 7, July 1992

Off to a Good Start - Towards New Training Structures for Young People and New Entrants to the APS, Joint APS Training Council, March 1992

Supervising people

Managing People's Performance, Public Service Commission, November 1994

Improving Productivity, Jobs and Pay in the Australian Public Service 1992-1994, Department of Industrial Relations, 1992

Interim Framework Agreement Australian Public Service, Department of Industrial Relations, 1995

Performance appraisal

Interim Framework Agreement, Australian Public Service, Department of Industrial Relations, 1995

Making Performance Appraisal Count, Public Service Commission, November 1994

Knowing Where You Stand, Public Service Commission, November 1994

Submission by the Public Service Commission to the Senate Standing Committee on Finance and Public Administration - Inquiry into the Implementation of Performance Based Pay in the Australian Public Service, Public Service Commission, 1993

Evaluating Performance Appraisal Programs in APS Departments and Agencies - Resource Kit, Public Service Commission, 1993

Performance Appraisal: Guidelines for the Appraisal of SES Officers in the APS, Public Service Commission, 1990

Guidelines for Performance Appraisal of Senior Officers in the APS, Public Service Commission, 1992

How to Draw Up Performance Agreements, Public Service Commission, 1992

Performance Appraisal - Questions and Answers, Occasional Paper No 9, Public Service Commission, 1990

Appraisal: How to Kill it and How to Make it Work, Occasional Paper No 3, Public Service Commission, 1989

Incentives and rewards

PMM Volumes 2 and 8

Performance Management: The Integrated Use of Recognition, Rewards and Sanctions, MAB-MIAC Publication Series No 16, October 1994

Managing underperformance

Performance Management: The Integrated Use of Recognition, Rewards and Sanctions, MAB-MIAC Publication Series No 16, October 1994

Managing Underperformance - Inefficiency Procedures, Public Service Commission, March 1993

The Management of Underperforming Officers in the Australian Public Service, MAB-MIAC Publications Series No 7, July 1992

Staff Counselling in the Australian Public Service, Personnel Management Manual Volume 3, Public Service Board 1981

Guidelines on the Misuse of Alcohol and Other Drugs, Personnel Management Manual Volume 3, Public Service Board, 1983

Ethics and managing conduct

Guidelines on Official Conduct of Commonwealth Public Servants, Public Service Commission, March 1995

Eliminating Workplace Harassment Guidelines, Public Service Commission, 1994

Accountability in the Commonwealth Public Sector, MAB-MIAC Publication Series No 11, June 1993

Standard of Conduct pamphlet, Public Service Commission, 1992 (revised version planned for publication in 1995)

Eliminating Sexual Harassment - Guidelines for Sexual Harassment Contact Officers and Personnel Officers, Second Edition, Public Service Commission, 1990

Forfeiture of Office pamphlet, Public Service Commission, 1990 (revised version planned for publication in 1995)

Ethics and Managing Conduct - The Supervisors Role pamphlet, Public Service Commission, to be published in 1995

Discipline Rights and Responsibilities pamphlet, Public Service Commission, 1990 (revised version planned for publication in 1995)

Discipline Handbook, Public Service Commission, June 1988

Key Area: Human Resource Development

Objective

To improve organisational effectiveness by fostering the skills and knowledge of people.

Overview

Human resource development (HRD) represents a very significant investment in people in the APS - each year the APS spends around $300m in various forms of people development activity.

HRD can occur effectively at both formal and informal levels. Typically, HRD investment is seen in terms of the more formal and traditional training and development activities - courses, workshops, conferences, development schemes and further education - which usually occur outside the workplace. However, HRD also operates at a less formal level through strategies including on-the-job training, career counselling, mentoring, providing feedback, individual development planning, projects, exchanges and mobility.

Effective HRD strategies are not only aimed at enhancing people's current work performance. They have a whole-of-career focus which can prepare people for future career paths and work roles quite different from what they may be doing now.

Contemporary developments in HRD mean that in a devolved HRD environment, effective HRD is not the sole domain of the HRD practitioner. Agency heads, senior executives and line managers have key roles in guiding and supporting individuals' development plans, and ensuring that appropriate development opportunities are made available. As well, closer collaboration is occurring between HRD areas, individuals, workplace managers and other training providers in the delivery of training and development activities. Increasingly, as the National Training Reform Agenda is implemented, the trend will be towards more competency-based, workplace-oriented training and development programs.

HRD plays an important role in helping APS managers and others to understand and adapt to ongoing Service-wide change. It also serves as an effective vehicle to help instil APS values and standards in individuals and agencies.

The strategic significance given to HRD is in the establishment and maintenance of an effective learning culture in the organisation - one which supports development of individual potential and fosters increased commitment and motivation. But to be strategically effective, HRD activities must:

• form an integral part of the corporate planning process;
• relate to, and service, corporate and program goals and needs;
• be regularly and rigorously evaluated; and
• be adequately resourced.

In particular, HRD must have close links with agencies' HRM and performance management processes. As part of a broader HRM strategy, these links ensure that people have the appropriate competencies to contribute to achieving their agency's goals and that effective strategies are available to enhance individual and team performance.

Good practice indicators

The PSC publication A Strategic Model for the Human Resource Development Function in the Australian Public Service, identifies the characteristics of effective HRD as:

• agency heads and senior managers actively sponsor the HRD function;
• managers take responsibility for developing their people;
• people development is strategic and based on plans which are linked to central corporate planning processes through a broader HRM strategy;
• the development of people is results-oriented with clearly stated objectives and outcomes at all levels of activity;
• the development of people is based on competencies frameworks, including those endorsed by the Joint APS Training Council;
• HRD practitioners possess the competencies appropriate to their level of responsibility;
• regular assessment is undertaken of people's development needs against their competency framework;
• agency-specific performance indicators are in place which reflect the contribution that people development work makes to the achievement of corporate goals through improved performance in the workplace;
• the development of people makes use of a variety of development methods as appropriate;
• agencies regularly evaluate their HRD activities, including against objectives which link to corporate and strategic goals;
• performance information on people development is accessible;
• HRD includes agency benchmarks for participation in, and for expenditure on, development activities;
• management of the HRD function reflects proper and effective resource and program management practice; and
• management of the people development function reflects appropriate EEO and industrial democracy principles and practices.

