TNAG-0812-FCO40-1017-Allegations-of-bribery-and-corruption-in-Hong-Kong-1978 — Page 97

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CHAPTER 3

CONTROL AND DISCIPLINE

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3.1 Introduction

Within this assignment a basic objective was to examine the means by which Government exercises control over its widespread and multifarious activities. The means of control constitute one of the basic mechanisms of accountability and will thus influence the extent to which it is practised.

3.2 This Chapter is divided into a review of control mechanisms within executive

departments and of some mechanisms which enable service-wide control to be exercised. All means of control, however, must be supported by systems of discipline to counteract the breaking of regulations etc., lack of diligence, laziness, improper actions or malpractices. Therefore, it was essential also to examine the Government disciplinary system.

3.3 Systems of Control

Numerous views and opinions were obtained in discussions relating to present methods of control and ways and means by which control could be extended. Basically these views can be divided into three schools of thought :-

.1

.2

Departmental Line Control

A Head of Department must be responsible for the performance of his department. In an executive department there will normally be a need for a hierarchical structure with clear levels of command and responsibility, delegated and allocated respectively; to various grades and levels of staff. These levels should be linked by vertical channels for direction and communication. Where there are specific functional or advisory units within a department they are normally linked to the hierarchical structure by horizontal channels of communication, i.e. "staff" relationships. A Head of Department therefore depends upon control being established and maintained at successive vertical and horizontal levels. Within this school of thought there is little recognition by senior officers of a need within the structure for means of obtaining information independently of the vertical and horizontal channels.

Departmental Internal Audit

Although a Head of Department may depend upon control throughout the hierarchical structure on a day-to-day basis, he nonetheless recognises the need for an inspectorial or audit type body to report to him on operational standards, technical efficiency, level of achievement, etc., i.e. a unit which is independent of the hierarchical structure which reports to the Head of Department internally. This concept has been developed within certain departments as a form of internal audit. Internal

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/audit...