年報2006 - 公務員敍用委員會

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Foreword 2-3

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Chapter 1 The Public Service Commission’s Role and Functions 4-7

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Chapter 2 Membership and Secretariat of the Commission 8-11

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Chapter 3 Civil Service Recruitment : Observations and Reviews 12-21

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Chapter 4 Civil Service Promotion : Observations and Reviews 22-34

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Chapter 5 Staff Performance Management System : 35-43

Improvements and Further Reviews

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Chapter 6 Other Civil Service Appointment Matters and Observations 44-50

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Chapter 7 Civil Service Discipline : Observations and Reviews 51-62

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Chapter 8 Visits 63

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Chapter 9 Acknowledgements 64

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Appendices 65-104

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Contents ��

Public Service Commission Annual Report 20062

FForeword ��

This is the second annual report that I have prepared for the

Commission after my assumption of office in May 2005.

The Report primarily serves to give an account of the

Commission's work in 2006. The Commission is generally

satisfied that most bureaux and departments are working in

compliance with good Human Resource Management (HRM)

practices. However, as in the past, some less than desirable

practices and improperly handled cases were identified in the

course of our work. Their inclusion is meant to illustrate how

bureaux and departments can further strengthen within their

own setting some HRM practices. The few isolated incidents

of irregularities should be viewed in perspective against the

very positive efforts made by bureaux and departments to

uphold the integrity of the civil service appointment,

promotion and discipline systems.

Our observations on departmental practices on appointment

and discipline matters are channelled to the Administration

for follow-up. We have also worked closely with the

Administration on the review of policies which need adjustment

and the development of clearer rules and procedures for

guidance. We are glad to see that some changes in policy and

practices have been introduced or are under consideration by

the Administration. The Commission will continue to play

actively our role as the "think tank" of the Secretary for the

Civil Service (SCS) to help streamline and rationalise the

appointment and discipline systems in the civil service.

As most of the subjects brought up by the Commission are on

the appointment front, this issue of the annual report on

appointment matters has been split from a single chapter as

was the case with the 2005 report to four separate chapters

summarising the issues discussed and the follow-up action taken

by the Administration. They are Chapter 3 on recruitment,

Chapter 4 on promotion, Chapter 5 on staff performance

management system and Chapter 6 on other appointment

matters. On the discipline front, all observations and reviews

are grouped under Chapter 7.

Alongside its role in overseeing appointment and discipline

matters, the Commission pays particular attention to any

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development which may impact on the civil service system.

The Administration issued the Consultation Document on

Further Development of the Political Appointment System (the

Consultation Document) in July 2006 for public discussion.

In response to the invitation of the SCS, the Commission

discussed the Consultation Document in detail and submitted

its views to the Secretary for Constitutional Affairs (SCA) on

26 October 2006, with a separate covering letter to the SCS

on the same date.

In summary, the Commission considers that the effectiveness

of the Accountability System should be critically reviewed and

the proposal of appointing two additional layers of political

appointees, if implemented, should be taken forth

incrementally. In implementing the proposal, civil servants

should not have any political role after the settling in of the

additional tiers of political appointees. The Commission

considers that the SCS, who is responsible for the policy and

management of the civil service, should remain as a civil servant.

The "revolving door" arrangement should not be applicable

to the SCS and the Commission has suggested a way of

achieving that.

The Commission's overriding concern is that, with the

implementation of the expanded political system, civil servants

would be able to work in concert with the new political appointees

for the effective governance of Hong Kong. The Commission's

letters to the SCS and SCA, together with its general

observations, suggestions and comments on the Consultation

Document, are included in Appendix I of the Report.

The year 2006 was a fruitful and busy year for the Commission.

Taking the opportunity, I would like to thank Members for

their wise counsel and contribution. In particular, I would

like to pay tribute to Mr Vincent CHOW, Mr Wilfred WONG

and Mrs Paula KO who served the Commission tirelessly and

who left the Commission in 2006. I also extend my warm

welcome to Mr Nicky LO, Mrs Mimi CUNNINGHAM

and Ms WONG Mee-chun, our new Members.