Element: Orientation Programs

Objective

To provide authoritative, structured and standardised information to new staff members about corporate goals, standards and procedures, and to assist them in adapting to organisational culture and values.

Overview

Orientation training programs are part of the induction and probation process. They complement the ongoing responsibility of the supervisor to explain expected standards of performance and behaviour and to effectively communicate the link between individual performance and corporate goals. In particular, they ensure that all officers receive the same basic message about the organisation. Failure to provide adequate orientation training may cause confusion about overall organisational aims and structure, with loss of motivation and decline in performance.

Underlying principles

Orientation programs relate to the core principle of equity. Officers need to have uniform information and advice on the goals, expectations and standards of the organisation they join.

Orientation programs in practice

Orientation training programs are the responsibility of individual agencies, and will vary in size and scope according to their different requirements. However, an important tool for the conduct of an orientation training program is the organisation's corporate plan. It is also important that a senior manager takes the opportunity provided by the orientation program to communicate his/her personal views on the vision, aims and values of the organisation.

Managers should ensure that people have access to orientation programs. The nature and scope of orientation training will also differ according to whether they are aimed at base-grade recruits or people recruited laterally.

Responsible agencies

Individual agencies are responsible for providing orientation programs for new staff members.

As part of its SES management responsibilities, the PSMPC runs a Service-wide orientation program for new entrants to the SES, in recognition that the SES is a Service-wide resource with common leadership and management values, skills and responsibilities.

Related elements

Orientation programs have links with the following elements: appointment, promotion and transfer; pay; conditions; work environment; induction and probation; supervising people; performance appraisal; ethics and managing conduct; vocational education and training; management development programs; further education; and communicating with people.

Element: Entry Level Training

Objective

To ensure new entrants in the APS have the opportunity to gain the competencies necessary to undertake work at their level.

Overview

The introduction at entry level of competency-based training, which is more attuned to the needs of the workplace, aims to assist agencies to achieve higher levels of productivity and efficiency, while increasing workers' skill levels and improving their career prospects. A competency is defined as the ability to perform an activity within an occupation or function to the standard expected in employment.

Entry level training arrangements are designed to integrate with other educational pathways such as school, tertiary and further education to provide maximum recognition of acquired skills and knowledge.

Competency-based training and assessment (CBT/A) has not provided a new basis for wages in the APS at this stage. However CBT/A arrangements do provide a new basis for determining advancement arrangements for new entrants and may provide a new approach for determining pay rates in the future.

The APS competency-based training and assessment program is part of the process known as the National Training Reform Agenda (NTRA). The NTRA aims to improve vocational education and training in Australia and thereby bring about a more productive workforce.

Underlying principles

A number of principles underpin entry level training - merit , equity, efficiency and effectiveness, which ensure new starters in the APS are equipped to perform their duties and within the resources available to an agency. Flexibility is also an important consideration.

Entry level training in practice

The introduction of CBT/A at the entry level has been endorsed by the Government and unions. Agencies will recruit people into traineeship positions at base and above-base levels. The curricula for the traineeships are based on endorsed competency standards.

CBT/A programs managed by agencies should include:

• a complete assessment process incorporating diagnostic, formative and summative assessment;
• the provision of off-the-job learning courses based on endorsed standards;
• a quality assurance process aimed at ensuring training and assessment to endorsed industry standards;
• effective privacy arrangements; and
• support and feedback processes for trainees.

Responsible agencies

Industrial arrangements, including pay rates, are the responsibility of the Department of Industrial Relations.

The PSMPC, in association with the Joint APS Training Council, provides the endorsed APS competency standards. The PSMPC also provides the base and above-base curricula and associated documentation needed to support the entry level traineeships. It is also responsible for some advancement arrangements including accelerated advancement and training offices under section 33A(1A) and section 53A of the Public Service Act 1922.

Each agency is responsible for the management of its entry level training program.

Related elements

Entry level training has links with several other elements of the Framework, including: recruitment planning; career planning; appointment, promotion and transfer; mobility/exchanges; EEO programs; pay; induction and probation; supervising people; incentives and rewards; managing underperformance; orientation programs; management development programs; further education and communicating with people.

Element: Vocational education and Training

Objective

To facilitate and assess individuals achievement of specified industry or enterprise competency standards.

Overview

The use of competency standards provide a basis for the identification of skill and training needs across the APS. The development and application of competency standards is integral to the Government's National Training Reform Agenda (NTRA). The NTRA focuses on developing a nationally consistent approach to competency development and training outcomes. A competency is defined as the ability to perform an activity within an occupation or function to the standard expected in employment.

The development of vocational education and training based on endorsed industry competency standards will enable agencies to establish a more mobile, highly skilled and flexible workforce. It will assist agencies to make the best use of their people and improve productivity in the workplace.

Managers using competency standards will be able to systematically identify skills gaps for each individual in their work group and for the work group as a whole. This will assist agencies and managers plan to meet current and future human resource requirements. These human resource needs can then be met through a variety of strategies, for example through training or other development opportunities such as rotation or through recruitment and redeployment of people.

The identification of competency standards as a basis for vocational education and training will provide a more focused, strategic approach to training and development in an environment of ongoing public sector reform.

Underlying principles

Vocational education and training have a close focus on results, and aim to contribute to continuous improvement and to reinforce the high standards of probity, equity, conduct and accountability expected of the APS. The successful implementation of competency based vocational education and training will improve the ability of APS organisations and individuals to be responsible to government.

The principle of equity is important particularly when considering opportunities for access to training.

There is a strong element of natural justice which underpins competency based vocational education and training. The standards expected of participants and the method of assessment decisions need to be clearly stated, and individuals need to have an opportunity to respond to decisions made.

Competency based vocational education and training provides a flexible framework which enhances the opportunities for individuals from EEO groups to access and complete training. Recognition of prior learning also provides an opportunity for people to have their current skills and competencies formally recognised. This recognition is regardless of how these skills and competencies were acquired, whether through general life experience, work experience, formal education or on the job training.

Vocational education and training in practice

Competency standards have been developed and endorsed by the National Training Board for most of the major employment groups in the APS - Senior Officers, Administrative Service Officers, Professional Officers, Technical Officers and General Service Officers. In addition, functional competencies for HRD practitioners, and for procurement have been identified and endorsed. This means core competencies are in place for over 80% of the APS workforce.

