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Last updated: 1 March 2007

Reducing red tape in the APS

Chapter 8. Opportunities for reducing red tape

Chief Executives are responsible for the delivery of outcomes and have flexibility in managing their agencies. The weight to place on particular aspects of agencies’ affairs is best left for Chief Executives to determine, guided by Government objectives and policy decisions. The onus remains on Chief Executives to develop strategies and procedures to discharge effectively their responsibilities, while leaving it to their discretion how they undertake such activity.

A starting point in considering simplification of administrative requirements is legislative obligation, and government policy. These requirements are generally less onerous than officials commonly believe, and there is often considerable flexibility. In many instances, compliance with minimum requirements is sufficient, with additional requirements to apply only where the particular circumstance indicates a need.

Two areas of Australian Government administration that frequently involve significant time and resources, and which have broad application, are procurement and recruitment. Both activities are often subject to whole-of-government and agency regulation. In many cases, much of the administrative burden associated with these activities is due to the imposition of agency requirements.

The following examples discuss the opportunity to address over-prescription of procurement and recruitment processes. They discuss the minimum requirements for both activities, which can be used by agencies as a basis for developing or reassessing relevant processes and CEIs.

This chapter also dispels urban myths about whole-of-government policy on procurement and recruitment. These activities can be marred by unnecessary process—process that is thought to be legally required under the APS recruitment framework and the Australian Government procurement policy framework, but is, in fact, myth or misconception. Myths can lead to overly complex and time consuming administration.

There is a difference between the minimum legal requirements and what is considered to be better practice. In order to achieve high quality outcomes, some agencies make a conscious decision to include specific internal practices and procedures for their recruitment and procurement—and that is their choice.

You should always follow the requirements established by your agency; these examples are intended to assist officials in setting the requirements.

8.1 Procurement

Chief Executive’s Instructions and Operational Guidance on Procurement

The Financial Management and Accountability Regulations 1997 (FMA Regulations) authorise the Chief Executive of an agency to give instructions to officials in that agency on any matter necessary or convenient for carrying out or giving effect to the FMA Act or the FMA Regulations. These are referred to as CEIs.

CEIs may be supported by operational guidelines on related matters of administrative machinery and notes to officials on operational issues. Chief Executives may authorise an official (e.g. the Chief Financial Officer) to issue such guidelines.

In the rest of the report, the term ‘CEIs’ includes operational guidelines.

Overprescription in CEIs on procurement

Many CEIs on procurement impose administrative measures above the minimum required by the Commonwealth Procurement Guidelines (CPGs) or legislation. Some additional requirements may be necessary because of particular circumstances or risks, but risk-averse behaviour has resulted in many agencies adopting unduly complicated processes.

Whether this degree of complexity leads to better procurement outcomes is questionable. For example, some agencies prescribe detailed procurement planning and risk management processes, and require the engagement of probity advisers for relatively low-risk procurements. In many cases, it may be possible to simplify such procurements by minimising or removing requirements.

Agencies should be aware that lengthy CEIs on procurement may not be readily accessible or well focused, and may therefore be counterproductive. This can result in important requirements being overlooked or misunderstood, and in widespread inefficient procurement processes.

Opportunities for simplification

Chief Executives have a legislative obligation to promote the efficient, effective and ethical use of public resources. This requires CEIs to prescribe processes commensurate with the scale, scope and relative risk of procurements.

A starting point in considering simplification of CEIs on procurement are the minimum clauses needed to address legislative obligations under the FMA Act and government policy framework, set out in the CPGs. Additional clauses can be added to deal with particular circumstances or risks. For example, the agency’s size and the type of goods and services it procures might indicate a need for additional procurement processes.

However, given the FMA Act requirement for Chief Executives to promote the effi cient use of public resources, the additional processes should be justified on the basis of costs and benefits.

The suggested minimum clauses (at Table 4) are key provisions in the Finance guidance entitled Chief Executive’s Instructions and Operational Guidelines for Procurement. The guidance provides practical assistance on the development of CEIs and operational guidance on procurement, and discusses cases in which more detailed clauses may be needed.