Nicholas NG Wing-fuiChairman

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1 The Public Service Commission’sRole and Functions�� !"#$%

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1.1 The Commission was established in 1950 as anindependent statutory body. The Public ServiceCommission Ordinance and its subsidiaryregulations (Chapter 93 of the Laws of Hong Kong)stipulate the remit of the Commission. Thefundamental role of the Commission is to advisethe Chief Executive (CE) on civil serviceappointments, promotions and discipline. TheCommission's mission is to safeguard theimpartiality and integrity of the appointment andpromotion systems in the civil service and to ensurethat fairness and broad consistency in punishmentare maintained throughout the service.

Functions

1.2 With a few exceptions1, the Commission's adviceon appointments and promotions relate onlyto the senior ranks of the civil service. Thiscovers posts with a maximum monthly salary of$31,860 (Point 26 of the Master Pay Scale) ormore, up to and including PermanentSecretaries, Heads of Department and officersof similar status. At the end of 2006, the numberof established civil service posts under theCommission's purview was 32 613.

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1.3 The posts of Chief Secretary for Administration,Financial Secretary, Secretary for Justice, theDirector of Audit as well as posts in the Judiciary,the Hong Kong Pol ice Force and theIndependent Commission Against Corruptionfall outside the Commission's purview. Inaddition, following the introduction of theAccountability System on 1 July 2002, Ministersor Directors of Bureau are not civil servants andtheir appointments also need not be referred tothe Commission.

1.4 As for disciplinary cases, the Commission'spurview covers all Category A officers2 with theexception of exclusions specified in the PublicService Commission Ordinance3. Category Aofficers cover virtually all officers except thoseon probation, agreement and those remuneratedon the Model Scale I Pay Scale. At the end of2006, the number of Category A officers underthe Commission's purview was about 111 000.

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1.5 In examin ing submi s s ions f r om theAdministration, the Commission may raisequestions where necessary to ensure that therecommendations are sound and the relatedprocess is carried out fairly, meticulously andthoroughly. The Administration is required toclarify or justify its recommendations in responseto the Commission's observations and queries.On many occasions, the Administration hasmodified its recommendations followingcomments from the Commission whilst, in otherinstances, the Commission has been satisfiedwith the propriety of the recommendations afterseeking further clarifications or additionaljustifications. The Commission also draws theAdministration's attention to deviations fromestablished procedures or practices and staffmanagement problems identified during theprocess ing of submissions and, whereappropriate, recommends measures to tacklethese problems.

1.6 The Commission also handles representationsfrom officers on matters falling within theCommission's statutory responsibilities and inwhich the officers have a direct and definableinterest. In 2006, the Commission dealt with18 representations relating to appointmentissues. After careful and thorough examination,the Commission was satisfied that the groundsfor representations in all these cases wereunsubstantiated. There were also 32 othercomplaints relating to matters outside theCommission's purview. They were referred tothe relevant departments for follow-up action.

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1.7 Separately, the Commission is required to adviseon any matter relating to the civil service that maybe referred to it by the CE. The Commissionalso acts as a "think tank" to the Secretary forthe Civil Service on policy and procedural issuespertaining to appointments, promotions anddiscipline as well as on a wide range of subjectsrelating to the review and development ofHuman Resource Management subjects.

Performance Target

1.8 In 2006, the Commission advised on 892submissions covering recruitment andpromotion exercises, disciplinary cases and otherappointment-related subjects. Altogether 278submissions were queried, resulting in 115re-submissions (41%) with recommendationsrevised by the Civil Service Bureau anddepartments after taking into account theCommission's observations. A statisticalbreakdown of these cases is shown in Appendix II.

1.9 In dealing with recruitment, promotion anddisciplinary cases, the Commission's target is totender its advice or respond formally within sixweeks upon receipt of departmental submissions.All submissions in 2006 were dealt with withinthe pledged processing time.

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2 Membership and Secretariat of the Commission�� !"#$

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2.1 Under the Public Service CommissionOrdinance, the Commission comprises aChairman and not less than two or more thaneight members. All are appointed by the ChiefExecutive and have a record of public orcommunity service. Members of the LegislativeCouncil, the Hong Kong Civil Service and theJudiciary may not be appointed to theCommission. This restriction does not extendto retired officers.