Many agencies, in their workplace bargaining agreements, have made significant commitments to the introduction of competency based training and assessment. In some cases competency based training and assessment have been clearly linked to salary progression and advancement within broadbanded structures.

Competency based training offers significant advantages. Through the use of diagnostic assessment or recognition of prior learning it can avoid expenditure on unnecessary training. Without recognition of prior learning, money and time would be invested in training people in skills they already have. Training needs to be targeted at areas where there is a skills gap, resulting in a substantially greater value return on money and resources expended.

A summative assessment of individuals' learning and performance in the workplace can assist in performance management. Potential misunderstandings, which result from unclear expectations or from lack of awareness of skills gaps and training needs, can be avoided if assessment is early and rigorous.

Responsible agencies

Responsibility for the delivery of competency based vocational education and training rests with individual departments and agencies. The PSMPC maintains an overview of current best practice and participates in the Government's training and development policies and reform agenda. In addition, the Public Service Commissioner chairs the Joint APS Training Council which is the competency standards body for the APS. The PSMPC also provides a secretariat service to the Joint APS Training Council.

Related elements

Vocational education and training relates to other elements of the Framework, including: job design and multiskilling; EEO programs; entry level training; further education; redeployment; and communicating with people.

Element: Management Development Programs

Objective

To provide the broad skills and flexibility necessary for middle and senior managerial and professional people working in an increasingly complex work environment.

Overview

Award restructuring, the increased emphasis on agency performance and accountability, and the devolution of corporate management responsibilities to line managers all emphasise the importance of management development programs. The increasing complexity of work at middle and senior levels means that particular attention needs to be given to the development and maintenance of broad management and leadership skills in the middle management and SES groups. In the APS, responsibility for development is shared between agencies and individuals.

Management development and training programs are part of a broad range of options for the acquisition of management or professional skills and experience, which may also include rotations, exchanges and further education. Taken together, these options provide the basis for organisational skills development strategies and for individual career planning. Assessment of development needs through the performance appraisal process assists in assessing management development program requirements.

Underlying principles

Management development opportunities contribute to organisational efficiency and effectiveness and to individual accountability. In addition to enhancing specific agency skills, effective management training will reinforce the importance of the HRM principles to the maintenance of performance at both agency and APS level.

Flexibility through the acquisition of broad management skills maintains and enhances the career service.

Management development programs in practice

Management development and training is primarily the responsibility of individual agencies. Agencies need to develop strategies to assess the skills necessary to meet the objectives in the corporate plan, and to audit the skills and knowledge which currently exist in the agency. In developing human resource strategies, agencies may wish to access information on Service-wide management development issues and strategies.

The PSMPC has also developed a number of Service-wide management courses aimed at the SES and APS managers. The Executive Development Scheme (EDS) and the Senior Women in Management Program (SWIM) aim to broaden the skills and experience of high achieving Senior Officers through a program of course work and work placements. The Public Sector Management Course (PSMC) is a joint venture with State and Territory Governments and the unions. The PSMC, which is an Australia-wide tertiary accredited course, aims to improve the practical management skills of APS managers.

The PSMPC's management modules aim to provide quality stand-alone development activities which address key management issues, and the Senior Officer/ASO 5-6 core competencies and the SES core selection criteria. They are APS specific, incorporating relevant issues, reforms and initiatives including MAB-MIAC projects and publications. The modules can supplement an agency's existing development programs and are targeted to the SES band 1 group, Senior Officers and senior ASO levels.

The PSMPC also provides a range of management programs for the SES. These programs - the 'SES Orientation Program', 'SES Career Management Workshop', 'Australian Government Executive Program', the 'Australian Government Advanced Executive Program', the 'Senior Executive Leadership Program', and 'Leading Australia's Future in Asia', are all related to the requirements of particular SES career stages. With SES fellowship and leadership programs, they provide the basis for an SES career management and development framework.

The PSMPC also arranges a regular series of lunchtime seminars to help keep managers in touch with current trends and topical issues relating to public sector management practices.

Responsible agencies

The PSMPC maintains a strategic overview of managerial and development policies and best practices. The PSMPC has a role in the development of the SES as part of its overall responsibilities for the management of the SES.

As part of its Service-wide HRD role, the PSMPC offers a range of development programs for SES and APS managers.

Individual agencies are responsible for providing development opportunities for their middle and senior level people.

Related elements

Management development programs link to other elements within the Framework, including: orientation programs; further education; mobility/exchanges; performance appraisal; leadership; retirement planning; and EEO programs.

Element: Further Education

Objective

To provide access to skills and knowledge which contribute to the achievement of agency goals and effective public administration in a changing environment.

Overview

Further education is the most widely used form of human resource development in the APS. It provides access through study at tertiary institutions to skills and knowledge which are important for effective agency performance and for the achievement of corporate goals which cannot be met from APS training and development resources.

In addition to the development of skills which relate specifically to agency goals, further education can help officers acquire the broader conceptual, research, analytical and communication skills which form the basis of effective public administration. Thus, they contribute to the professionalism of the APS. At an advanced or postgraduate level, further education provides a means of introducing new management concepts and strategies to the APS. At all levels, further education can feed new ideas and information into the APS, and help it deal effectively with a changing environment. The professionalism and commitment which is likely to be stimulated by access to further education will enhance individual performance.

Underlying principles

Further education is underpinned by the principles of efficiency, effectiveness and accountability through increased skills and knowledge. It assists equity by facilitating broad access to educational opportunities to people who may not have had the opportunity outside the APS.

Further education can strengthen flexibility by providing broad analytical and professional skills that can be used across the APS.

Further education in practice

Further education may include management, academic, professional or technical training, and may take place at universities, technical and further education institutions and other public or private institutions. It can take place in Australia or overseas, and can include post graduate study or research. It may include programs developed and conducted collaboratively between agencies and tertiary institutions, such as the 'Public Sector Management Course'.

Further education may also include workplace oriented programs which combine off-the-job training with workbased projects, such as the competency-based curriculum programs developed and approved through the Joint APS Training Council.

As part of its responsibility for SES career management, the PSC provides funding assistance to SES officers undertaking management study overseas through the 'SES Fellowship Program'.

