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Last updated: : 25 August 2003
Embedding the APS Values: Case studies and other supporting material
Promoting the APS Values: A checklist for Agency Heads
The aim of this checklist is to help Agency Heads assess how well the APS Values and Code of Conduct are being integrated into the management and culture of an agency and to identify areas for improvement.
1. Commitment
- In what ways do senior leaders demonstrate visible and strong commitment to the APS Values?
- How do senior leaders encourage employees to raise questions about ethical dilemmas?
- How is it ensured that employees know they will not be victimised for raising ethical issues?
- How do senior leaders communicate to employees that conduct consistent with the APS Values and Code of Conduct is expected and that misconduct will not be tolerated?
- Are the Values integrated with strategic direction-setting to allow values-based decision making to cascade through planning and performance frameworks at all levels?
- Do learning and development programs aimed at leaders and managers include guidance on modelling the APS Values and their responsibilities to staff, and training in coaching and mentoring for values-based decision making?
- Is information about the APS Values and the Code of Conduct included in induction programs?
- How are APS employees informed about the standards of conduct expected of them?
- Are there learning and development programs available to all employees that address their responsibilities under the APS Values and Code of Conduct and handling tensions inherent in the APS Values, develop skills for ethical analysis and reasoning and provide sources of guidance and direction?
2. Management
- How do management policies and practices reflect the APS Values and Code of Conduct?
- Are all instructions and guidance to employees, including chief executive instructions, people management rules and guidance, and advice on communications with ministers' offices and the media, consistent with and supportive of the APS Values and Code of Conduct?
- Is a commitment to the APS Values and Code of Conduct set out in key corporate documents such as the corporate plan, service/client charters and workplace agreements?
- How is it ensured that the APS Values and Code of Conduct are integrated into the performance management framework?
- Are relevant legislation and rules clearly set out in instructions and guidance to employees?
- Where written instructions and guidance create latitude for decision making is reference made to the APS Values and Code of Conduct?
- Do instructions, advice and guidance actively encourage day-to-day observance of the APS Values and Code of Conduct?
- Are instructions, advice and guidance aimed at all employees easily accessible? Is there good cross-referencing and, if this is made available electronically, good key word search facilities?
3. Assurance
- What measures are in place to ensure that internal control systems, such as internal audit, fraud control strategies and risk assessment, are functioning and effective?
- How is it ensured that the agency's procedures for determining whether an employee has breached the Code of Conduct are effective? How is it ensured that sanctions for breaches of the Code of Conduct are reasonable and have regard to relevant legal principles? How is it ensured that there is broad consistency of decision making with respect to sanctions across the agency?
- How is it ensured that employees are encouraged to expose wrongdoing without fear of victimisation and are aware of agency whistleblowing procedures?
- How are decision making review systems (both internal and external) used to provide systematic feedback on agency systems and procedures and their consistent support of the Values?
- How is it ensured that employees are aware of the agency's review of action scheme? How is it ensured that employees are informed of their review rights, including how to seek a review?
- How are customer (or client) and staff surveys used to assess how the agency is upholding the APS Values?
- How is it ensured that tenderers, contractors and suppliers understand what is expected of them and the APS employees they have contact with, in terms of the APS Values and Code of Conduct, and the standards of behaviour they should exhibit when tendering for a contract and in delivering their contractual obligations?
- How are these expectations enforced?
- How is it ensured that records are created and maintained that meet accountability requirements (including compliance with legislation), business needs and community expectations?
- Subject to any limitation required by legislation, how is it ensured that decision making processes are transparent and open to public scrutiny?
- How is adherence to the APS Values and Code of Conduct monitored within standard corporate reporting and management information systems?
Important note: The action suggested by this checklist is not intended to address all of an Agency Head's responsibilities to promote and uphold the APS Values under the Public Service Act 1999 (PS Act). In particular, Agency Heads must comply with the Public Service Commissioner's Directions 1999 on each of the APS Values.