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Chairman: Mr Nicholas NG Wing-fui, GBS, JP (since May 2005)�� !"I = d_pI= gm �� !!"#"$%&

Members : Mr Vincent CHOW Wing-shing, BBS, JP (February 1998 to January 2006)�� !"I = __pI = gm �� !!"#$%&$''(# %)

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Membership

2.2 The membership of the Commission during2006 was as follows:

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Secretariat of the Commission

2.3 The Commission is served by a small team ofcivil servants from the Executive Officer,Secretarial and Clerical grades. Submissionsfrom the Civil Service Bureau (CSB) andgovernment departments are meticulously vetted,with further clarifications and justificationsobtained where necessary, before the advice ofthe Commission is sought. Promotion casesform the bulk of the work of the CommissionSecretariat and a flow chart illustrating the vettingprocess of promotion cases is at Appendix IV.

2.4 At the end of 2006, the number of establishedposts in the Commission Secretariat is 27. Theupdated organisation chart of the Secretariat isat Appendix V.

Method of Work

2.5 Business of the Commission is normallyconducted through circulation of files. Meetingsare held to discuss major policy issues or caseswhich are complex or involve important pointsof principle. At such meetings, the CSB andsenior management from departments areinvited to attend to appraise the Commissionof the background of the issue or case but theCommission forms its views independently.

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Homepage on the Internet

2.6 The Commission's homepage can be accessedthrough the Government Information Centreor at the following address:

http://www.psc.gov.hk

The homepage provides basic information onthe Commission's role and functions, its currentMembership, the way the Commission conductsits business and the organisation of theCommission Secretariat. Our Annual Reports(from 2002 onwards) can also be viewed on thehomepage and can be downloaded4.

Homepage on the Central CyberGovernment Office (CCGO)

2.7 The Commission's homepage has also beenuploaded onto the CCGO since January 2001.It provides an easily accessible alternate routefor officers in bureaux and departments to referto the Commission's general views and latestadvice on procedural and policy aspects ofappointments and disciplinary matters. This,hopefully, will help them in their work.

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3 Civil Service Recruitment: Observations and Reviews�� !"#$%&'(

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3.1 Recruitments in the civil service are undertakenby the Civil Service Bureau (CSB) and individualGovernment departments. Open recruitmentsare conducted for basic ranks, or a promotionrank when no one is found suitable in the lowerrank, or where there is a special need. In-servicerecruitment exercises are arranged when the poolof candidates is restricted to all or selected groupsof serving civil servants. Since the establishmentof the Hong Kong Special Administrative Region(HKSAR) Government on 1 July 1997, newappointees to the civil service must be permanentresidents of the HKSAR. However, professionaland technical posts may be filled by non-permanentresidents in accordance with Article 101 of theBasic Law if there are no qualified or suitablecandidates with permanent resident status.

3.2 The Commission oversees the proceduralaspects, examines the shortlisting criteria andadvises on recommendations for filling ofvacancies in the senior ranks5 of the civil servicecovering both open and in-service recruitments.It also advises departments on proceduralproblems they faced in the process inconsultation with the CSB.

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An Overview of RecruitmentPosition in 2006

3.3 The service-wide open recruitment freezeimposed on grades not included in the SecondVoluntary Retirement (VRII) Scheme6 by theAdministration since 1 April 2003 has continuedto have an impact on the manpower situationin the civil service, particularly for the basicranks. While in-service recruitments, which donot affect the overall strength of the civil service,are generally permissible, exceptional approvalby the Joint Panel (co-chaired by the ChiefSecretary for Administration and the FinancialSecretary and with the Secretary for the CivilService as member) is required for the conductof any open recruitment exercise. During 2006,exceptional approval was given by the Joint Panelto conduct open recruitment to fill about 3 200posts in 40 ranks in 18 departments including,for instance, the posts of Assistant Social WorkOfficer in Social Welfare Department, AssistantLibrarian in Leisure and Cultural ServicesDepartment, Solicitor in the Official Receiver'sOffice and Inspector in Customs and ExciseDepartment. For grades included in the VRIIScheme, they are subject to a five-year open

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recruitment freeze for the entire grade countingfrom 21 March 2003, i.e. the date the Schemecame into operation, except for entry ranks thatwere not included in the Scheme. However, tomeet new initiatives that were not foreseen whenthe VRII Scheme was launched and also toalleviate manpower shortage due to unexpectedwastage, the Administration introduced in 2006a mechanism for seeking exemption from theabove mentioned Joint Panel, which subsequentlyapproved exceptionally the conduct of openrecruitment exercises by 13 VR grades7 during2006 after having been satisfied that alternativemodes of service delivery were not feasible.