Further education may be supported by agencies through the 'Studybank' program, or through separate departmental awards or scholarships. Parts 2 and 9 of the Public Service Determination 1983/10 (as amended by Public Service Determination 1991/39) govern the administration of the 'Studybank program'.

Responsible agencies

Policy on access to further education, including study leave and financial assistance, is the responsibility of the PSMPC through the Studybank scheme. The administration of further education programs based on these guidelines, and allocation of resources, is the responsibility of individual agencies. Similarly, individual agencies are responsible for the provision and administration of departmental awards or scholarships.

Related elements

Further education links to other elements within the Framework, including: orientation programs; management development programs; vocational education and training; mobility/exchanges; and retirement planning.

Element: Mobility/Exchanges

Objective

To assist in achieving agency goals by providing opportunities for people to broaden their skills, knowledge and experience.

Overview

The mobility of people within the APS is a key component of the traditional and contemporary career Service. Increasingly, the movement of people into and out of the APS is becoming a part of the career Service.

Mobility within and outside the APS occurs for human resource planning and for human resource development purposes.

Traditionally, the APS has valued the experience gained by people through working in several different agencies. This experience continues to be valued in the contemporary APS. However, experience gained in other employment sectors is also increasingly being recognised as a valuable development opportunity, as well as a means of bringing other perspectives to bear on the work of the APS and, in particular, its policy development activities.

The work of government and the APS varies over time and, accordingly, the requirements for particular skills and experience also vary. In the future, this will mean that the human resource requirements of the APS will fluctuate more regularly than they have in the past. One of the key strategies available to the APS to manage these fluctuating human resource requirements will be through the movement of people within and into and out of the APS.

Movement can be in the form of long-term mobility within the APS and between the APS and other employment sectors, or in the format of shorter term exchanges that are temporary in nature.

Underlying principles

Mobility and exchanges contribute to the efficiency and effectiveness of the APS and are underpinned by the principles of equity, industrial democracy and accountability. Mobility and exchanges also encourage individual flexibility by fostering the broadening of skills and experience.

Mobility/exchanges in practice

The future will increasingly see the movement of people within the APS and between the APS and other employment sectors. This movement will include the private sector, academia and other public sectors in Australia and overseas.

On occasions, movements within the APS and into and out of the APS will occur as a natural part of human resource planning process as the work of the APS and its consequential requirements for people with particular skills and experience vary over time. On other occasions these movements will occur for primarily career development purposes.

Formal mobility provisions are set out in Part IV of the Public Service Act 1922. The provisions provide APS officers who have gained employment with certain Commonwealth authorities to return to the APS. These formal mobility provisions apply both to APS officers who move to an authority voluntarily, and to officers who are compulsorily transferred as a result of a transfer of function.

Responsible agencies

A number of agencies have established active arrangements for regular exchanges or placements with industry and with public sectors in other countries.

Ultimately responsibility for mobility and exchanges rests with individual agencies and with the initiative of individual people in managing their careers.

However, the PSMPC, through its SES Merit Protection and Review Team and APS Labour Market Adjustment Team, plays an active role in assisting agencies to redeploy people who are displaced as a result of changes in the roles and structures of agencies. The PSMPC is also responsible for policy on the compulsory transfer of staff either between APS agencies or into and out of the APS, and for policy on performance management issues and the management of ill and injured workers.

The PSMPC encourages short-term placements for senior officers through its 'Executive Development Scheme' and the 'Senior Women in Management Program' and encourages senior executives to undertake programs of visits with related industries or other public sectors through the SES Fellowships programs.

Related elements

The Merit and Protection and Review Agency has a role in the reintegration of former APS officers who have been working in other Commonwealth agencies and who have the right of return to the APS.

Mobility and exchanges link closely with all elements of the human resource development Key Area and with recruitment planning, career planning, performance appraisal, temporary performance and redeployment.

 

References: Human Resource Development

General references

Public Service Commission's Direct Delivery Approach, Public Service Commission, 1994

Public Service Commission's HRD Consultancy, Public Service Commission, 1994

Public Service Commission's and Attorney-General's Legal Training and Development, Public Service Commission, 1994

A Strategic Model for the Human Resource Development Function in the Australian Public Service, Revised Edition, Public Service Commission, 1993

Strategic Planning for Training and Development, Management Advisory Board/Management Improvement Advisory Committee, 1993

Accounting for your Training Dollar, Public Service Commission, 1992

HRD Evaluation Resource Kit, Public Service Commission, 1992

Public Service Commission's Module Calendar, Public Service Commission, published every six months

Orientation programs

Off To A Good Start - Towards New Training Structures for Young People and New Entrants to the APS, Joint APS Training Council, March 1992

SES Career Development Package, Public Service Commission, May 1992

SES Orientation Guide, Public Service Commission, November 1994

Entry level training

Off To A Good Start - Towards New Training Structures for Young People and New Entrants to the APS, Joint APS Training Council, March 1992

Workplace Trainer Competency Standards, Competency Standards Body - Workplace Trainers, 1992

Assessment System Design, Department of Employment, Education and Training

Assessment Technical Manual, Department of Employment, Education and Training

Assessment Practical Guide, Department of Employment, Education and Training

Certificate in Public Administration (APS) Traineeship (ASO), Teaching Resources Volumes 1 & 2, Public Service Commission, September 1994

Certificate in Public Administration (APS) Traineeship (ASO) Curriculum, Public Service Commission, September 1994

Public Administration (APS) Traineeship, Diagnostic Assessment (RPL), Public Service Commission, September 1994

Public Administration (APS) Traineeship, Agency Coordinator Kit, Public Service Commission, September 1994

Public Administration (APS) Traineeship, Trainee Manual, Public Service Commission, September 1994

Public Administration (APS) Traineeship, Supervisor Manual, Public Service Commission, September 1994

Vocational education and training

JAPSTC Information Bulletins

Evaluation Report on the Certificate and Advanced Certificate in Public Administration (APS) Pilot, and Evaluation Report on the Recognition of Prior Learning Processes, Joint APS Training Council, October 1993

Select Bibliography of Learning Resources for the Associate Diploma of Business, Advanced Certificate in Public Administration (APS), Joint APS Training Council, September 1993

HRD Manager's Supplement to the Advanced Certificate in Human Resource Development (APS), Joint APS Training Council, September 1993

Human Resource Development Competencies for the Australian Public Service, Joint APS Training Council, July 1993

