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Last updated: 10 February 1996

SES selections: Principles, guidelines and good practice

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.

Part 1

This Part provides, in the main, advice on the principles and legal requirements of the Public Service Act 1922 which must be applied in selecting people for Senior Executive Service positions.

1. Legislation affecting SES selection and staffing

The Public Service Act 1922 (the Act) sets out the legislative requirements to be met in appointing, promoting or transferring people into or within the SES. Relevant sections of the Act, and related Public Service Regulations, are specified in the following pages to assist departments in making appropriate decisions in the SES staffing process.

2. Principles underlying recruitment and selection

The human resource management principles upon which good SES selection practices are based are equity, open competition on merit and natural justice. The merit principle embraces:

adequate publicity to attract appropriate applicants;
assessment against realistic standards;
absence of unjustified discrimination; and
ranking on the basis of an assessment of ability.

A number of key public service values are described in the Management Advisory Board publication Building a Better Public Service. These values distinguish the special features of work and employment in the Australian Public Service (APS) and are therefore central to the effectiveness of the SES and relevant to the SES selection process. They are detailed at appendix A.

3. Public Service Commissioner's role

The Public Service Commissioner has a number of specific responsibilities in relation to selection for SES positions under the provisions of the Act. The power to appoint and promote to SES positions, including Senior Executive (Specialist) positions, rests solely with the Commissioner.

The Commissioner may only make a promotion to an SES office on the written recommendation of a Secretary. The Commissioner must promote the recommended officer unless satisfied that:

the procedures followed for notifying the vacancy and considering applications were not adequate;
the recommended applicant is not suitable for the performance of the duties of the office being filled or for SES offices of the same classification;
the position might be filled by the transfer of an officer, either under the redeployment provisions of the Act or to better promote the efficiency of the APS; and
further advertising/notification of the vacancy is desirable in the interests of the APS.

While Secretaries have been delegated the power to transfer SES officers in most circumstances, only the Commissioner can transfer a Senior Executive (Specialist) officer to a non-Specialist office. Such a transfer may only be made after a merit selection process and in accordance with the Secretary's recommendation.

An exception to this is where the Specialist officer was, within the preceding three years, the substantive occupant of a non-Specialist office of equal or greater classification in the SES. In such cases, the power to transfer has been delegated to Secretaries.

4. Secretaries' powers and delegated powers

In addition to being responsible for making recommendations to the Commissioner to appoint and promote to SES offices, Secretaries hold a number of powers and powers delegated by the Commissioner in relation to permanent and temporary transfer to and within the SES.

A Secretary has the power under section 49(1A) to transfer a Senior Executive (Specialist) officer in the department to another Specialist office within the department. Similarly, a Secretary has the power to transfer an SES officer (other than a Senior Executive (Specialist) officer) in the department to another SES office (other than a Senior Executive (Specialist) office) within the department.

The Commissioner has delegated to Secretaries the power under section 49 of the Act to transfer an SES officer, who is not a Senior Executive (Specialist) officer, to a Senior Executive (Specialist) office.

The power to arrange interdepartmental transfers has also been delegated to Secretaries. To effect a transfer between departments, the Secretary of the gaining department will need to obtain agreement to the transfer from the losing department's Secretary.

5. Advertising SES vacancies

Section 33AA(1) of the Act requires Secretaries to inform the Public Service Commissioner of substantive SES vacancies, whether currently vacant or expected to fall vacant within six months.

Section 33AA(2) requires Secretaries to notify SES vacancies in the Commonwealth of Australia Gazette, except where the Secretary proposes to fill the vacancy by transfer of an existing SES officer under section 49 of the Act. SES vacancies notified in the Gazette are open to application by both permanent APS officers and people outside the APS.

It is the Government's policy that all permanent SES vacancies notified in the Gazette will also be advertised appropriately in the press.

Section 33AA(3A) provides an exception in instances where a person appointed, promoted or transferred to an SES office does not start to perform the duties of the office, thereby causing the office to continue to be vacant. In such cases, the Secretary may make a recommendation to the Commissioner to promote or appoint an officer on the basis of the selection process used to fill the position in the first instance.

