Standards in Human Resource Management - Public Sector ...

Contact detailsLocation and postal addressPublic Sector CommissionDumas House, 2 Havelock StreetWEST PERTH WA 6005Locked Bag 3002WEST PERTH WA 6872Telephone, fax and emailAdvisory line (08) 6552 8888Fax: (08) 6552 8501Toll Free: 1800 676 607Email: admin@psc.wa.gov.auWeb: www.publicsector.wa.gov.auFeedback or complaintsIf you would like to provide feedback or complaints about PSC services, products or staffplease contact us on admin@psc.wa.gov.au, or call (08) 6552 8500.Availability in other formatsThis publication is available in PDF, Word and HTML at www.publicsector.wa.gov.auFor people with disabilities, this document is available in alternative formats on request.2

ContentsIntroduction .......................................................................................................................... 4Coverage ............................................................................................................................. 4Implementation .................................................................................................................... 5Assistance ............................................................................................................................ 5Performance Management Standard .................................................................................. 6Redeployment Standard ...................................................................................................... 8Termination Standard ........................................................................................................ 11Discipline Standard ............................................................................................................ 13Grievance Resolution Standard ........................................................................................ 15Commissioner’s Instruction - Employment Standard........................................................ 183

IntroductionThe Public Sector Management Act 1994 (PSM Act) established an independentstatutory office of the Public Sector Commissioner (PSC). The Commissioner hasresponsibility to establish minimum standards of merit, equity and probity for specifiedhuman resource management activities.The Public Sector Standards in Human Resource Management (the Standards) set outthe minimum standards required of all Western Australian public sector bodies andemployees.The Performance Management Standard, Discipline Standard, Grievance ResolutionStandard, Termination Standard and Redeployment Standard have operated since 1July 2001.The Commissioner’s Instruction: The Employment Standard has been effective since 21February 2011.This document includes:• the six Standards, including the Commissioner’s Instruction: EmploymentStandard• explanatory notes for five Standards (the Explanatory Notes do not form part ofthe Standards)• terminology applicable to the Standards (Terminology does not form part of theStandards).CoverageThroughout this document, public sector bodies are referred to as employing authorities.All employing authorities and employees must comply with the Standards.Schedule 1 of the PSM Act lists entities not covered by the Standards, including:• elected officials (for example, members of Parliament and local governmentcouncil representatives)• local governments authorities• sworn members of the Western Australia Police Service (police officers)• universities• any court or tribunal established under a written law• some corporatised bodies such as the port authorities and the Water Corporation.These bodies and their employees are covered by other legislation.4

ImplementationEmploying authorities are responsible for the development and implementation ofhuman resource management policies and procedures consistent with the Standards.Employing authorities should:• raise awareness of employees about the Standards• ensure human resource policies and practices comply with the Standards• report annually on compliance with the Standards (s.31 of the PSM Act).The Commissioner monitors compliance with the Standards and reports to Parliamentannually.AssistanceFor assistance with the Standards or their application, contact the Public SectorCommission’s Advisory Line on 6552 8888.5

Performance Management StandardOutcomeThe performance of all employees is fairly assessed to achieve the work-relatedrequirements of the public sector body while paying proper regard to employee interests.The StandardThe minimum standard of merit, equity and probity is met for performance managementif:• an employee is informed about how their performance will be managed and theresults of their performance assessment• a proper assessment of the employee’s performance takes into account both thework-related requirements of the job and identified employee interests• processes, decisions and actions are impartial, transparent and capable ofreview.Explanatory notesThe explanatory notes are a guide and are not part of the Performance ManagementStandard.ApplicationThe Standard applies to the performance management of all employees in the publicsector, irrespective of level. It assists public sector bodies to establish processes bywhich employees can achieve their potential and the employing authority’s businessneeds.The Standard does not apply to sub-standard performance or disciplinary action. Whileperformance management processes may identify performance deemed below the levelrequired, and could result in disciplinary action, specific legislative or common lawprovisions apply to sub-standard performance and discipline.Work-related requirementsWork related requirements are the skills, knowledge and abilities required for the job,which may include the business needs sought by the employing authority.6