Procurement Competencies for the Australian Public Service, Joint APS Training Council and Purchasing Australia, June 1993

Off To A Good Start - Towards New Training Structures for Young People and New Entrants to the APS, Joint APS Training Council, March 1992

National Competency Standards - Policy and Guidelines, National Training Board, 1991

VEETAC National Framework for the Recognition of Training, November 1991

Developing People in the APS - Report on the Public Service Commission's Human Resource Development Survey (published annually)

Human Resource Development Evaluation Resource Kit, Public Service Commission, 1992

A Strategic Model for the Human Resource Development Function in the APS, Public Service Commission, 1992. Revised 1993

Management development programs

SES Career Development Package, Public Service Commission, 1994

Report on the Evaluation of the Public Sector Management Course, PSM Course, Public Service Commission, 1994

Public Sector Management Course Prospectus, PSM Course, 1994

Report on the Evaluation of the Middle Management Development Program, Volumes 1 & 2, Public Service Commission 1993

Management Education - The Overseas Experience in the Private and Public Sectors, Occasional Paper No 9, Public Service Commission, 1991

The Executive Development Scheme booklet, Public Service Commission, published annually

The Senior Women in Management booklet, Public Service Commission, published annually

Developing People in the APS - Report on the Public Service Commission's Human Resource Development Survey, published annually

Further education

Studybank: Principles, Guidelines and Good Practice Guide, Public Service Commission, (to be published in 1995)

Studybank Guidelines for Studies Assistance, Personnel Management Guidelines, Public Service Commission, 1991

Studybank Guide, Public Service Commission, 1991

Studybank Study Hints, Public Service Commission, 1991

SES External Development Programs, Public Service Commission, 1991

Mobility/exchanges

SES Career Development Package, Public Service Commission, 1992

The Executive Development Scheme booklet, Public Service Commission, published annually

The Senior Women in Management booklet, Public Service Commission, published annually

Officers Mobility Provisions Handbook, Public Service Board, April 1986

Key Area: Working Together

Objective

To foster and maintain good working relationships between people and organisations that recognise their mutual dependence.

Overview

The effective management of people requires leadership and effective communication of information and ideas.

Industrial democracy - or formal consultative arrangements - in the APS has had a legislative basis in the Public Service Act 1922 since 1984. At the national level the peak consultative body is the Joint Council of the APS. The work of Joint Council is underpinned by national consultative councils in agencies.

Participative management is a term which describes the day-to-day practices of managers in including staff in decisions which affect them and of sharing information. It is about management style and is based on a recognition by managers that people have a positive contribution to make to the decision making process and recognises the final responsibility of managers to make decisions and allocate resources.

The introduction of agency bargaining in the APS maintains the commitment to good staffing relations. The APS Framework Agreement between the Commonwealth and the public sector unions includes as one of its objectives:

"develop and pursue changes on a cooperative basis by using a consultative approach."

Good working relations contribute to efficiency and effectiveness by giving people a stake in corporate goals through improved commitment and performance by linking individual performance, corporate achievement and service to the Australian community to corporate performance.

Good practice indicators

Managers and their people are working together effectively when:

• people are committed and motivated to their work and they understand how their work contributes to the achievement of program and agency goals;

• participation is genuine with people at all levels of the agency having an opportunity to have input into the decision making processes, and managers seek the views of their people;

• the input of people is on the basis of a full knowledge and understanding of all relevant information;

• people's views are taken seriously, and are seen to be taken seriously; and

• grievances are resolved with an emphasis on conciliation rather than conflict, and accord with concepts of fairness and natural justice while respecting management's responsibilities for implementing government policy.

Element: Leadership

Objective

To maintain and improve the commitment, motivation and participation of people and ensure they understand how their work contributes to the achievement of program and agency goals.

Overview

People are the key to the achievement of a more productive and responsive public service and the leadership role of managers is critical to maximising the performance of individuals and teams of people. Leadership is an important part of the role of every manager and it is the factor which distinguishes management from administration.

Leadership is characterised by a willingness to adopt and manage change, to innovate, to communicate longer term strategic vision, to support people in decision making, to encourage considered risk taking and continuous improvement, and by recognition of individual and team contributions and achievements.

Underlying principles

Leadership in the APS relates to the key principles of efficiency and effectiveness, ethical conduct, equity, industrial democracy and accountability. Leadership also requires flexibility in recognition of the individual nature of people.

Leadership in practice

Building A Better Public Service noted "that leadership...will play a central role in bedding down the major reform initiatives of the past decade."

MAB has described effective leadership as:

• articulating clear messages about overall government directions;
• establishing a culture of responsiveness to government and an awareness of client needs;
• promoting, by personal example, the highest standards of diligence and integrity;
• improving two-way communication with people and including people in planning and policy developments;
• giving agencies, work units and people as much scope to manage for results as is possible and assisting through advice and guidance;
• being interested in results and insisting on accountability against established indicators;
• rewarding good performance and seeking to improve that which is not of a sufficiently high standard; and
• defending the service from unfair criticism.

Responsible agencies

Agency heads and individual managers are responsible for meeting their managerial and leadership obligations. This responsibility includes being accountable for the effective and healthy management of people.

The PSMPC provides good practice advice on people management issues through the HRM Framework and associated policies and publications. The Public Service Commissioner has statutory responsibilities relating to the management of the SES and has a specific training role relating to the leadership skills of APS executive managers, particularly through programs such as the 'Senior Executive Leadership Program' and 'Leading Australia's Future in Asia'.

Related elements

Leadership is related to other elements of the HRM Framework including: executive management; succession planning; ethics and managing conduct; management development programs; EEO programs; consultative arrangements; participative management; and communicating with people.

Element: Managing Industrial Relations

Objective

To promote and foster good employee-employer relationships in the workplace, where the emphasis is on the avoidance and resolution of disputes by cooperation, consultation, negotiation and information sharing.

Overview

The effective management of industrial relations should be part of an overall framework of internal consultation and negotiation which also includes industrial democracy plans, systems for communicating with people and a participative management style. It contributes to performance and morale, and thus the achievement of corporate goals, through the cooperative maintenance of working conditions, including a safe and healthy work environment. A harmonious workplace and the minimisation of disputes is also likely to contribute to the attraction and retention of people, thus facilitating human resource planning. The effective resolution of workplace issues through effectively managed industrial relations may also minimise resort to the formal grievance process.