Table 4: Suggested minimum clauses for a CEI on procurement

Preamble

Australian Government procurement is governed by legislation and policies that form part of the broad financial management framework.

The Commonwealth Procurement Guidelines (CPGs) establish the policy framework for procurement within the Australian Government. Value for money is the core principle governing Australian Government procurement, underpinned by non discriminatory, competitive procurement processes; using resources in an efficient, effective and ethical manner; and making decisions in an accountable and transparent manner.

Legislative requirements
Commonwealth Procurement Guidelines	Officials must have regard to the CPGs when undertaking procurement (FMA Regulation 8). If procurement is undertaken in a way that is not consistent with the CPGs, a written record must be made of the reasons for doing so, as required by FMA Regulation 8. There is no discretion to act in a manner that is inconsistent with those aspects of the CPGs which are prefaced by the word ‘must’ (FMA Regulation 9).
Delegation of powers	Only an official authorised to approve a proposal to spend public money by a Minister, the Chief Executive or by or under an Act may approve the procurement of property or services (FMA Regulation 11). Where an official has been authorised to approve a proposal to spend public money, the official must comply with the terms of their financial delegations.
Insufficient appropriation	Where a spending proposal cannot be covered by sufficient unspent and uncommitted appropriation, the approver must not approve the proposal unless the Finance Minister or delegate has issued a written authorisation, as required by FMA Regulation 10.
Obligations under FMA Regulations 9 and 13	A contract or other agreement to spend public money may not be entered into unless approval for the expenditure of the money has been given under FMA Regulation 9 and, if necessary, in accordance with FMA Regulation 10. Before approving spending proposals under FMA Regulation 9, officials must be satisfied, after making reasonable enquiries, that the proposed expenditure is in accordance with the policies of the Commonwealth and that it will make efficient and effective use of the public money. These policies are in Financial Management Guidance No. 10—Guidance on Complying with Legislation and Government Policy in Procurement, available at www. finance.gov.au
Obligations under FMA Regulation 12	If an approval of a proposal to spend public money is not in writing, the approver must document the terms of the approval as soon as practicable after giving the approval.
Policy requirements
Value for money	Value for money must be achieved. All of the costs and benefits of the procurement need to be assessed over the procurement’s lifecycle—from when a procurement need is identified to the impact of the ultimate disposal of property.
Risk in procurement	The risk profile of procurements should be assessed to consider whether a systematic risk assessment and probity review are warranted. Where undertaken, risk assessments and probity reviews should be proportionate to the value, complexity and perceived risk of the procurement. A risk mitigation/management process must be undertaken for medium and high risk procurements. This should include consideration of the use of specialist advisers, such as technical, legal or probity.
Documentation	Appropriate documentation should be undertaken for each stage of a procurement process. The detail of documentation depends on the complexity of the procurement and its process. Documentation relating to a procurement must be retained for a period of three years or for a longer period if required by legislation or other reason. Documentation for higher risk procurements must include a procurement plan, which includes the proposed procurement methodology. The plan must be approved by the delegate before approaching the market. Where a contract is awarded through direct sourcing, a written report, outlining the value and description of property or services procured and the justification for the use of direct sourcing, must be placed on file.
Defining covered procurements and related obligations	Covered procurements are those with an estimated value above $80,000 (GST inclusive) for property or services or $6 million (GST inclusive) for construction services, and which are not exempt from Division 2 of the CPGs (as outlined at Appendix B to the CPGs). Covered procurements must comply with the Mandatory Procurement Procedures (MPPs) (Division 2 of the CPGs). These address requirements relating to tender documentation, receiving and evaluating submissions, and awarding contracts.
Clauses for valuing procurement	The value of the property or services being procured must be estimated to determine whether it is to be treated as a covered procurement. The estimation must take into account: all forms of remuneration, including any premiums, fees, commissions, interest and other revenue streams that may be provided for in the final contract all taxes and charges, including GST the total maximum value of the property or services being procured, including the value of any options or extensions that may beprovided for in the proposed contract. Where it is not possible to estimate the value of a procurement and no exemption to the MPPs applies, or where the estimate is close to a threshold and could exceed the threshold, the procurement must be treated as a covered procurement. A procurement must not be divided into separate smaller procurements to circumvent a threshold.