Employee interestsAlthough the Standard requires the employing authority to identify employee interests, itdoes not oblige the employer to assent to them. They assist the employing authority tomake an informed assessment about employee performance by taking such interestsinto consideration.Employee interests could include:• career considerations• professional development needs• personal circumstances.MethodAn employing authority may use several methods to assess and manage performance,depending on the specific needs of employees or occupational groups. Whatevermethods are used, they should be capable of identifying various levels of performance.Employees must be informed about how their performance will be assessed andrecorded. Once a method is adopted, it must be applied consistently to that employee oroccupational group.ConfidentialityInformation produced during the performance management process is kept in trust anddivulged only to those with a need to know, with due regard to the requirements of theFreedom of Information Act 1992.ReviewDocumentation about an employee’s performance should describe clearly and conciselythe grounds upon which the assessment is made.Public Sector Management (Breaches of Public Sector Standards)Regulations 2005The process used to manage an employee’s performance is subject to the breach ofStandard procedures. Employees have up to 10 working days from first becoming awareof the reviewable decision to lodge a breach claim, or 30 days after the decision wasmade, whichever period expires first.Refer to PSC website for the Agency Guide, Claimant’s Guides and the link to theRegulations at www.publicsector.wa.gov.auObligationsThe Standard does not override specific requirements applicable to performancemanagement in the public sector, which may include:• Commissioner’s Instructions issued under the PSM Act• sub-standard performance procedures, as specified in Part 5, Division 2 of thePSM Act• any other sub-standard performance process specified in an applicable award orindustrial agreement.7

Redeployment StandardOutcomeRedeployment decisions are equitable and take into account the organisation’s workrelatedrequirements and employee interests.The StandardThe minimum standard of merit, equity and probity is met for redeployment if:• decisions are based on a proper assessment of the work-related requirements ofthe public sector bodies involved and identified employee interests.• redeployees are informed about their future options and how the process is to bemanaged.• decisions are impartial, transparent and capable of review.Explanatory notesThe explanatory notes are a guide and are not part of the Redeployment Standard.ApplicationThe Standard applies to the process used by an employing authority to make decisionsabout the treatment and management of affected employees.The Standard is effective between the time the job is abolished or the person is deemedsurplus, until the action on their future is completed. This may include transfer,registered employee status or severance.The Standard does not apply to:• action taken about a ‘registered employee’, as provided for in the Public SectorManagement (Redeployment and Redundancy) Regulations 1994• sub-standard performance or disciplinary action. Redeployment must not be usedto identify or relocate employees when performance is considered unsuitable• decisions by employing authorities to abolish jobs.8

Decision to abolish a jobWhile an employing authority’s decision to identify a job as surplus is not covered by theStandard, its actions must be consistent with the general principles in sections 8 and 9of the PSM Act. It remains open to an employee aggrieved by such a decision to lodge agrievance with the employing authority.The Commissioner monitors and reports on the extent to which employing authoritiesproperly examine such complaints.Work-related requirementsWork-related requirements refer to the skills, knowledge and abilities required of the job,including consideration of the business needs of the relevant employing authorities.Employee interestsIdentifying employee interests does not oblige the employing authority to assent to them.They assist the employing authority to make informed decisions about the efficient andeffective deployment of human resources. However, the Standard requires thatemployee interests are fairly assessed and considered in the decision-making process.Employee interests could include:• career considerations• personal circumstances• workplace location (for example, metropolitan to country location etc).ManagementThe redeployee remains the responsibility of the employing authority throughout theprocess.Employees who have been identified as surplus are to be advised about access toappropriate support services and informed about their rights and responsibilities.Decisions to relocate an employee must not result in a loss of service continuity oremployment tenure.If an employing authority is unable to find alternative employment for the redeployee, theperson may become a ‘registered employee’, as provided for in the Public SectorManagement (Redeployment and Redundancy) Regulations 1994.9