Underlying principles

The effective management of industrial relations contributes to efficiency and effectiveness. The cooperative and participative resolution of disputes is founded on the principle of industrial democracy.

The APS is subject to the same industrial processes as the broader community under the provisions of the Industrial Relations Act 1988. In the APS, bans and limitations imposed in the workplace can be addressed through formal and informal processes.

Managing industrial relations in practice

The effective management of industrial relations requires a culture which emphasises consultation and communication. The APS Agreement, agency agreements and most APS awards include dispute avoidance and settlement procedures which aim to avoid or resolve industrial disputation through prompt and constructive workplace negotiation, beginning at the lowest possible level. While a problem is being dealt with by means of a dispute avoidance or settlement procedure, it is expected that work practices should continue as normal (unless there is a genuine safety issue involved). This means that management should not proceed with the implementation of any of the changes which are under contention and, equally, the union should not impose any industrial action while the steps are being followed.

Under the provisions of the Public Service Act 1922, agencies are required to consult with unions over a range of internal matters. The process of consultation provides the opportunity to deal with matters affecting management and people on a cooperative basis, thus reducing the potential for industrial action. If industrial action is pursued, informal processes normally include discussions with unions on a 'without prejudice' basis in an attempt to cease the industrial action without resorting to the more formal processes.

Managers also need to consider whether disputation or potential disputation have only local significance or whether they have broader implications for the department or the APS. Issues which may have APS-wide implications will require consultation with the Department of Industrial Relations (DIR) and/or the PSMPC as appropriate.

In the case of unresolved disputes involving industrial bans, limitations and/or stop work, the appropriate course of action may be to seek timely assistance from the Australian Industrial Relations Commission to resolve the issues.

Responsible agencies

The Department of Industrial Relations, in consultation with the two other central agencies - the PSMPC and the Department of Finance - has overall responsibility for the management of APS industrial relations. On Service-wide matters DIR represents the Government as the employer in negotiations and represents the Minister for Industrial Relations, (who is the 'employing authority' for APS staff under the provisions of the Industrial Relations Act 1988), in the Australian Industrial Relations Commission.

Through devolution and under the framework of workplace bargaining, agencies are taking greater responsibility for the management of their industrial relations, including developing and negotiating agency agreements, compliance with certified agreements, relevant awards, determinations and policies, and managing industrial disputes.

Related elements

The success of managing industrial relations greatly depends on the elements of communicating with people, participative management, and consultative arrangements.

An agency's ability to establish and foster a good relationship between management and employees based on trust and respect is crucial. Good management is knowledge and proper application of the provisions of awards, determinations and the Public Service Act 1922, and an awareness that any management action has the potential for affecting the employer-employee relationship.

Element: Consultative Arrangements

Objective

To appropriately involve people, including through their unions, in decision making processes which relate to their working lives.

Overview

Consultative arrangements in the APS have a legislative basis. Section 22C of the Public Service Act 1922 (the Act) was introduced in 1984 as part of the package of Government reforms contained in the Public Service Reform Act 1984.

Section 22C of the Act describes the nature of industrial democracy plans, the processes by which a plan is to be developed and accountability requirements. Under this section, every department, authority and agency staffed under the Act is required to develop an industrial democracy plan in conjunction with the relevant unions and to review it from time to time. These plans provide a framework for the effective agency implementation of the HRM principle of industrial democracy, formally giving people a say, through their unions, in decisions which affect their working lives.

Combined with effective communication of agency and APS aims and values and other participative management practices, consultative arrangements contribute to the achievement of corporate goals through improved commitment and performance resulting from an understanding of and involvement in corporate management decisions.

Underlying principles

Formal consultative arrangements contribute to efficiency and effectiveness by facilitating workplace cooperation, and to equity by providing a framework within which individual officers can express their views and concerns, including through their unions.

Consultative arrangements in practice

Agency Heads are responsible for the implementation of formal industrial democracy plans in consultation with employees and unions. Policy guidance is provided by the Department of Industrial Relations. The Department has also produced a number of publications to provide guidance and information to line departments.

Central to the consultative arrangements in each agency is the national consultative committee, comprising representatives of management, employees and unions. The form and role of these committees varies, depending on the size, regional dispersion and structure of the department. Committees may be structured along national, state, regional and local lines, with subcommittees responsible for specific areas such as EEO, information technology, human resource management and HRM.

At the Service-wide level, the peak APS consultative body is the Joint Council of the Australian Public Service. Joint Council is chaired by the Department of Industrial Relations and includes representatives of departments and unions. It provides a vehicle for consultation and recommendations on a wide range of issues affecting the APS. The Industrial Democracy and Workplace Reform Subcommittee of Joint Council is responsible for providing a forum for departments and unions to consider future measures for consultative arrangements, and the review of consultative arrangements practice in the APS including the operation of section 22C of the Act.

Responsible agencies

The Department of Industrial Relations has central agency responsibility for consultative arrangements in the APS.

In that capacity, it is responsible under section 22C of the Act for the application of accountability provisions relating to the development and review of industrial democracy plans including the capacity to require reports from departments as necessary, and making recommendations to departments on the content implementation and review of industrial democracy plans; issuing guidelines on the development, implementation and review of industrial democracy plans for departments; and reporting to the Prime Minister on the operation of section 22C.

Related elements

Consultative arrangements are related to several other elements of the HRM Framework including ethics and managing conduct, EEO programs, participative management and communicating with people.

Element: Participative Management

Objective

To encourage a style of management which involves people in decision making processes which relate to their working lives.

Overview

Participative management is based on a communicative style of management. It encourages consultation between management and people. It draws on the experience, knowledge and ideas of people in such activities as designing jobs and setting realistic work objectives. At the same time it recognises the final responsibility of management to make decisions and allocate resources in order to meet agency and portfolio priorities.

A participative management style complements the formal internal consultative arrangements within an agency. Together with a commitment to effective communication with people and consultative arrangements, participative management contributes to corporate goals and performance management by broadening the input into decision making processes; strengthening the commonality of interest between people and management; and affirming the value of individuals.