Paragraph 8.2 of the CPGs	Procurement using measures which may not fully comply with the MPPs may be undertaken where the Chief Executive determines: it is necessary to do so for the maintenance or restoration of international peace and security, or to protect human health, essential security interests or national treasures of artistic, historic or archaeological value. The reasons for undertaking such a measure must be fully documented and placed on file.
Including other thresholds in CEIs	The above thresholds are the only thresholds required in CEIs. However, covered and non-covered procurements are not homogeneous groups. Agencies may therefore choose to provide additional guidance (e.g. on procurement methods and probity) to promote procurement processes that are commensurate with the scale and risk profile of the procurement. The decision on the appropriate procurement process would then be a matter for the responsible official. This may be achieved by informing officials on options available and when each option might be appropriate. Some agencies may also choose to use additional internal thresholds to specify the procurement processes to be undertaken. The risk to be managed in these circumstances is that such thresholds do not lead to unnecessary process. Accordingly, the number of thresholds should be limited to those required to promote effi cient and effective processes.
Selecting procurement processes	The procurement process must be the most efficient and effective to achieve the procurement objective, while meeting the minimum requirements of the MPPs. The procurement process selected for a non-covered procurement should reflect the size, risk and complexity of the procurement. An open approach to the market must be undertaken for all covered procurements, unless conditions for select tendering or direct sourcing, as outlined in Division 2 of the CPGs, are met.
Covered procurements involving direct sourcing	A covered procurement may only be conducted using a direct sourcing process if one of the circumstances outlined at paragraph 8.65 of the CPGs applies. In such cases, the requirements of Divisions 1 and 3 of the CPGs still apply, including the core principle of value for money.
Accessing panels	Purchases from panels must be made in accordance with the terms of the particular panel arrangement, and achieve value for money.
Covered procurements involving select tender processes	A select tender process for a covered procurement may be conducted using: a multi-use list—the largest number of potential suppliers must be approached to submit tenders that is consistent with a competitive and efficient procurement process a list of respondents to an Expression of Interest process—tenders must be sought from all respondents, or those who meet certain criteria if these were spelt out in the request documentation or a list of suppliers granted a specific licence or who comply with a legal requirement— where the licence or compliance with the legal requirement is essential to the procurement. All potential suppliers who have a licence or meet the legal requirement must be invited to submit tenders.
Publishing market approaches	All open approaches to the market (expressions of interest, requests for tenders and other open approaches to the market) must be published on AusTender.
Non-discrimination	Potential suppliers must be treated in a non-discriminatory manner.
Requirements for written contracts	The terms and conditions of an agreement between contracting parties should be documented. An appropriate written contract for low-risk purchases is a purchase order. A comprehensive written contract between the contracting parties must exist for contracts conducted by tender.
Reporting procurement arrangements in AusTender	Details of all agency agreements, Commonwealth contracts and standing offers with an estimated value of $10,000 or more must be published on AusTender within six weeks of the date of entering into the agreement. Where a failure to report within the prescribed six weeks has been discovered, the details of the arrangement must be published immediately.
Handling complaints	Where a complaint has been made, senior management and officials independent of the procurement process should be involved, as appropriate, in the review of the complaint. Complaints should be dealt with in writing. Records should be kept of any conversations or other interaction that may take place during the investigation of the complaint. Each party must have sufficient time to respond to developments during the investigation of a complaint (no less than 10 days, unless urgent). Officials must ensure that the initiation of a complaint process does not prejudice a supplier’s or a potential supplier’s participation in future procurement processes.