6. Assessment of claims

Section 26 AA of the Act, which details the purpose and establishment of the SES, and section 49C indicate that in selecting for promotion (or transfer from a Senior Executive (Specialist) office to an SES office other than a Specialist office), consideration shall be given only to the relative efficiency of the officers available (and `efficiency' is defined in section 49C in terms of `suitability').

Applicants' claims must be considered in terms of whether they are suitable to perform the duties of the particular vacancy and whether they are suitable to perform effectively the duties of other SES offices at that level. Section 49C outlines a range of matters to be considered in making assessments of suitability, including:

capability;
standard of performance in other positions;
relevant experience;
training and educational qualifications;
relevant personal qualities; and
potential for further career development in the SES.

While not stated explicitly in the legislation, the same considerations will apply in the course of a selection process in relation to assessing the relative efficiency of applicants for appointment to SES vacancies. In relation to instances where selection exercises result in transfer actions to be effected by the relevant Secretary, section 49(2) of the Act requires that the Secretary have regard to the effect that the proposed transfer would have on the efficiency of the Service and the career development of the officer. The views of the officer in relation to the transfer should also be considered.

7. Selection criteria for SES offices

Core SES selection criteria have been developed to assist departments and selection advisory committees in the assessment of applicants' relative efficiency for SES positions. The criteria are based on a skills survey of all SES officers and subsequent consultation with Secretaries. The main headings of the SES core selection criteria are:

Corporate management skills
Representation and interpersonal skills
Leadership
Conceptual and analytical skills
Judgement

Appendix B details the criteria in full and sets out examples of the types of skills, qualities and abilities being sought under the criteria.

8. Additional job-specific criteria

The SES core selection criteria will be the complete set of selection criteria for most SES offices (other than Senior Executive (Specialist) offices). In cases where additional criteria are considered necessary, departments should take care that such criteria do not place undue limitations on applicants. Additional criteria should be limited to one or two.

9. Senior Executive (Specialist) selection criteria

The Senior Executive (Specialist) category was introduced because some SES positions require high levels of technical or professional expertise, but have more limited management and policy advising responsibilities.

The Senior Executive (Specialist) category nevertheless needs to maintain a relationship with the general SES in terms of core criteria appropriate to senior level positions.

Three core criteria for Specialist positions have been identified which incorporate elements of the standard SES core selection criteria. Job-specific criteria will be added to these core criteria to reflect the particular technical/professional skills required in the position.

The Senior Executive (Specialist) core selection criteria are:

Communication skills
Conceptual, analytical and strategic skills
Judgement

Appendix C provides examples of the qualities and abilities being sought under these core criteria for Senior Executive (Specialist) positions.

Applicants should be rated as suitable only if they can demonstrate a satisfactory level of competence or potential competence against these core criteria.

10. Transfer applicants and displaced officers

The movement of an SES officer from one position to another within the same Band is considered to be a transfer, whether or not the position to which the officer is being transferred is at a higher or lower salary point within the Band.

Where a field of applicants includes a suitable transfer applicant, the Secretary may consider whether that person should be selected and transferred without the need for a formal merit competition.

Where a Secretary decides not to transfer an applicant without testing the available field, applicants are expected to compete on merit in the selection process.

The Commissioner expects that particular consideration will be given to the claims of all transfer applicants and/or displaced SES officers and that they will be interviewed wherever practicable. All Band 3 officers applying for transfer to advertised Band 3 vacancies should be interviewed as a matter of course.

It should be noted that SES officers may not decline a transfer to another SES office.

11. Selection advisory committee's report

The report of the selection advisory committee to the Secretary needs to be sufficiently well documented. It should demonstrate clearly that the claims of each applicant have been fully considered based on their experience, interview performance and referee comments and that these assessments have been made against the relevant selection criteria. Appendices F and G provide further detail on documentation.

It should be noted that, as departments no longer forward the assessments and applications of interviewed applicants rated as unsuitable, a separate schedule detailing name, position and department/employer must be prepared. The main reason or reasons why the applicant was found unsuitable should be summarised in each case.

