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> Archive > Circular 1999/11: Advice on the application of the Senior Executive Leadership Capability Framework to Senior Executive Service selection exercises
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Last updated: 1 September 1999

Circular 1999/11: Advice on the application of the Senior Executive Leadership Capability Framework to Senior Executive Service selection exercises

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.

With the introduction of the Senior Executive Leadership Capability Framework ("the Framework"), Portfolio Secretaries have endorsed the realignment of SES selection procedures and processes. This includes, in particular, a decision to replace the current core SES selection criteria, in use since 1991, with the 5 segments identified by the Framework.

The Framework identifies the five core criteria for high performance by senior executives in the Australian Public Service. Each of the criteria heads a group of inter-related capabilities.

Attached to this circular are Guidelines on SES Selection, designed to provide advice on the following areas:

  1. The new SES selection criteria
  2. Advertising SES Vacancies
  3. Selection Methodologies
  4. Public Service Commissioner's role
  5. Further Information on SES Staffing Matters
  6. Good Practice Questions and Answers

The overarching basis of SES selection remains the merit principle, encompassing adequate publicity to attract applications, assessment against realistic standards, the absence of unjustified discrimination and ranking on the basis of ability.

The new criteria will be effective from 1 September 1999.

Further advice on the information provided in the attached Guidelines can be obtained from Mr Jeff Lamond, Team Leader, Staffing, Structures and Performance Team, on 02 6202 3859.

Commissioner signature

Helen Williams

25 August 1999

Guidelines on Senior Executive Service Selection 1999

Introduction

1. These Guidelines are designed to provide agencies with general advice on the conduct of Senior Executive Service (SES) selection exercises and, in particular, on the application of the new SES selection criteria to these exercises.

2. The new criteria are derived from the Senior Executive Leadership Capability Framework, formally launched on 19 May 1999. The new criteria will apply to all SES vacancies advertised after 1 September 1999, but agencies have been free to utilise them since their release in May. Vacancies advertised in that period may therefore refer either to the existing core criteria or to the new criteria. Vacancies advertised with the existing core criteria before 1 September 1999 will be finalised on the basis of those criteria, so some selection exercises may remain based on the existing core criteria until 31 August 2000, ie twelve months after advertising, which remains the period during which SES selection exercises remain current.

Relevant Legislation

3. The Public Service Act 1922 continues to provide the legal framework for the staffing of the SES. The main sections of the Act that apply to SES staff selection matters are:

4. The principles upon which SES selection practices are based are equity, open competition on merit and natural justice. The merit principle includes adequate publicity to advertise vacancies; assessment against job-relevant standards; and the absence of unjustified discrimination.

5. In these guidelines, the terms "Agency" and "Agency Head" are used. These encompass, respectively, departments and agencies staffed under the Public Service Act, and Secretaries and heads of agencies with the powers of a Secretary.

Part 1 - SES selection criteria

6. The Senior Executive Leadership Capability Framework ("the Framework) is divided into five segments. For the purposes of SES selections, it has been agreed that these five segments will form the new core selection criteria. The new criteria are:

7. In order to be considered suitable for the SES, applicants have to be assessed as having a basic level of competence against all of the criteria. In applying the selection criteria, however, agencies may wish to determine that greater emphasis should be given to particular criteria, taking into account the work to be performed in the particular position being filled and the overall skills-mix of the senior management group in the agency. If such emphasis is to be given to one or more criteria, this should be clearly documented and highlighted in both the selection documentation and advertising.

8. Attachment 1 is the formal one page representation of the Framework, identifying the five broad messages about the behaviours of high performing leaders which have become the core criteria for the assessment of Senior Executives and the capabilities that flow from each of these criteria.

9. Where an agency believes that it is necessary to include (in addition to these five core criteria) agency-specific criteria, such as particular qualifications or mobility requirements, it will be able to do so with the approval of the Public Service Commissioner. Given the breadth of the core criteria, it is expected that the need for such additional criteria will not be great.