In addition to the clauses summarised in Table 4, agencies may wish to include clauses that deal with key whole-of-government reporting requirements. These obligations are usually coordinated by a dedicated area in each agency. Relevant clauses may include those listed in Table 5.

Table 5: Agency reporting requirements
Publishing annual procurement plans	An annual procurement plan must be prepared and published on AusTender between 1 June and 1 July each year unless: a notice is published on AusTender to the effect that there are no significant procurements planned for the coming financial year; or the Chief Executive has determined that the publication of an annual procurement plan would pose a risk to essential security interests.
Senate Order on Departmental and Agency Contracts	A list of all new and ongoing contracts (including grants and revenue contracts) with a consideration of $100,000 or more must be published on the internet twice yearly (each calendar and financial year), with access through the agency homepage. The list must identify whether there are confidentiality requirements and what the basis for each confidentiality requirement is for all contracts and agency agreements (but not standing offers).
Annual reporting	The annual report must include information on procurement, as set out by the Department of the Prime Minister and Cabinet in Requirements for Departmental Annual Reports.

Procurement myths

Common urban myths about Australian Government requirements on procurement are outlined below in Table 6.

Table 6: Myths about procurement
Myth	Reality
All divisions of the CPGs apply to all procurements	The MPPs in Division 2 of the CPGs apply only to those procurements that exceed specified financial thresholds of $80,000 (GST inclusive) for property and services or $6 million (GST inclusive for construction services, and are not otherwise exempt from the procedures in accordance with Appendix B to the CPGs.
The CPGs include multiple thresholds to define the procurement method to be used	Not true. The CPGs specify two thresholds for the purposes of defining whether a procurement is a covered procurement. One applies to procurement of property or services, and the other applies to procurement of construction services. Covered procurements are subject to specific requirements relating to the method for approaching the market under the MPPs.
Like procurements must be combined	Not so. The CPGs do not require procurements of like property or services to be aggregated. However, a procurement must not be divided into separate smaller parts to circumvent a threshold. Procurement processes should promote achievement of value for money.
Three written quotes must be obtained for all procurements	No. Australian Government policy does not directly specify a minimum number of quotes to be obtained. Procurement processes impose costs on both agencies and potential suppliers. Accordingly, agencies should have regard to the scale, scope and relative risk of procurement in deciding what process ensures a competitive, value for money outcome. The MPPs contain specific requirements for ensuring competition for procurements over set thresholds. These requirements include a presumption of open tendering.
All approaches to the market advertised on AusTender must also be advertised in the press	There is no specific requirement to advertise approaches to the market in the press. Factors to consider include whether it would be appropriate to encourage competition and help to identify potential suppliers. In the event that an agency decides to advertise an approach to the market in the press, the advertisement must be identical to the information published on AusTender.
External probity advisers must be engaged for medium and high value procurements	There is no ‘hard and fast’ policy as to when external probity advisers must be engaged and the extent of their role. The management of probity issues should be tailored to each case, taking into account the nature of the process and the potential risk factors. Generally speaking, it will be appropriate for agencies to engage an external probity adviser for large, complex and high risk procurements. Consistent with the CPGs, officials involved in procurement should consider seeking probity advice where probity issues arise.
Extensive risk management processes are required for all procurements	Risk management processes should be commensurate with the value, complexity and perceived risk of the procurement. Red tape occurs when risk management processes are excessive for their purpose. Extensive processes, involving significant planning, analysis and documentation, will generally only be appropriate for medium to high risk procurements.
Value for money must be included as one of the evaluation criteria for assessment of responses to Requests for Tender (RFTs)	No. The evaluation criteria set out the matters that should be assessed to identify the option representing best value for money. Including value for money as a criterion can confuse the role of other criteria that are components of value for money.
Purchase orders cannot be used to request the supply of property and services	Australian Government procurement policy does not preclude the use of purchase orders. Agencies may allow the use of purchase orders, which can be an efficient way to seek supply of property and/or services on simple, standard terms and conditions.
For procurement subject to the MPPs, the RFT and draft contract must be detailed and complex	The MPPs provide considerable flexibility to ensure that documentation is appropriate to the procurement. The scope, size, risk and relative complexity of the procurement will determine how detailed and complex the RFT and draft contract needs to be.
Agencies need to independently assure themselves that their procurement complies with Government Procurement provisions of international trade agreements	No. All relevant international obligations on government procurement have been incorporated into the Australian Government procurement policy framework through the CPGs. Accordingly, compliance with the CPGs is sufficient to ensure that agency procurement meets Australia’s international obligations in this area.