The Secretary and the Public Service Commissioner need to be able to follow the logic of the recommendation to ensure that the SES selection outcomes are justified and supportable.

12. Secretary's recommendation to the Public Service Commissioner

The Act requires that recommendations for promotion to SES offices must be made in writing by the relevant Secretary to the Public Service Commissioner.

In relation to recommendations for appointment, the Commissioner would expect the recommendation to be made by the relevant Secretary.

If a Secretary decides to recommend to the Commissioner a person other than the person recommended by the committee, the Secretary must clearly document the reasons for the recommendation.

No announcement on the expected outcome of a selection exercise should be made before the Commissioner has agreed to the recommended action.

13. Appointment, promotion and transfer

Where the Commissioner has agreed in principle to a recommendation to appoint an individual to an SES position, the department must carry out the normal pre-appointment checks applicable to new entrants to the APS before the appointment can be finalised.

It is expected that a person being appointed to the SES will have ceased any other employment obligations before commencing duty.

Where the Commissioner makes an appointment, it is also expected that an appointee will take up duty within a reasonable period of time of an instrument of appointment being issued.

All appointments, promotions and transfers to advertised SES vacancies must be notified in the Gazette.

Promotions to SES vacancies take effect seven days following gazettal or when the position becomes vacant, whichever is the later. Appointments take effect from the date of the instrument, or the date of taking up duty, whichever is the later. Transfers take effect on the date agreed to between the relevant parties and specified in the notification of transfer.

14. Temporary transfers

In relation to temporary transfers, Secretaries have the power under section 49A of the Act to direct an SES officer to perform the duties of an office, at their substantive level, within the department. Regulation 108 allows Secretaries to direct an officer to perform the duties of an office, of higher or lower classification, in that department.

15. Fixed-term appointments

The Public Service Commissioner can appoint a person to the SES on a fixed-term basis or extend an existing fixed-term appointment. Fixed-term appointment is not an option where a permanent officer of the APS is the successful applicant.

Fixed-term appointment is an option to be considered by recruiting departments and prospective appointees. Fixed-term appointment may be of particular benefit where it is known that the position being filled is required for only a limited time.

Fixed-term appointment might be attractive to appointees for superannuation reasons. Appointees have some options regarding their superannuation arrangements. The choice must be finalised before the instrument of appointment can be issued.

The maximum period of a fixed-term appointment is five years. Where a fixed-term appointment is made initially for a period of less than five years, a department may seek an extension provided the extension will not take the total appointment over the five-year maximum nor that the officer will pass the maximum retiring age of 65 years in that time. Such extensions can only be made by the Public Service Commissioner and

should be sought and agreed to before the original fixed-term appointment ends.

16. Probation requirements

Appointees to the APS are generally appointed on probation. However, under some circumstances a Secretary may consider that an SES appointment warrants being made without probation. In such cases, the Secretary should note this in the recommendation to the Commissioner and, if agreed, the instrument of appointment will reflect that the appointment has been made without probation.

Departments should ensure that appointees are informed about the terms of probation at the time they are advised that their application for appointment has been successful.

The Act provides that only the Public Service Commissioner may terminate a probationary SES appointment. The Act requires a Secretary to give the Commissioner written notice of any case where he or she does not intend to confirm the appointment. As soon as practicable after receipt of such notice, the Commissioner must confirm or terminate the appointment.

Part 2

The information and advice contained in this Part is generally not mandatory. It places SES selection in a wider context of human resource management and offers good practice guidance and suggestions on conducting SES selection exercises. Any actions taken in relation to SES selections must comply with the legal framework and guidelines contained in Part One of this booklet.

1. Staff selection and the HRM Framework

Selection for positions in the APS, including SES positions, is part of the key area of staffing practices described in the Human Resource Management Framework for the Australian Public Service . Good staff selection practices will help avoid problems of performance emerging later in the workplace. Additional care at the time of selection can save much time and effort later on performance management.

2. Integrating SES selection with continuing HRM strategies

The focus of human resource management in the APS is to help people work more effectively, to achieve objectives and to continuously improve their department's performance.