10. The new criteria will apply to vacancies advertised on or after 1 September 1999. SES vacancies advertised before that date may continue to apply the previous core criteria to the assessment of applicants' claims, and any recommendations flowing from such selection exercises will be considered in the standard 12 month lifespan of SES selection exercises. Alternatively, the new criteria can also be used for vacancies advertised before 1 September 1999.

11. Selections for SES vacancies advertised on or after 1 September 1999 must assess the claims of applicants against the new criteria. Agency Heads should ensure that selection committees are using the appropriate criteria and that applicants are aware of the criteria being applied.

Assessment against the new SES Selection Criteria

12. Assessment is to be against the five criteria. The capabilities outlined under each of the main headings are not in themselves additional criteria and it is not intended that applications and assessments should address each and every capability. Applicants should frame their applications, and selection advisory committees should assess those applications, against the selection criteria, taking account of particular capabilities where they have been identified as are relevant to the duties of the position being filled.

Criterion: Shapes Strategic Thinking

Relevant capabilities:

Criterion: Achieves Results

Relevant capabilities:

Criterion: Exemplifies Personal Drive and Integrity

Relevant capabilities:

Criterion: Cultivates Productive Working Relationships

Relevant capabilities:

Criterion: Communicates with Influence

Relevant capabilities:

Part 2 - Advertising SES vacancies

13. In general, the same principles that currently apply in relation to the advertising of SES vacancies will continue. It remains Government policy that SES vacancies, which are open to application from all eligible persons both within and without the Australian Public Service, should be notified in appropriate media, such as newspapers, magazines and the Internet. This is in addition to a requirement for the notification of SES vacancies in the Commonwealth Gazette. The judgement on what constitutes appropriate media in each case will be one for the recruiting agency to make.

14. There are several matters that must be included in media advertisements:

15. Under the existing framework, including in particular the Public Service Act 1922, the PSMPC will continue to monitor SES selection exercises and agencies will continue to provide the PSMPC with advice when SES vacancies are being advertised and seek PSMPC agreement to:

16. The form PSMPC1 (copy at Attachment 2) should be used to notify the PSMPC of SES vacancies and the means by which it is proposed they be filled. The form, together with relevant attachments, should be forwarded to the PSMPC as soon as details are available.

Part 3 - Selection methodologies

17. Agencies are responsible for the means used to assess applicants for SES vacancies, subject to the application of the merit principle and bearing in mind the matters on which the Public Service Commissioner must be satisfied before making a promotion or appointment (see Part 4 of this document).

18. In assessing applicants for SES vacancies, one approach has been to establish a selection advisory committee to make an initial assessment on written applications leading to interviews of those considered to be worthy of further consideration. This is followed by a referee check on those applicants regarded as being in contention, with the committee making a final judgement on which applicant(s) warrant being recommended to the agency head for promotion, appointment or transfer.

19. Alternative means of assessment are available, including assessment centre methodologies, structured application forms, self-selection tools and occupational testing. Advice on the range of mechanisms available to agencies can be obtained from the PSMPC. All assessment processes must be oversighted by the selection advisory committee.

20. Applicants' claims must be considered in terms of whether they are suitable to perform the duties of the particular vacancy and of whether they are suitable to perform effectively the duties of other SES offices at that level. Section 49C of the Public Service Act outlines a range of matters to be considered in making such assessments of suitability, including capability, standard of performance in other positions, relevant experience, training and qualifications, relevant personal qualities and potential for further career development in the SES.

Part 4 - Public Service Commissioner's role

21. Under the Public Service Act 1922, the Public Service Commissioner remains the sole authority for appointment and promotion to SES positions.

22. The Public Service Act 1922 requires the Commissioner to act on the recommendation of Secretaries regarding SES promotions, unless she is not satisfied that certain aspects have been considered and/or dealt with appropriately in the selection exercise (see section 49B of the Act regarding SES promotions). While there is not a similar legislative prescription for SES appointments, in practice the Commissioner takes the same matters into account when considering recommendations to appoint to SES vacancies.