3.4 The number of new recruits in 2006, thoughremaining on the low side, was much higher thanthe 2004 and 2005 figures. Altogether theCommission advised on the filling of 396 postsby local candidates, of which 292 were throughopen recruitment and 104 by way of in-serviceappointment. No appointment of non-permanentresident to fill professional or technical posts wasmade in the year. A statistical breakdown of theseappointments and a comparison of the numberof appointees in 2006 with that in the previousthree years are provided at Appendix VI.

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Observations and Reviews Initiatedby the Commission

3.5 Notwithstanding the relatively slow pace ofactivities on recruitment, the Commissioncontinued to monitor closely the recruitmentstandard adopted by the Administration in 2006and put forward a number of significant proposalsfor a more effective selection mechanism. Theobservations and reviews as initiated by theCommission with the Administration areelaborated in the ensuing paragraphs.

Common Recruitment Examination (CRE)

3.6 As a measure to enhance the languageproficiency of its workforce, the Administrationhas imposed a requirement since 1 January 2003that all applicants for civil service posts at degreeand professional level, including those of thedirectorate, should obtain a pass in two languagepapers, i.e., Use of English (UE) and Use ofChinese (UC), in the CRE held by the CivilService Examinations Unit of the CSB. A passresult obtained in CREs held in June 2006 orearlier was valid for three years from the monththat the examination results were released to thecandidate. This CRE requirement, applicableto both open recruitment and in-serviceappointment exercises, can be exempted on acase-by-case basis depending on the nature anddemand of individual recruitment exercises.However, shortly after the introduction of theCRE requirement, a service-wide openrecruitment freeze was imposed in April 2003.The practicability and impact of the new CRErequirements were therefore not tested by themajority of grades which had yet to launch anyrecruitment exercise.

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3.7 As mentioned in its 2005 Annual Report, theCommission questioned the practicability of theCRE for recruitment to directorate posts. At thenon-directorate level, and in particular in relationto recruitment to the basic ranks of individualgrades, the Commission raised its concern with theAdministration in 2006 regarding the effectivenessof the CRE in short-listing eligible applicants.The Commission considered it imperative forthe Administration to complete its review beforethe open recruitment freeze is lifted. Early in2006 the Commission specifically raised withthe Administration the following observations -

(a) CRE as a hurdle to grades or ranksrequir ing candidates ' expert iseknowledge other than languageproficiency

Candidates who possessed the academic orprofessional qualification required for thejob could be screened out simply becausethey did not possess a valid pass in thelanguage papers of the CRE or they hadnot attended the CRE examination. To citean example, in one in-service recruitmentexercise for a specialised field of candidates,the department had, in the interest of time,conducted a selection interview prior to theannouncement of the relevant CRE result.It turned out that both the selectedcandidate and the candidate waitlisted at toppriority had failed in one of the languagepapers of the CRE. The department couldonly appoint the second waitlistedcandidate who had passed both the UC andUE papers in the CRE. The Commissionwas concerned that for those grades orranks that required candidates' expertiseknowledge in relevant fields as well asstrong performance in attributes other thanlanguage proficiency, the CRE couldbecome a hurdle in trawling the mostsuitable candidates for appointment.

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(b) Attainments in public examinations

Before the inception of the CRE, thelanguage proficiency standards ofindividual grades/ranks were set by Headsof Department/Heads of Grade (HoDs/HoGs) with reference to the candidates'attainments in the language papers ofpubic examinations such as the Hong KongCertificate of Education Examination(HKCEE)8. As it is a widely acceptedpractice in both the private and publicsectors to make reference to attainmentsin public examinations in assessing thelanguage proficiency of candidates, themerits of replacing attainments in thepublic examinations by the CRE resultsrequired over-riding considerations.

(c) Content and format of CRE

The focus on language structure and usagein the test papers could result in the trawlof a higher percentage of graduates in thelanguage and related disciplines. Somepotential candidates who possess othergood attributes which are of equal, if notgreater, importance for appointment tocertain grades/ranks could, however, bemechanically screened out.