People are the key element in achieving a more productive and responsive public service. The overall efficiency and effectiveness of the APS directly depends upon the selection and performance of individual officers. In selecting staff for the SES, it is therefore critical to ensure that executive managers have the range of skills required to effectively meet the demands of managing human and financial resources, developing and implementing policy and implementing government programs.

3. Characteristics of good practice in people management

In the context of people management in the APS, good practice in people management:

signifies a standard of performance to aim for as an outcome;
draws upon and extends the knowledge and experience collected from effective and successful workplaces in the public and the private sector; and
is a dynamic concept that is concerned with pursuing continuous improvement in people management policies and practices to achieve desired outcomes such as efficiency, effectiveness, productivity and equity.

4. Characteristics of good practice in the SES selection process

Experience has shown that there are a range of practices that assist in achieving successful SES selection outcomes.

The following characteristics of good practice may be useful indicators of the effectiveness of the SES selection process.

Forward planning is undertaken for identified SES vacancies.
Wide, relevant and factually correct advertising is undertaken to attract the best field.
All applicants are treated fairly and equitably.
Selection advisory committees are fully aware of their role and responsibilities.
Shortlisting, rankings and final selection are made against the core SES selection criteria.
Recommendations to fill SES vacancies are fully documented and the process is transparent.

The responsibility for good practice rests with selection advisory committees, PSC representatives, Secretaries and the Public Service Commissioner.

5. Good practice by Secretaries and departments

Secretaries and departments are observing good practice when they:

have systems in place to identify potential SES vacancies and to consider whether several positions can be dealt with at the same time;
take steps to ensure that SES vacancies are filled quickly and efficiently;
take appropriate steps to publicise vacant SES positions to attract wide fields;
ensure that competition for vacant SES positions is fair and equitable;
have SES officers responsible for conducting selections who are fully conversant with their responsibilities and the processes to be followed;
conduct selection exercises which fully consider the claims of applicants; and
finalise selection recommendations in a timely manner.

As well as the Gazette notification of SES vacancies, it is the Government's policy that a satisfactory level of advertising be undertaken in the national press to ensure that the available field of applicants is fully tested both within and outside the APS. Departments may also wish to focus on particular areas of Australia or sections of the community. Consideration might also be given to placing advertisements in relevant specialist/professional publications, regional newspapers etc., as well as in national newspapers.

Departments may advertise a vacancy with either the salary range applying to the Band or an exact salary point within that range. Advertising the salary range is a more flexible approach and is more likely to attract a wider field of applicants than an advertisement stipulating a specific salary point.

Secretaries are responsible for determining how temporary SES vacancies should be filled, including the need for and extent of advertising. Temporary vacancies of more than one month's duration should normally be advertised internally for departmental staff to put forward their claims. A limited selection exercise would then be required to identify the best available officer.

To test the available field, temporary vacancies of more than six months duration would normally be advertised in the Gazette and, if appropriate, in the press.

6. Good practice by SES selection advisory committees

Selection advisory committees are observing good practice when they:

consider all applicants' claims fairly and equitably;
shortlist applicants for consideration by carefully assessing their written claims against the selection criteria;
conduct interviews and contact referees, where necessary, in a way that quickly concludes the selection exercise;
are satisfied that appropriate and necessary referee reports have been obtained;
seek comment from applicants on referee reports obtained directly by the committee;
take care to consider thoroughly the rankings they report to the Secretary, particularly the distinction between `suitable' and `unsuitable' applicants; and
ensure that required documentation is included with their final report and recommendation for the Secretary to consider.

It may be appropriate to consider including on committees individuals with particular skills or knowledge related to the duties of the position being filled. Such people could be officers from other departments or, in some cases, from outside the APS.

Where a committee remains uncertain on the claims of one or more applicants, it may consider approaching referees at the shortlisting stage to gain a clearer picture of the applicant's claims.

Care should be taken to convey to outside referees the requirements of the vacant position with as much precision as possible, and to seek from referees factual information in support of any judgements offered.