8.2 Recruitment

The time it takes to fill a position in the APS (from the time the vacancy is known until the offer is made) may be as little as three to four weeks. Most of this time is needed for advertising the position. Short-listing, interviewing and conducting referee checks can all be done in less than a week. In fact, the time between conducting an interview and making an offer can be as little as one day.

If recruitment to fill one or a few vacancies takes longer than four weeks, the delay is not due to ‘official’ requirements. The cause is often poor planning and preparation by managers, or unnecessary internal processes put in place by the agency.

Key principles for recruitment

Recruitment in the APS is guided by minimum requirements and a set of principles set out in the Public Service Act 1999, the Public Service Regulations, the Public Service Commissioner’s Directions and the Public Service Classification Rules.⁹

Table 7: Minimum requirements and principles for recruitment
Minimum requirements for non-Senior Executive Service (SES) recruitment¹⁰ Determine the purpose of the selection process up front. Determine whether a competitive process is needed. Advertise vacancy in the Australian Public Service Gazette (Gazette). Design and run a competitive selection process. Gazette the outcome.
Principles A competitive merit-based assessment No discrimination or favouritism Recognition and utilisation of the diversity of the Australian community The application of natural justice and procedural fairness	A competitive merit-based assessment determines an applicant’s suitability for a role by making a comparative evaluation of available evidence against predetermined job requirements. The successful applicant (if there is one) is the person identified as possessing the most suitable mix of personal qualities, technical capabilities and experience required for the role. Typically, job requirements are defined through role descriptions, selection criteria and the expressed need for experience and/or qualifications. Evidence can be collected in a variety of ways, for example, through applications, work sample tests, interviews and referee checks. It is not mandatory for agencies to use the typical approach to recruitment. As long as the approach is competitive and merit-based, agencies have the flexibility to design recruitment processes that meet their specific business needs.
A reasonable opportunity to apply for APS employment	A reasonable opportunity to apply for APS employment does not imply that national advertising must be undertaken for every vacancy—advertising in the Gazette is often enough. ‘Reasonable’ is defined by the context of the vacancy, the target market of applicants and the cost of advertising. Advertising in the Gazette is mandatory for all ongoing ‘engagement’ opportunities, ‘promotion’ opportunities and ‘non ongoing’ opportunities of more than 12 months. Two weeks is the standard time frame for advertising in the Gazette. However, agency heads have the authority to approve shorter periods if they believe it still provides a reasonable opportunity to apply.

The principles and minimum requirements form a recruitment framework that gives agencies considerable flexibility and in no way prescribes a lengthy or complex process.

The key to timely and effective recruitment is for managers to treat staffing like any other major project—do the planning, commit to the key milestones and focus on the deliverables.

Many recruitment exercises do not have adequate up-front planning, which includes considering the best way to approach the recruitment need, determining who will be involved in the process, and ensuring their availability for the key milestones (such as short-listing and interviews). Get it Right—a recruitment kit for managers, produced by the Australian Public Service Commission, provides a step-by-step guide to running a timely, well-planned recruitment exercise, attracting a quality field and selecting the best candidate.

Three stages to recruitment

Essentially, there are three stages to a recruitment exercise: define, attract and select as outlined in Table 8 below. Planning for the three stages should be completed before the role is advertised, to ensure that the exercise can be completed within three or four weeks.

Table 8: Three stages of a recruitment exercise
DEFINE	The actual recruitment need/role The capabilities required for success in the role The budget for the role and for the recruitment exercise The assessment methods to be used (e.g. interviews, work sample tests, written applications) A range of options to collect evidence on the capability of each applicant
ATTRACT	Consider how to attract a quality field (the state of the labour market, where to advertise, what makes your agency an employer of choice, where do high-quality potential applicants currently work) Includes advertising the vacancy in the Gazette, where required
SELECT	Select through a competitive, merit-based selection process Assess applications quickly and make a recommendation/decision based on the breadth of evidence collected Gazette the outcome Ensure that new staff are provided with high quality induction, not just to the agency but to their work area

Case study: a streamlined process

In most cases, a recruitment process completed in less than a month (from the time the vacancy is known to when an offer is made) will meet agency needs. However, there will be times when a faster outcome is required. Current shortages in the accounting field are a case in point. People with accounting skills are in high demand across all sectors of Australian industry—in this situation, potential employees are interviewing employers.