ConfidentialityInformation produced during the redeployment process is kept in trust and divulged onlyto those with a need to know, with due regard to the requirements of the Freedom ofInformation Act 1992.ReviewDocumentation about a redeployment decision should describe clearly and concisely thegrounds upon which the decision was made.Public Sector Management (Breaches of Public Sector Standards)Regulations 2005Once a reviewable decision is made about the treatment and management of anemployee whose job has been abolished or who is deemed surplus, the process issubject to the breach of Standard procedures. Employees have up to 10 working days tolodge a breach claim from first becoming aware of the decision, or 30 days after thedecision was made, whichever period expires first.Refer to PSC website for the Agency Guide, Claimant’s Guides and the link to theRegulations at www.publicsector.wa.gov.auObligationsThe Standard does not override specific requirements applicable to redeployment in thepublic sector, which may include:• the Public Sector Management (Redeployment and Redundancy) Regulations1994• redeployment and redundancy provisions of Part 6 of the PSM Act• Commissioner’s Instructions issued under the PSM Act.10

Termination StandardOutcomeTermination decisions are fair and all entitlements are provided.The StandardThe minimum standard of merit, equity and probity is met for termination if:• decisions are based on a proper assessment of the public sector body’srequirements and employee’s circumstances.• employees are informed of their rights, entitlements and responsibilities about thetermination process.• decisions are impartial, transparent and capable of review.Explanatory notesThe explanatory notes are a guide and are not part of the Termination Standard.ApplicationThe Standard applies to the process used by an employing authority to reach decisionsabout termination of an employee’s employment and/or to respond to an employee’srequest for cessation of employment.Cessation of employment includes:• resignation• retirement• retirement on the grounds of ill-health• completion of a fixed term contract of service• severance (i.e. redundancy, voluntary severance).The Standard does not apply to the cessation of employment as a consequence of substandardperformance or disciplinary action. Other legislation applies.Rights and entitlementsEmployees should be informed about their entitlements prior to the cessation ofemployment.Employee rights and entitlements are mentioned in the enabling legislation, awards,employment contracts or industrial agreements. Employing authorities must act inaccordance with these terms and conditions.11

ConfidentialityInformation produced during the termination process is kept in trust and divulged only tothose with a need to know, with due regard to the requirements of the Freedom ofInformation Act 1992.ReviewDocumentation about the termination decision should describe clearly and concisely thegrounds upon which the decision was made.Public Sector Management (Breaches of Public Sector Standards) Regulations2005.Once a reviewable decision is made about the cessation of an employment contract, theprocess is subject to the breach of Standard procedures. Employees have up to 10working days to lodge a breach claim from first becoming aware of the decision, or 30days after the decision was made, whichever period expires first.Refer to PSC website for the Agency Guide, Claimant’s Guides and the link to theRegulations at www.publicsector.wa.gov.auObligationsThe Standard does not override specific requirements applicable to termination in thepublic sector, which may include:• Commissioner’s Instructions issued under the PSM Act• unfair dismissal legislation administered by the Industrial Relations Commission• any dispute resolution process specified in an applicable award or industrialagreement.12

Discipline StandardOutcomeThe discipline process observes procedural fairness.The StandardThe minimum standard of merit, equity and probity is met for discipline if:• decisions are based on a proper assessment of the facts and circumstancesprevailing at the time of the suspected breach of discipline• the employing authority ensures procedural fairness is applied to all parties• decisions are impartial, transparent and capable of review.Explanatory notesThe explanatory notes are a guide and are not part of the Discipline Standard.ApplicationThe Standard applies to the disciplinary process used by an employing authorityfollowing a suspected breach of the employment contract by an employee.The Standard does not apply to:• judging the merits of the facts and circumstances of the particular case• sub-standard performance• the appropriateness of any sanction imposed by the employing authority at theconclusion of a disciplinary process.Rights and obligationsEmploying authorities should inform employees about their rights and responsibilitiesand advise about access to appropriate support services. Employing authorities may findit useful to obtain appropriate advice about the conduct of a disciplinary procedurebefore proceeding.13