Unless sufficient care is taken, interviews can be susceptible to a number of problems that reduce their effectiveness. Committees should:

make assessments of applicants' abilities and claims taking into account all relevant information available including referee reports, work history and achievements and interview performance;
have a structured interview and standard set of interview questions to make a comparative assessment of applicants' abilities easier;
recognise that there may be various and relevant areas of the applicants' claims to be investigated;
focus only on characteristics that are relevant to the selection criteria;
make judgements without bias;
ensure that information provided and responses are assessed on their relative value; and
not allow first impressions to dominate the process.

Applicants should not be advised that they have been unsuccessful until the process is finalised, either when a Secretary, or the Commissioner under section 491B(c), formally effects a transfer to the position, or when the Commissioner has made a promotion or agreed to the appointment of an applicant. However, it may be appropriate to advise applicants who have not been shortlisted for interview, particularly where they are internal applicants.

Good practice indicates that applicants should receive feedback as part of the total selection process. Feedback is not compulsory for applicants, but committees, and in particular their Chair, should be prepared to provide feedback if requested. Feedback should be limited to the selection at hand and should not be used as a replacement for normal counselling nor as a replacement for formal appraisal mechanisms or job performance feedback.

7. Good practice by PSC representatives

Public Service Commission representatives are observing good practice when they:

participate fully in the total selection process, from shortlisting through interviews to the committee's final recommendation;
ensure that the overall process is fair and that a proper assessment, including referees' comments, has been documented against the selection criteria;
ensure that applicants external to the recruiting department are not discriminated against;
ensure that the claims of applicants, including transfer and displaced applicants, have been fully considered;
ensure that particular attention is given to the distinction in rankings between `suitable' and `unsuitable' applicants;
are assured that individual assessments have addressed the selection criteria and the overall report and any comparative assessment justifies the conclusions reached;
ensure that the person(s) recommended for non-Specialist positions are suitable both for the particular vacancy under consideration and for other SES positions at the same level;
ensure that Equal Employment Opportunity (EEO) matters are considered; and
report to the Public Service Commission at the conclusion of the selection process that it was conducted in accordance with legislative requirements and satisfied PSC guidelines.

8. Good practice by the Public Service Commission

The Public Service Commission is observing good practice when it:

provides accurate and timely advice on SES selection issues to departments;
ensures that recommendations to appoint, promote or transfer people to SES positions are based on a fair and equitable selection process; and
responds to recommendations as quickly as possible.

9. Successful outcomes in SES selection

Successful outcomes of good practice in SES selection would mean that:

SES positions are filled by top quality people;
selections are completed as quickly as possible and within maximum timeframes allowed;
assessments of applicants' claims are based on merit;
selection processes are seen to be fair, equitable and transparent;
Secretaries and the Public Service Commissioner are able to clearly follow the logic of selection advisory committees' deliberations; and
Secretaries' recommendations to promote or appoint to SES positions are agreed to by the Public Service Commissioner.

Part 3

The information and advice contained in this Part provides further guidance for delegates, selection advisory committees and others involved in the SES selection process. This guidance, although not mandatory, describes processes and practices which the Commissioner would normally expect departments to follow.

1. Preparing SES selection documents and advertisements

Departments are fully responsible for preparing selection documentation, including the drafting and placement of advertisements in the Gazette and the press. Copies of press and Gazette advertisements, duty statements and selection criteria should be forwarded to the PSC as early in the process as possible. This assists the PSC in its role of monitoring SES vacancies and selection exercises. These documents should be accompanied by a completed form PSC 1 shown at appendix D.

2. Using executive search firms

Departments may engage private sector firms to assist in identifying potentially suitable applicants for advertised vacancies. Persons identified through this means would then be considered in conjunction with all other applications received via the usual press and Gazette advertisements.

3. SES selection advisory committee membership

Selection advisory committees should normally be chaired by an officer of a substantively higher classification. This will frequently be the supervisor of the vacant position. The size of a committee is for the department to determine, and other members may be drawn from different areas of the department or from other departments.

Committee members should be aware of their obligations to declare and avoid any conflict of interest, real or apparent, arising out of the selection process.

4. PSC representatives

In forming selection advisory committees, departments need to identify an SES officer from another department to fulfil the role of PSC representative. Departments should advise the PSC of the officer nominated to act as the representative. The PSC will indicate whether the nominee is acceptable to act in that role.

