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Last updated: : 25 August 2003
Embedding the APS Values: Case studies and other supporting material
Guidance on Chief Executive Instructions
The documentation through which management communicates policies, instructions and guidance to employees is a matter for individual agencies. The reference group advising the APS Commission on this guide concluded that good practice is to include broader guidance within chief executive instructions (CEIs) than generally covered.
The Financial Management and Accountability Act 1997 (FMA Act) requires chief executives to manage the affairs of their agencies in a way that promotes proper use of Commonwealth resources. Proper use is defined as efficient, effective and ethical use. CEIs are issued by chief executives under the FMA Regulations.
Generally, agency CEIs have tended to be limited to those matters that the legislation has particularly mentioned for possible inclusion in the instructions. Agency Heads do not yet seem to have taken full advantage of the scope of the authority that the legislation gives them. For example, the current environment of increased contracting and relationship building with the private sector and community organisations presents new levels of complexity and risk. Having clear instructions about the management of these relationships will help to reduce that risk.
In principle, there is no reason why whole CEIs on topics other than those strictly pertaining to financial management should not be developed—for example, on whistleblowing, privacy and ethical behaviour in the Australian Public Service.
The Commission's publication APS Values and Code of Conduct in Practice—A guide to official conduct for APS employees and Agency Heads may be useful in helping to decide some of the broader matters for inclusion in CEIs1. Some examples of matters related to proper use of Commonwealth resources that could be included within CEIs are:
- the conditions under which gifts or benefits may be accepted
- procedures for engaging and managing the relationship with contractors/consultants
- the conditions under which corporate sponsorship may be sought and accepted
- procedures for the management of actual and potential conflicts of interest in matters such as procurement and tender processes
- use of resources such as the Internet, frequent flyer schemes, motor vehicles, equipment and other property
- procedural rules for fraud control and reporting (including reference to the APS whistleblowing scheme).
To help agencies with the design, development and maintenance of CEIs the following guidance has been developed in consultation with the Department of Finance and Administration.
- To encourage use and compliance across the agency, the objective in developing CEIs should be to produce a document that is comprehensive but not unwieldy, current and user-friendly.
- When developing CEIs, agencies should give consideration to including material related to:
- the financial management information system
- delegations and authorisations
- estimates
- drawing rights care and custody of public money
- spending public money
- public property
- debt management
- risk management, accountability and reporting.
- The CEIs may also cover other matters about the use and management of Commonwealth resources, including matters that are related to those listed above (for example, procedures for managing the relationship with contractors/consultants).
- The introduction to the CEIs should include an explanation of how they relate to other agency guidance. A diagram might best illustrate the inter-relationships. The introduction should also set out the responsibility for keeping the CEIs up to date. In some agencies this is best done by involving a committee that includes employees from a broad variety of areas, not just the principal financial area.
- To facilitate use by all employees there should be explanation of any technical terms that are used that may not be obvious to everyone, or could be confused (for example authorisations, delegations, drawing rights, write-off, waiver). Clear topic related headings and sub-headings also help to identify material and facilitate access.
- The CEIs will include information that contains precise directions and other material that requires the application of principles (for example on purchasing and the application of risk management). In such circumstances, the CEIs should draw on the APS Values and Code of Conduct as appropriate, particularly on matters related to personal conduct such as conflicts of interest.
- There should be a balance between the detail in the CEIs and detail included in supporting material. Many agencies have found it useful to have supporting procedural rules that set down detailed processes and leave the CEIs uncluttered by large amounts of detail. This distinction can also be useful for chief executives who approve the CEIs. Guidance on more detailed matters can be approved by the chief financial officer without the chief executive's detailed involvement.
- There should be a lack of repetition within the CEIs and between the CEIs and other agency guidance. The use of electronic links between agency CEIs, procedural rules, relevant legislation, other agency guidance and Commonwealth guidance should reduce the need for repetition and facilitate ease of access. The ability to search by key words is also helpful.
1 See, for example, Section 4: Personal behavior.