The APS recruitment framework is flexible enough to recruit staff successfully in this environment. A streamlined process to recruit could take as little as three days from the time the applicant sees the advertisement to the time an offer is made.

Below is a sample project plan to recruit non-SES accounting staff (ongoing and/or non ongoing of more than 12 months). This process would be most appropriate where an agency has made an assessment that there are more positions than applicants (that is, demand is outstripping supply).

Such a streamlined recruitment approach as outlined here would require rigorous up- front planning and appropriate approval. The Australian Public Service Commission can advise agencies on the design of a streamlined process. Development of a risk management plan would also be encouraged.

Table 9: Example of a streamlined recruitment approach
DEFINE	Define the specific capabilities for accounting roles at different classification levels. Prepare job descriptions and outcome statements for each role. Establish a budget for each position and for the overall recruitment exercise. Selection options: applicants to be assessed against the outcomes required for the role; assessments to be based on qualifications and experience as outlined in applicants CVs. Establish a standing selection team that includes a delegate. Arrange a scribe with the requirement to produce immediate reports.
ATTRACT	Seek agreement from the agency head for a six month, open ended advertising period. Undertake a rolling advertising campaign that promotes the agency as an employer of choice. Prepare advertisements and marketing material promoting diversity of career opportunities, family friendly policies and employment flexibilities, and clearly outlining the recruitment process (e.g. what can be expected regarding referee checks, probation/security requirements, period of consideration of application, ability to reapply). Book advertising space in advance in local and overseas newspapers, journals and magazines that are read by the accounting profession. Place a fortnightly advertisement in the Gazette and make arrangements for advertising on the agency website. Invite applicants to lodge applications at any time during the recruitment campaign by submitting their CV.
SELECT	The selection team and scribe meet weekly to review applications (CVs) against outcome statements for the relevant role/s applied for. The selection team makes contact with referees as quickly as possible. The scribe prepares reports immediately for approval by the delegate. Each week, make job offers to successful applicants (subject to security or other pre-employment checks). Work areas provide tailored, personalised induction to new recruits. Closely manage and monitor performance during the probation period.

Establishing such a highly streamlined approach could not be done overnight. It would require considerable time, planning and resources to be effective and rigorous. Before progressing down a very streamlined approach, the agency head would need to be satisfied that: there is a genuine requirement for such a streamlined approach there will be a reasonable opportunity to apply for APS employment the proposed process will be effective in securing quality recruits assessment will be competitive and merit-based the expected outcomes of the exercise are achievable measures are in place to manage the potential risks, such as those associated with making offers before pre-employment checks have been completed.

A note of caution: the more streamlined the process, the higher the risk. There is a danger that faster recruitment comes at the expense of recruiting quality staff. Recruiting the wrong staff quickly is not the answer to overcoming staff shortages. As in all cases, it is imperative that the probation period is managed seriously.

There will be limited circumstances in which business need justifies the heightened risks from using a very streamlined approach. More commonly, up-front planning and following the steps outlined in Get it Right—a recruitment kit for managers will deliver results within a month. A clearly defined role, a ‘quality’ rather than ‘quantity’ field and evidence from various sources will give confidence in recruitment decisions.