Underlying principles

Participative management complements the principle of industrial democracy, in that it gives people a say in issues affecting their workplace. The underlying principles that need to be taken into account are:

• participation must be genuine with people at all levels of the agency, including representatives of all relevant groups and workers with family responsibilities having an opportunity to have input into decision making processes;
• the input of people must be on the basis of a full knowledge and understanding of all relevant information; and
• people must know that their views will be taken seriously.

The principles of effectiveness and efficiency are also a major consideration.

Participative management in practice

The development and maintenance of a participative management style is the responsibility of each agency, and of individual managers, and relates to the culture of the agency. The corporate planning process provides an opportunity to seek people's views on strategies and priorities for achieving agency goals. The development of strategies for the implementation of the corporate plan - through Divisional, Branch and Unit business plans - also provides opportunities for participative management.

The performance appraisal process can be one aspect of participative management, in that it requires appraiser and staff member to negotiate a performance agreement which takes into account the staff member's views on the feasibility of programs and strategies for achieving corporate goals.

Responsible agencies

Individual agencies are responsible for the development and maintenance of a participative management style within their own agency. There is no specific central agency responsible, although the Department of Industrial Relations has central agency responsibility for consultative arrangements in the APS.

Related elements

Participative management is related to several other elements of the HRM Framework including supervising people, communicating with people, and consultative arrangements.

Element: Communicating with People

Objective

To encourage the sharing of information with people in a form which is capable of being understood and used by all people.

Overview

The effective communication to people of an organisation's aims, values and strategies, in the context of the overall values of the APS, should make clear the link between individual performance, corporate achievement and service to the Australian community. It ensures a common understanding of this link throughout the organisation, thereby supporting the work of line managers. Combined with participative management and consultative arrangements, it contributes to performance by giving people a stake in corporate goals. This sense of ownership of the organisation's achievements should contribute in turn to morale and to good conduct. It is a key aspect of leadership in the APS in that it provides the means of defining and managing corporate culture.

Underlying principles

A clear understanding of corporate goals and strategies is important if people are to be accountable for their contribution to corporate performance. Effective systems of communicating with people also meet equity considerations by ensuring that all people have equal access to information on corporate and APS goals and strategies.

A clear articulation of organisational values and standards has important implications for the effective operation of natural justice.

Communicating with people in practice

The corporate planning process provides the basis for effective communication with people. Periodic Division, Branch and Unit planning days provide opportunities to discuss and provide feedback on the corporate plan and to cooperatively organise and prioritise work loads to meet corporate aims. Agency newsletters, seminars and meetings with people and the circulation of seminal policy documents all contribute to the flow of information and advice about corporate values and goals. These formal and structured communication processes complement the day-to-day dialogue that occurs between managers and their people, and is the essential basis for healthy working relationships.

The performance appraisal process is a means by which managers can, when negotiating performance agreements, clearly articulate to individuals the way in which their job responsibilities contribute to corporate goals, and to discuss and agree on strategies on how they might be achieved. The induction and probation process, orientation programs, training programs at all levels and other developmental strategies can all complement the ongoing responsibilities of managers to articulate corporate and APS goals and values as part of the supervising people process. These programs also provide opportunities for direct communication between top management and people. Depending on the circumstances, strategies may need to incorporate material in languages other than English, or in a variety of media including print and audio/visual.

Responsible agencies

Individual agencies are responsible for the development and maintenance of appropriate communication strategies within their own agencies.

Related elements

Communicating with people is related to several other elements of the HRM Framework including induction and probation, supervising people, performance appraisal, managing underperformance, participative management and consultative arrangements.

Element: Grievance Resolution

Objective

To promote a cooperative, high trust workplace culture through emphasising conciliation rather than conflict, while providing mechanisms to resolve people's grievances.

Overview

Good work relations require that there be fair and effective ways of resolving problems in the workplace. Formal grievance procedures provide an important safety net for people against unreasonable management action.

Mechanisms for resolving grievances which emphasise conciliation rather than conflict, are important to the maintenance of morale and to the achievement of organisational goals.

APS staff are able to lodge grievances about a wide range of issues and have specific appeal rights against certain promotion decisions and against certain decisions taken under the redeployment, retirement and disciplinary provisions.

Underlying principles

The principles supporting grievance resolution are merit, equity, efficiency, effectiveness, independence, and accountability. Other important considerations are privacy and natural justice.

Grievance resolution in practice

Identification of potential problems and early intervention by managers may resolve potential areas of dispute before they reach the grievance stage. Grievances that do arise should be handled quickly and sensitively. Successful internal management of cases reduces resources expended on grievance resolution.

Responsible agencies

Part III of the Public Service Regulations contains provisions relating to the review of certain decisions and investigation of grievences. The Merit Protection (Australian Government Employees) Act 1984 describes the role of the Merit Protection and Review Agency (MPRA) in the grievance process.

In most cases, grievances must be investigated initially by the organisation, with people having a right of further review by the MPRA if they are dissatisfied with the outcome. The MPRA is an independent body within the APS that has been established to handle grievances and appeals. It encourages counselling and conciliation, but may also make findings or recommendations for consideration by organisations.

Administrative law provisions and anti-discrimination legislation also provide a number of other avenues of review that people may use in certain circumstances. These include the Administrative Appeals Tribunal, the Federal Court and the various arms of the Human Rights and Equal Opportunity Commission. Some matters may also be heard in the Australian Industrial Relations Commission. Individuals may also have access to the Industrial Court of Australia in relation to harsh, unjust or unreasonable termination of employment, although the Court may decline to consider such cases where it considers there is an adequate alternative remedy available, or where the Court does not have jurisdiction.

Related elements

Grievance resolution is supported by the elements of work environment, supervising people, managing industrial relations, communicating with people, and consultative arrangements.