PeriodThe Standard does not impose a time period to complete a disciplinary process.All parties should attempt to complete a disciplinary process as quickly as possible. If itcannot be completed within a reasonable time, the parties should be informed about thedelay and the reasons for it.It is open to an employee to seek relief about an alleged undue delay of a disciplinaryprocess. This may include the Industrial Relations Commission, or the dispute resolutionprocess specified in the applicable award or industrial agreement.ConfidentialityInformation produced during the discipline process is kept in trust and divulged only tothose with a need to know, with due regard to the requirements of the Freedom ofInformation Act 1992.ReviewDocumentation about a discipline decision should describe clearly and concisely thegrounds upon which the decision was made.Public Sector Management (Breaches of Public Sector Standards)Regulations 2005In accordance with s.96 of the PSM Act, the breach of Standard procedures do not applyto the Discipline Standard.Refer to PSC website for the Agency Guide, Claimant’s Guides and the link to theRegulations at www.publicsector.wa.gov.auObligationsThe Standard does not override specific requirements applicable to discipline in thepublic sector, which may include:• discipline procedures specified in Part 5, Division 3 of the PSM Act• Commissioner’s Instructions issued under the PSM Act that relate to Discipline• unfair dismissal legislation administered by the Industrial Relations Commission• any dispute resolution process specified in an applicable award or industrialagreement.14

Grievance Resolution StandardOutcomeThe process used by an employing authority to resolve or redress employee grievancesis fair.The StandardThe minimum standard of merit, equity and probity is met for grievance resolution if:• employees are informed of their rights and responsibilities in the grievanceresolution process• the process is based on a proper consideration of the facts and circumstancesprevailing at the time of the grievance• decisions are impartial, transparent and capable of review.Explanatory notesThe explanatory notes are a guide and are not part of the Grievance ResolutionStandard.ApplicationThe Standard applies to the process used by an employing authority to resolve orredress an employee’s grievance.The Standard does not apply to:• judging the merits of the grievance• sub-standard performance or disciplinary action• allegations of victimisation following the lodgement of a grievance.While allegations of victimisation as a consequence of lodging a grievance cannot bedealt with under the Standard, a complaint could be lodged with the employing authority.The Commissioner monitors and reports on the extent to which employing authoritiesproperly examine such complaints.MethodsAn employing authority may use several methods to resolve or redress employeegrievances. Once a method is adopted, it must be applied consistently.15

Lodging a grievanceThe Standard does not require employees to lodge a grievance with their employingauthority, in any particular way (for example, in writing). It is the responsibility ofemploying authorities to inform employees about their rights, how to lodge a grievance,and how grievances will be managed. Employing authorities must ensure that when agrievance is brought to their attention, that a genuine attempt is made to resolve orredress it.The employee bearing the grievance has a responsibility to:• ensure the relevant person is appropriately made aware of the grievance; and• provide sufficient information to enable the employing authority to assess thegrievance.PeriodThe Standard does not impose a time period to complete a grievance resolutionprocess.All parties should attempt to complete a grievance resolution process as quickly aspossible. If it cannot be completed within a reasonable time, the parties should beinformed about the delay and the reasons for it.ConfidentialityInformation produced during the grievance resolution process is kept in trust anddivulged only to those with a need to know, with due regard to the requirements of theFreedom of Information Act 1992.ReviewDocumentation about the grievance resolution decision should describe clearly andconcisely the grounds upon which the decision was made.Public Sector Management (Breaches of Public Sector Standards)Regulations 2005Once the final reviewable decision is made, the Regulations require employingauthorities to notify the employee who made the grievance and any employee that wasthe subject of the grievance that they may make a breach of Standard claim, and howthat claim may be made.Refer to PSC website for the Agency Guide, Claimant’s Guides and the link to theRegulations at www.publicsector.wa.gov.au16

ObligationsThe Standard does not override specific requirements applicable to grievance resolutionin the public sector, which may include:• Commissioner’s Instructions issued under the PSM Act• any dispute resolution process specified in an applicable award or industrialagreement.TerminologyFor the purpose of the Public Sector Standards in Human Resource Management(excluding the Employment Standard) terms are defined as follows:Reviewable decision Means a decision made by a public sector body as aresult of the completion of a process to which a PublicSector Standard applies.Registered employee As provided for by the Public Sector Management(Redeployment and Redundancy) Regulations 1994.Job Reference to job in the Standards refers to an office, post,position, item or function in a public sector body,department or organisation.Proper assessment A genuine and thorough examination that takes intoaccount all relevant facts and circumstances that arereasonably available and known at the time of thedecision.17