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3.8 In response to the concerns raised by theCommission, the Administration conducted areview on the language proficiency requirements(LPRs) for recruitment to the civil service,including the effectiveness of the CRE. Afterconsultation with the Commission, thefollowing modifications have been made to theCRE arrangement -

(a) Recruitment to directorate posts

The CRE requirement for recruitment todirectorate posts is removed and therecruiting grades are allowed to specify thelanguage proficiency requirements that arecommensurate with the job requirementsin consultation with the CSB.

(b) Two-tier passing mechanism fordegree/professional grades

Whilst the CRE requirement would bemaintained for entry to degree/professionalgrades, the results of the language papersare classified into "Level 2", "Level 1" or"Fail", with "Level 2" being the higherlevel, starting from the CRE conducted inDecember 2006. The HoDs/HoGs candetermine the level of language proficiencyrequired of the candidates having regardto the job requirements of the grades. Thisnew arrangement allows for variation inlanguage requirements amongst differentgrades and helps avoid screening outprospect ive candidates by sett ingunnecessarily high standards for languageproficiency in respect of some grades.

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(c) Validity period of the CRE results

Starting from the CRE held in December2006, the validity period of CRE "Level 2"and "Level 1" results has been madepermanent.

(d) Acceptance of public examinationresults as CRE equivalent

Results of the Hong Kong Advanced LevelExamination (HKALE) have beenaccepted as equivalent to the CRE resultsfor recruitment exercises conducted after18 October 2006. Grade "C" or above andGrade "D" in the relevant language papers9

of HKALE, or equivalent, would beregarded as comparable to "Level 2" and"Level 1" respectively in the UE/UC paperof CRE. Applicants with the requisiteHKALE results are not required to sit forthe respective language paper(s) of CRE.

(e) Content of CRE

The content and structure of the papers willbe subject to regular reviews in consultationwith the Advisory Panel on CRE to ensurethat an appropriate standard is set for civilservice recruitment purpose.

3.9 The Commission is pleased to note that theAdministration has taken a pragmatic approachto modify the CRE requirements. TheAdministration should continue to closely monitorthe impact of the revised CRE requirements onrecruitment and to review their effectiveness inthe light of experience.

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Withdrawal of concessionary appointmentrequirements for in-service candidates

3.10 The Commission has observed that the entryqualifications or requirements for in-servicerecruitment exercises of some basic ranks haveremained significantly lower than those adoptedfor open recruitments. The lower-than-normstandard was set for in-service candidates decadesago. In the face of the expansion of tertiaryeducation and the rising expectations of thepublic for quality service delivery, the practicerequires a critical review. As mentioned in its2005 Annual Report, the Commission considersthat there is a genuine need for in-serviceappointees to possess academic qualificationscommensurate with the job demands and alsoequivalent to those required of new recruits fromopen recruitment. The CSB has been urged overthe years to persuade relevant HoDs/HoGs toconsider raising the in-service entry requirementsto basic ranks, if they have not already done so,to bring them on a par with those for openrecruitments. In 2006, the HoGs of two rankswithdrew the concessionary appointmentrequirements for in-service appointees and theHoGs of two others tightened the entryrequirements for in-service appointment tonarrow the gap with those for open recruitment.As an on-going commitment, the CSB hasundertaken to alert those grades which have yetto remove such concessionary arrangements toreview their appropriateness in the context oftheir updating of Guides to Appointment.

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Rolled-over approval for recruitment of rank withpersistent recruitment difficulties

3.11 The Commission strives to facilitate departmentsin their recruitment process to ensure the timelyin-take of new recruits. To cite an example, thestaff shortage problem and recruitmentdifficulties at a training rank were drawn to theCommission's attention during a departmentalvisit by the Commission. Given the stringentappointment requirements of the rank as wellas the universal manpower shortage problem inthe field, the difficulties faced by the departmentin meeting its manpower targets are perennial.Though the department had obtained exceptionalapproval of the Joint Panel co-chaired by theChief Secretary and the Financial Secretary toconduct two open recruitment exercises, theapproval was granted on a one-off basis and thedepartment had to go through the tediousprocedures to apply for fresh approval to conductany new recruitment exercise, thus entailing alot of time and efforts on all parties concerned.

3.12 The Commission shares the view of thedepartment that there is room for saving themanpower resources used for repeating the sameapplication process for exceptional approval.Having regard to the proven need of thedepartment for a continuous, steady and timelysupply of new recruits, the perennial difficultiesfaced by the department as well as the time takenfor each recruitment exercise, the Commissionconsiders that pending the lifting of the civilservice open recruitment freeze, there are strongjustifications for the department to seek a rolled-over exemption from the recruitment freeze toconduct regular open recruitment exerciseswhenever vacancies arise. The Commission hasraised the issue with the Administration whichhas undertaken to pursue the proposed rolled-over exemption.