Recruitment myths

Table 10: Myths about recruitment
Myth	Reality
Defining the recruitment need
You must have a vacant position; you cannot recruit to a level.	You can recruit to a level.
A vacancy must be filled at the same APS level.	A vacancy presents an opportunity to re- evaluate and redefine the role, including the duties, capability requirements and classification level. Note, however, that the vacancy must be filled at the level at which it is advertised.
Attracting applicants
You can only advertise in the Gazette and mainstream press.	The APS must provide a reasonable opportunity for all eligible members of the community to apply for APS employment. It is a minimum requirement to advertise in the Gazette, but agencies also have the flexibility to determine other effective and appropriate forms of advertising (keeping in mind the principle of a ‘reasonable opportunity to apply’).
You cannot personally contact people and invite them to apply.	Individuals can be targeted and encouraged to apply for a position. Inviting a person to apply does not guarantee them the role or an interview; suitable applicants still need to compete in a merit- based selection exercise. Suitable people can also be contacted and encouraged to transfer to jobs at the same classification level, without a need for a competitive process.
Only Aboriginals and Torres Strait Islanders can apply for ‘identified criteria’ positions.	Anyone can apply, but they have to be able to meet the ‘identified criteria’. These are about having knowledge of Aboriginal and Torres Strait Islander peoples and cultures, as well as the ability to communicate effectively with Indigenous Australians. However, only Aboriginals and Torres Strait Islanders can apply for positions designated as ‘special measures provisions’ under the Racial Discrimination Act 1975. The spirit of the use of special measures provisions is to address employment disadvantage for Indigenous Australians.
Selecting a non-SES candidate
Selection team
A selection team must have three members.	A selection team can be a single person.
A selection team must have a male and a female member.	There are no gender requirements specified in legislation. However, it is good practice for selection teams to reflect a diverse range of opinions and experiences in order to select the most suitable applicant/s.
The delegate cannot be on the selection team.	Not so, in fact this can facilitate quicker selection decisions. No matter what the team’s composition, it is important that all members share a sense of purpose, clearly understand what is being looked for, are aware of the personal qualities, skills and knowledge required for the role and understand the combination of selection options being used.
Selection methods
You cannot ask applicants to provide additional information (e.g. to help with short-listing).	Additional information can be sought to help the selection team make a decision, such as whether to proceed to an interview. An example might be to ask for a sample of work.
There must be an interview.	There is no requirement to hold an interview, which is simply one of a wide range of selection options available. Other options include work sample tests, behavioural questionnaires, ability tests and referee checks. Using different selection options to test different capability requirements (e.g. a work sample test to assess written skills) allows the selection team to assess the skills, personal qualities and knowledge of applicants more accurately.
All applicants must be interviewed.	Not so. Short-listing is an important part of the selection process.
All internal applicants must be interviewed.	There is no legal requirement to do this.
All interviewees must be asked the same questions.	Not so, but this is a good place to start. When designing an interview, it is important to invest the necessary effort into preparing questions that will test for specific skills and capabilities. Trial the questions before the interview to make sure they are understandable and help to collect valid and reliable evidence. Additional questions might help gain further information or clarify an applicant’s response (e.g. their role in a particular situation).
Reports must be written on all interviewees.	Not so, the selection report should compare, discuss and rank the competing strengths of candidates in contention and provide a fi nal recommendation for selection. The selection team should keep notes to use if candidates request feedback.
Assessment weightings, if they exist, must be in the favour of the interview results.	There is no requirement for weightings or for weightings to favour interviews. Interviews can be prone to bias and often have limited effectiveness as predictors of on-the-job performance. No selection technique is 100 per cent accurate in identifying whether or not an applicant will perform well in a role, so a range of selection options may need to be used to collect valid and reliable information.
Referee checking
The selection team must obtain a referee report for every applicant.	There is no requirement to obtain referee reports. Referee reports are simply one of a wide range of selection options available. The most effective means of conducting referee checks is during the last stage of the selection process. Interview referees to explore an applicant’s previous work performance in relation to specific capabilities of the role.
You can only use written references.	Not so. In fact, a verbal reference is not only acceptable, it also allows you to collect better evidence. A structured interview process using behaviourally based questions allows you to probe and ask specific, targeted questions for the role.
Only nominated referees may be contacted.	You can contact people other than nominated referees (such as previous managers) as long as you comply with the Privacy Act 1999, procedural fairness and natural justice. Advise the applicant in advance that you intend to seek referee comment from additional people, and give the applicant an opportunity to address any adverse comments that arise. You are also not obliged to speak to all referees nominated by the applicant.

9 The Australian Public Service Commission has produced a range of material, including the booklets, Conditions of Engagement and Ongoing Employment, to help agencies understand the legal requirements associated with recruitment.

10 Further conditions apply to the engagement of SES as set out in the Public Service Act 1999, the Public Service Regulations, the Public Service Commissioner’s Directions and the Public Service Classification Rules.

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