Statement of intentCommissioner’s Instruction -Employment StandardThis Commissioner’s Instruction - Employment Standard establishes the minimumstandards of merit, equity and probity to be complied with by the employing authority ofeach public sector body when filling a vacancy.Scope and applicationThis CI applies to public service officers appointed under Part 3 of the Public SectorManagement Act 1994 (PSMA) and to employees otherwise employed by employingauthorities of public sector bodies, as defined in the PSMA.This CI repeals under section 21(2) of the PSMA (and replaces):• Public Sector Standards in Human Resource Management 2001 - Recruitment,Selection and Appointment Standard;• Public Sector Standards in Human Resource Management 2001 - TransferStandard;• Public Sector Standards in Human Resource Management 2001 - SecondmentStandard; and• Public Sector Standards in Human Resource Management 2001 – TemporaryDeployment (Acting) Standard.ReferenceWhen making employment decisions and exercising employment powers and functionsthe employing authority of each public sector body and its employees must comply withthe minimum standards of merit, equity and probity established by the Commissionerunder the Employment Standard, set out below, and the CI on Filling a Public SectorVacancy. This requirement is in addition to compliance with the PSMA (particularlysection 8(1)(a), (b) and (c), section 8(3) and section 9), the Western Australian PublicSector Code of Ethics and other relevant legislation.Supporting information produced by the Public Sector Commission may assist theemploying authorities of public sector bodies fill vacancies. Such material is explanatoryand does not form part of the legislative framework.18

The Employment Standard(Effective on and from 21 February 2011)The Employment Standard applies when filling a vacancy (by way of recruitment,selection, appointment, secondment, transfer and temporary deployment (acting)) in theWestern Australian public sector.The Employment Standard requires four principles to be complied with when filling avacancy:Merit PrincipleThe Western Australia public sector makes employment decisions based on merit. Meritusually involves the establishment of a competitive field.In applying the merit principle a proper assessment must take into account:• the extent to which the person has the skills, knowledge and abilities relevant tothe work related requirements and outcomes sought by the public sector body• if relevant, the way in which the person carried out any previous employment oroccupational duties.Equity PrincipleEmployment decisions are to be impartial and free from bias, nepotism and patronage.For secondment the employee consents.For transfer employment conditions are comparable.Interest Principle (applies to secondments, transfers and acting)Decisions about an employee’s secondment, transfer or acting take account of theemployee’s interests and the work related requirements of the relevant public sectorbody.Transparency PrincipleDecisions are to be transparent and capable of review.19

TerminologyActing The temporary movement of an employee to the same or ahigher classification level within the same public sectorbody.Competitive field A field which includes more than one person who meets therequirements of the vacant position; competitive fields aregenerally achieved through the advertising of a vacancy.Employee Includes an officer, in which case “employment” is to betaken to include “appointment”.Employment decision A decision to recruit, select, appoint, transfer, second or actan employee.Employment Standard Sets out the minimum standards of merit, equity and probityto be complied with by the employing authority of eachpublic sector body when filling a vacancy by recruitment,selection, appointment, transfer, secondment andtemporary deployment (acting) activities.Public sector body As defined in s.3 in the PSM Act.Public Sector Standards The Commissioner’s functions include the issuing of CIsthat establish Public Sector Standards in Human ResourceManagement. The standards set out minimum standards ofmerit, equity and probity to be complied with in the PublicSector.As at 21 February 2011, there are five other establishedstandards (in addition to the Employment Standard):• Redeployment Standard• Discipline Standard• Grievance Resolution Standard• Performance Management Standard• Termination Standard.20

Recruitment The process used by an agency to attract, assess andselect applicants to fill a vacancy.Secondment The temporary movement of an employee to a differentemploying authority or outside of the public sector.Transfer The permanent movement at the same classification level.Transfers occur in accordance with the employmentstandard, industrial awards and agreements or otherapplicable legislation.Vacancy A vacant post, office or position within the public sector. Avacancy can result from the creation of a new office, post orposition or by the temporary or permanent movement ofanother employee.For redeployment purposes a vacancy is defined as alloffices, posts or positions, newly created, recently vacatedor to be filled on a temporary basis in excess of six months.Work relatedrequirementsThe requirements determined and documented by the CEOor the employing authority to undertake the functions of arole.21