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4.1 Promotion is an integral part of the civil servicesystem. All eligible officers are considered on anequal basis and they are promoted on the criteriaof character, ability, experience, performanceand prescribed qualifications, if applicable. Inadvising the Administration on promotions tosenior ranks10 in the civil service, the Commissionnot only ensures the promotion of only thoseofficers who are the most meritorious anddeserving, but also makes observations on theproper conduct of individual exercises.

4.2 Promotion submissions from departmentsform the bulk of the work of the Commission.In the course of scrutinising these submissions,the Commission has taken the opportunity toreview the procedures as well as the policies andpractices governing the promotion system.Suggestions arising from such reviews are relayedto the Civil Service Bureau (CSB) which joinshands with the Commission to streamlineprocedures, rationalise rules and practices andimprove on existing policies. Separately, tofacilitate the proper conduct of promotionboards, the Commission considers it necessaryto improve the training on proper proceduresand good practices in conducting promotionexercises for board chairmen and members.

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The Commission has requested CSB to producea film or similar training materials on the properconduct of promotion board meetings forreference by board chairmen and members. Inaddition, customised training programmes, suchas the preparation of board reports, should beprovided for board secretaries.

An Overview of Promotion CasesAdvised in 2006

4.3 The Commission advised on 1 107 promotionsto fill vacancies in 389 ranks11 in 2006. Theseincluded 132 promotions to directoratevacancies12. Though the actual number ofpromotions decreased by 2% from 1 132 in 2005to 1 107 in 2006, the number of promotionsubmissions as advised by the Commissionincreased by 14% from 448 in 2005 to 512 in2006. The Commission also advised onpromotion-related appointment cases involving2 008 officers in 2006, broken down as follows -

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Observat ions Made by theCommission on DepartmentalPromotion Submissions

4.4 Whilst all departments generally dealt with theirpromotion submissions properly, furtherimprovements warranting the attention ofparticular departments were highlighted whenthe Commission tendered its advice on theirsubmissions. Some of the more noteworthyobservations made by the Commission are citedin the ensuing paragraphs for general referenceby Heads of Department/Heads of Grade(HoDs/HoGs) and Departmental Secretaries.

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Lack of career posting opportunity affectingadversely an officer's promotability

4.5 The Commission noted that in a promotionexercise, over 10% of the eligible candidates hadbeen staying in their present posts for more than15 years. Although some of them had strongperformance track record, they were not selecteddue to their lack of the requisite exposurerequired of the higher rank.

4.6 In the Commission's view, an officer's claim forpromotion or acting appointment should notbe unduly affected by insufficient exposurethrough no fault of his own. It is the grademanagement's responsibility to arrange careerpostings for its staff to broaden their jobknowledge and exposure so as to enhance theirversatility. While it is appreciated that there maybe operational difficulties from time to time toprevent timely career postings, a responsibleHoG should always have the career interest ofhis grade members in mind and strive tomaintain a good balance between the careerdevelopment needs of individual officers and theoperational expediency of the department. TheCommission encourages HoGs to adopt a morevigorous career posting plan, to be complementedby constant job enrichment at all levels.Supervisors should also be clearly reminded oftheir staff management role which embraces staffdevelopment and obligation to release staff forcareer posting.

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Non-implementation of promotion board'srecommendation on acting appointment or careerposting of officers

4.7 The Commission observed that in a promotionexercise, one strong contender who was notselected by the board because of his limited workexposure had in fact been recommended byprevious boards for a career posting and had beenwaitlisted by the last board for acting appointmentfor administrative convenience. The departmenthad, however, failed to implement the board'srecommendations.

4.8 Non-implementation of a promotion board'srecommendation may prejudice a recommendee'sfuture promotion claim and should be guardedagainst. Departments should ensure that careerpostings or acting appointments are arrangedpromptly in accordance with promotion boards'recommendations, and non-recommendedofficers should not be appointed to act ahead ofthe recommendees without strong operationaljustifications to avoid undue advantage beingconferred on the former.