Documentation requirements

23. The information and documentation that agencies should provide to the Public Service Commissioner with any recommendation to promote or appoint to SES vacancies has been assessed as the minimum that allows the Commissioner to be satisfied that the exercise was appropriately conducted, having regard to the legislative requirements.

24. When submitting recommendations to promote or appoint to SES positions, the following should be provided to the Commissioner:

25. It will be a matter for each agency to decide on the amount of documentation prepared for interviewed applicants who are not recommended for appointment, promotion or transfer. In terms of good practice, applicants should have the opportunity to obtain feedback on their performance in the selection process.

Part 5 - Further information on SES staffing matters

Shortlisting applications

26. The purpose of shortlisting written applications is to make an initial assessment of which applicants have the strongest claims for further consideration. Selection advisory committees should make this initial assessment against the core selection criteria and record their conclusions accordingly, bearing in mind that applicants ruled out at this stage may well ask why their applications were insufficient for the next stage.

27. Agencies should note that the Public Service Commissioner expects particular consideration will be given to the claims of transfer applicants and displaced SES officers and that they will be interviewed wherever practicable. Transfer applicants at Band 3 level should be automatically included in the further considerations of the selection committee. Selection Advisory Committees and Public Service Commissioner Representative's Verification

28. While the methods used to assess applicants will remain for agencies to decide, to assist the Public Service Commissioner in assessing recommendations to promote or appoint to SES vacancies, one member of each selection advisory committee is the Commissioner's representative. The representative is a full member of the committee in all respects, and has the additional responsibility to report to the Commissioner at the end of the process on whether it was conducted appropriately. To this end, the representative will be required to complete and sign a verification form (copy at attachment 3) and may also be contacted for supplementary comments.

29. The recruiting agency is responsible for suggesting a suitable person who might act as the Public Service Commissioner's representative, and then seeking the Commissioner's agreement to that person so acting. The person selected will normally be an officer at an appropriate SES level from a different portfolio to that in which the vacancy exists. The PSMPC should be consulted when the selection advisory committee is established so that correspondence may be sent to both the representative and the chair of the committee.

SES Transfers

30. Section 49 of the Public Service Act covers matters relating to the transfer of SES officers. The power to transfer SES officers inside an agency belongs to the Agency Head. The Public Service Commissioner is the designated authority for all other SES transfer arrangements, although the majority of these powers have been delegated to Agency Heads. Where an inter-agency transfer is being considered, the gaining Agency Head must consult with and gain the agreement of the losing Agency Head before effecting the transfer. Agencies should ensure that details of all transfers, particularly those between agencies, are notified to the Public Service Commissioner in order that the PSMPC's database can be maintained with a high level of accuracy.

31. The movement of Senior Executive (Specialist) officers to the core SES, even at the same level, involves different issues and the power to do this remains one for the Public Service Commissioner. Such a movement requires a full merit selection exercise. If a Specialist officer were successful, an Agency Head would be required to make a recommendation to the Commissioner that the Specialist officer be transferred to the non-Specialist office. If the Commissioner is satisfied that the recommendation is appropriate, she will execute the necessary actions to effect the transfer.

Fixed-term Appointment to the SES

32. An appointment to an SES office can be for a fixed-term of up to 5 years. (The term "appointment" relates to a person not yet a member of the APS being appointed to the APS in an SES position). The recommending Agency Head should include such a request and specify the term when making a recommendation to appoint to the Public Service Commissioner.

33. Fixed-term appointees have some options in relation to superannuation. The Commissioner will provide necessary information to the recommending agency at the time the fixed-term appointment is agreed to in principle.

Probation

34. Appointment from outside the APS to SES positions is normally on the same probationary basis as for other appointments to the APS. The Commission's publication, Probation: Principles, Guidelines and Good Practice (1995) provides further information on this topic.