To verify that the key steps in the selection process are completed according to PSC requirements, the representative is provided with a `PSC Representative's Verification' form as set out in appendix E. This form should be completed by the representative when the committee's considerations have been completed and included with the selection report and any recommendation made to the PSC.

5. Shortlisting applications

Shortlisting written applications identifies those applicants most likely to have strong claims against the selection criteria for the position being filled. Committees should consider the claims of applicants against the core SES criteria in order to make an objective judgement as to whether applicants warrant interview and further investigation.

In making decisions not to interview applicants, committees should carefully document the reasons for such decisions and identify the aspects of the selection criteria where claims were not demonstrated or of insufficient weight to warrant interview. In recording these details, as the applications for non-interviewed applicants are no longer to be forwarded to the PSC, committees should list each applicant's name, position, department/employer (where provided by the applicant), together with the reasons for non-interview.

6. Selection methods

The most common method used to further assess shortlisted applicants' claims is for the selection advisory committee to conduct interviews. The outcome of interviews, together with the information provided in written applications, should allow the committee to determine whether applicants are in contention or not and, therefore, whether or not to pursue further information, such as referee reports.

A committee should have an agreed framework for evaluating interviewees against the set of questions to be asked. The questions agreed upon should be both relevant to the position

and related to the core criteria. Some areas of the core criteria may rely more upon referee comments to enable committees to make an informed judgement of an applicant's abilities. Examples of such criteria may include aspects of leadership and people management. Applicants should be asked questions which test their capacity to fulfil the duties of other positions at the level of the vacancy.

7. Referee reports

Referee reports are an integral part of the selection process, and should be the best source of information on applicants' on-the-job performance. Committees should seek reports from relevant nominated referees. They may also approach anyone who, in their judgement, would have a good knowledge of the applicant's work performance.

The Public Service Commissioner normally expects that at least two referee reports will be obtained for applicants in contention.

Where committees elect to speak with referees, comments made should be carefully recorded and preferably cleared and countersigned by the referee concerned.

In some cases, a member of the selection advisory committee conducting the selection exercise may be best placed to provide referee comment on an applicant under consideration. In order that committee members can distinguish their role on the committee from their normal supervisory or referee relationship with the applicant, it is recommended that a written referee report be prepared before the interview process.

Where it could be of significance in final rankings, applicants should generally be given the opportunity to respond to any adverse issue arising from referees reports. In any case, all referee reports obtained by the committee should be made available to the applicants concerned.

It should be noted that section 89A of the Act provides, in statutory form, the common law defence of qualified privilege in relation to reports on the work performance or conduct of officers and employees.

Referee reports may be a sensitive issue for outside applicants. Committees should assure outside applicants that if seeking references from current employers is likely to cause embarrassment or jeopardise present or future employment with that employer, they will not be sought unless the applicant agrees or there is a high possibility that the applicant will be selected or, at least, be on the final shortlist. In such cases, the relevant individual assessment should specify any sensitivities involved and the basis of any decision made that referees should not be contacted.

8. Recommendations to promote and appoint

A recommendation made to the Commissioner to promote or appoint an individual to an SES position should have the following attachments:

the 'PSC Representative's Verification' form;
documented referee reports and their individual assessments for each interviewed applicant who was rated suitable; and
a schedule detailing interviewed applicants rated unsuitable.

Departments should retain documentation relating to applicants rated unsuitable and applicants who were not interviewed in accordance with normal archival requirements. The PSC may request access to this documentation.

Individual assessments need to be written against the selection criteria taking into account an applicant's experience, interview performance and referee comments. In addition, the comparative assessment should be, in relation to applicants judged to be in contention, an assessment of each applicant's claims against other applicants in relation to the selection criteria.

Recommended formats for overall selection reports and individual assessments are included at appendices F and G.

Departments should bear in mind that under Guidelines on Access to, and Keeping of, Personal Records, an applicant may obtain copies of the relevant parts of a selection report concerning his or her assessment, including any comments in a comparative assessment and copies of any referee reports regarding his or her performance. Further material may be available under other provisions, such as Freedom of Information requests.

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