References: Working Together

Leadership

Building a Better Public Service, MAB-MIAC Publication Series No. 12, 1993

Adding Value: A Systematic Guide to Business-driven Management and Leadership, Gerard Egan, Jossey-Bas, San Francisco, 1993

Leading People in Change: Empowerment, Commitment, Accountability, A report by a Panel of the National Academy of Public Administration, 1993

Managing industrial relations

The Industrial Relations Act 1988

Industrial Manager Newsletter, Department of Industrial Relations, published periodically

Topical memoranda and circulars issued by the Department of Industrial Relations

Consultative arrangements

Industrial Democracy in the APS for the 1990s, Department of Industrial Relations, 1993

Check List for Best Practice for Participative Workplaces in the APS, Department of Industrial Relations

Plans and Industrial Democracy, Department of Industrial Relations, August 1992

Participative management

Industrial Democracy in the APS for the 1990s, Department of Industrial Relations, 1993

Check List for Best Practice for Participative Workplaces in the APS, Department of Industrial Relations

Plans and Industrial Democracy, Department of Industrial Relations, August 1992

Communicating with people

Industrial Democracy in the APS for the 1990s, Department of Industrial Relations, 1993

Check List for Best Practice for Participative Workplaces in the APS, Department of Industrial Relations

Plans and Industrial Democracy, Department of Industrial Relations, August 1992

Communicating with People pamphlet, Public Service Commission, to be published in 1995

Grievance resolution

Grievances pamphlet, Merit Protection and Review Agency, 1994

Eliminating Workplace Harassment Guidelines, Public Service Commission, 1994

Eliminating Sexual Harassment - Guidelines for Sexual Harassment Contact Officers and Personnel Officers, Second Edition, Public Service Commission, 1990

Fair Go Newsletter, Merit Protection and Review Agency, published periodically

The Handling of Personal Grievances, Personnel Management Manual Volume 3, December 1982

Staff Counselling in the Australian Public Service, Personnel Management Manual Volume 3, 1981

Glossary

Accountability, a principle which denotes a direct authority relationship within which an individual accounts to a person or body for the performance of tasks or functions conferred or able to be conferred by that person or body.

Affirmative action, special measures for members of EEO groups designed to overcome the effects of a past disadvantage or past systematic and structural discrimination, regarded as lawful discrimination under human rights legislation.

Appraisal, a process of providing feedback to employees, letting them know how well they are doing their work in the organisation. It usually involves assessing performance and comparing it with an established standard. It can be formal (such as performance appraisal arrangements for Senior Executives and Senior Officers in the APS) and informal (an ongoing feedback activity between managers and staff members).

Career, the sequence of positions held by a person during his or her working life.

Career planning, the conscious planning of a career path by an individual either alone, or in conjunction with his or her employer.

Code of ethics, a formal statement of values and the rules which employees are expected to follow.

Competency, the ability to perform an activity within an occupation or function to the standard expected in employment.

Development, the enhancement of skills, knowledge and attributes in order to meet current or future agency objectives and/or career plans or aspirations of the individual.

EEO groups, women, Aboriginal and Torres Strait Islander people, people with disabilities, and people of non-English speaking background.

Effectiveness, a principle which measures the extent to which government programs and activities achieve their objectives.

Efficiency, a principle which is concerned with achieving a desired result using a specified level of resources; ie., outputs are maximised for a given level of resources or resources minimised for a given level of output.

Equal Employment Opportunity, a strategy supported by legislation which aims to eliminate unjustified discrimination - in all aspects of human resource management - against members of EEO groups, and which enables them to compete as effectively as other people for appointment, promotion and transfer.

Equity, a principle which requires that people management is based on the same principles across the APS to ensure that individuals are treated fairly, reasonably and impartially, and that outcomes indicate progress in employment for different EEO groups.

Ethical conduct, a principle which aims to ensure that all employees behave with integrity and self-discipline, adhering to the provisions of the Public Service Act 1922 and the Public Service Regulations and the Guidelines on Official Conduct of Commonwealth Public Servants. Other legislation, such as the Crimes Act 1914, Privacy Act 1988, the Administrative Decisions (Judicial Review) Act 1977 and federal anti-discrimination legislation may also be relevant.

Flexibility, the ability of people and processes to respond to an identified change in circumstances within a short time frame, and for the merit of individual cases to be considered in the light of the spirit of the program/process.

Human resource development, to improve organisational effectiveness and individual performance by providing people with opportunities to develop the competencies required to fulfil their current responsibilities and by helping them to pursue their career goals.

Human resource management, the process of ensuring that appropriate, competent people are available when required by an organisation, that they are able to achieve those organisation's objectives and that their skills, knowledge and abilities are enhanced, maintained and used effectively.

HRM principles, eight principles which underpin good people management practice in the APS: accountability, effectiveness, efficiency, equity, ethical conduct, independence, industrial democracy, and merit.

Human resource planning, aims to ensure that people with the right skills and abilities are available in sufficient quantity to meet organisational goals by effectively forecasting and planning for future people requirements in agencies.

Independence, a principle which refers to the freedom of the APS to act without fear or favour while remaining responsible for the implementation of the policies/programs of the government of the day, regardless of which political party or parties are in office.

Industrial democracy, a principle which aims to involve employees and their representative unions fully in the decisions that affect their working life, thereby contributing to a more efficient and productive public service, and enhancing the quality of working life.

Line manager, a manager who has supervisory responsibilities, and who is directly concerned with the production and distribution of the agency's goods or services.

Merit, a principle which requires that decisions on appointment and promotion in the APS be made on the basis of fair and open competition to ensure that the most suitable person is selected having regard to the abilities, personal qualities and experience of applicants. Selections must be made without discrimination, patronage or favouritism and in accordance with equal employment opportunity (EEO) principles.

Multiskilling, the acquisition of several skills, not just those immediately relevant to the job at hand.

Natural justice, which means people have a right to expect that any decisions being taken about them are taken by an unbiased decision maker, and are based on open and fair decision-making processes which allow them the opportunity to respond to those decisions.

Performance management, a set of strategies to foster agency productivity and effectiveness by maximising and maintaining individual and team performance.

Privacy, which means, in accordance with the provisions of the Privacy Act 1988, that people have a right to expect that personal information held on them is accurate and available for inspection and amendment if not, and that that information is properly safeguarded and protected. They must also be kept fully informed of the uses to which this information may be put.

Reasonable adjustment, an approach to employment where employers are willing to examine the physical and organisational barriers which may prevent the employment, limit the performance, or curtail the advancement of people with disabilities. Whenever possible, necessary and reasonable to do so, employers will make modifications or adjustments to the workplace to fit the special needs of the person with a disability.

Social justice, which requires APS agencies when developing, implementing and evaluating their policies and programs to assess their social impact in terms of equity, equality, access and participation.

Succession planning, a human resource management activity which focuses on the training and development of people to fill future vacant positions (existing ones and those to be created) in an organisation.

 

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