35. Where an agency believes that particular circumstances warrant a waiving of the probationary period, it may make such a request to the Commissioner at the time the appointment is recommended. If the Commissioner agrees, the appointment instrument will reflect that the appointment is without probation.

Part 6 - Good practice questions and answers

Must SES vacancies be advertised?

36. Section 33AA of the Public Service Act sets out the requirements to be met in notifying SES vacancies. Agencies should note that where a vacancy is to be filled other than by transfer, the vacancy must be notified in the Gazette. It continues to be the Government's policy that, in order to attract the strongest fields and alert the widest possible audience, SES vacancies should also be appropriately advertised in the media (eg the press, magazines or the Internet). All SES vacancies advertised in the Gazette are open to application from all eligible persons, whether in the APS or not.

Do SES employment opportunities have to be advertised where there is only a short term requirement?

37. For short term vacancies (ie less than six months) an agency head may decide to select an officer from within the agency to act in the position. Good practice in such a situation would be for the vacancy to be notified internally and for a limited selection exercise to be conducted. For temporary vacancies of more than six months duration, it may be appropriate to alert a wider audience, and to notify the vacancy in the Gazette, notwithstanding that this will open the position up to applications from outside the APS.

To what extent should SES selection exercises be documented?

38. Sufficient information should be recorded in any selection to ensure that the selection processes undertaken can demonstrate how employment decisions have been made. The Public Service Commissioner requires a certain level of information for the purposes of evaluating appointment and promotion recommendations (see Part 4).

39. Given the importance placed upon the SES selection criteria, and the need to demonstrate the transparency of any selection process, it is desirable that the documented assessment of applicants be framed in terms of those criteria. This may take the form of individual assessments which provide commentary under separate headings for each of the five criteria.

Where can I get further information about the criteria?

40. The Senior Executive Leadership Capability Framework provides a range of information around its applications and further detail on the capabilities falling under each criterion. The Framework can be accessed at the PSMPC's Internet Home Page.

Are referee reports required for all applicants?

41. Referee reports remain a prime source of information on applicants' on the job performance. Good practice for selection advisory committees is to obtain at least two referee reports on applicants in contention following assessment of written applications and other assessments (eg interview).

42. Committees are not limited to seeking comment from persons nominated by applicants. However, it is important that any comments obtained from referees by the committee be made available to the applicant concerned and, if the comments are adverse in any way, the applicant should be given an opportunity to respond.

Attachment 1

Refer to The Senior Executive Leadership Capability Framework

Criterion: Shapes Strategic Thinking

Relevant capabilities:

Criterion: Achieves Results

Relevant capabilities:

Criterion: Exemplifies Personal Drive and Integrity

Relevant capabilities:

Criterion: Cultivates Productive Working Relationships

Relevant capabilities:

Criterion: Communicates with Influence

Relevant capabilities:

Attachment 2

PSMPC1 Notification to the Public Service and Merit Protection Commission of SES vacancies/advertising

Attachment PDF

Attachment 3

PSC Representative's Verification Form

Attachment PDF

Attachment 4

APS Values

The APS Values are as follows:

  1. the APS is apolitical, performing its functions in an impartial and professional manner;
  2. the APS is a public service in which employment decisions are based on merit;
  3. the APS provides a workplace that is free from discrimination and recognises the diverse backgrounds of APS employees;
  4. the APS has the highest ethical standards;
  5. the APS is accountable for its actions;
  6. the APS is responsive to the Government in providing timely advice and implementing the Government's policies and programs;
  7. the APS delivers services fairly, effectively, impartially and courteously to the Australian public;
  8. the APS has leadership of the highest quality;
  9. the APS establishes co-operative workplace relations based on consultation and communication;
  10. the APS provides a fair, flexible, safe and rewarding workplace;
  11. the APS focuses on achieving results and managing performance.