Long-term acting appointments not reviewed

4.9 In another promotion exercise, the Commissionnoticed that many candidates had acted for anaggregate of two years but their actingappointments had not been reviewed by a boardbecause the department had arranged for themto step down for a short period after every sixmonths. CSR 166(6) requires acting appointmentsto be reviewed at regular intervals if they areexpected or likely to last or have lasted for longerthan six months, subject to the advice of theCommission as appropriate.

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4.10 Such a practice of cessation of actingappointments, which was adopted in thatparticular case mainly to avoid convening reviewboards and seeking the Commission's advice onthe long-term acting appointments, is clearly nota good management practice. Apart fromcausing disruption to the normal operation ofthe department, the practice is also unfair. It isunfair to eligible officers at large, at least inperception, as there is no proper conduct of anypromotion or selection exercise to review theperformance and relative merits of all eligibleofficers before appointing or re-appointing theofficers concerned to act. It is also unfair to thoseofficers who have acted almost continuously formore than six months as they would not havesuffered deprivation of the full acting pay15 iftheir acting appointments have been properlyendorsed through the conduct of a promotionor selection exercise. The department concernedwas advised to convene a selection board to selectthe most suitable officers for proper trying outand to review their acting appointments inaccordance with CSR 166(6).

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Non-completion of performance appraisal reportsof officers having reached their career ceiling

4.11 The Commission noted in one promotionexercise several cases of performance appraisalreports in one particular grade not beingcompleted where the appraisees had beendeemed to have reached their career ceiling.Preparation of staff appraisals is not solely forassessing an officer's suitability for advancement.It also serves the purpose of monitoring an officer'sperformance for necessary improvements to bemade and for determining his worthiness forfurther retention in the service. Withoutperformance appraisal reports, the training anddevelopment needs of those officers who havereached their career ceiling may be left unattended.Worse still, the hands of the grade managementwill be tied when an officer's performancedeteriorates to a sub-standard level warrantingthe consideration of administrative action toretire him in the public interest under section(s.) 12 of the Public Service (Administration)Order [PS(A)O]16.

4.12 The relevant HoG was alerted of the serious viewtaken by the Commission on the matter. TheHoG concerned has responded positively to theCommission's concern, undertaking to ensurethat active measures would be implemented forthe timely completion of all performanceappraisal reports of the particular grade in theinterest of the career development of its membersand the proper management of the grade.

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Late submission of promotion board reports

4.13 The Commission noted that in some promotionexercises, it took the departments an unduly longtime (nearly three months) to submit the boardreports to the Commission even though the scaleof the exercises was not particularly large. Theexceedingly late submission resulted in the lateannouncement of the promotion results and inone case gave rise to a staff complaint.

4.14 Late submiss ion of promotion boardrecommendations runs counter to the careerinterests of the selected officers. For instance,the promotion of those officers recommendedto AWAV will be delayed as such appointmentswould only take effect on a current date uponthe Commission's favourable advice. It will alsoresult in belated implementation of the board'srecommendations on career development plansand posting arrangements. The Commission wouldlike to see greater improvement in this area.

Varying duration of past performance appraisalunder review by promotion boards

4.15 The Commission observed that departments hadadopted varying duration of past performanceappraisal to be reviewed by promotion boardsranging from two to five years. The Commissionconsiders that the performance appraisal periodreviewed by promotion boards should bestandardised to cover all eligible officers'performance in, say, the past three years. Butfor close contenders, the boards can always makereference to a longer period of the candidates'track records for comparison.

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Reviews Initiated by the Commissionon Promotion Matters

4.16 The succeeding paragraphs provide an accountof the more significant policy subjects raised withthe CSB on civil service promotion and theoutcome of these reviews.

Rotational acting appointments

4.17 As stated in the 2005 Annual Report, somerecommendations put up by departments forrotational acting appointments did not seem tohave good justifications and could give rise toan awkward scenario of a "reversed" supervisor-subordinate relationship which is highlyundesirable and disruptive from the staffmanagement point of view. In 2006, a smallnumber of recommendations on rotationalacting appointments were put up. In some ofthese cases, the recommendation was justifiedon the ground that the officers so recommendedwere close contenders with comparable trackrecords. The Commission considers that such arecommendation can be avoided if criticalreporting is in place and the reporting standardis under effective monitoring to allow for abalanced assessment of the relative merits ofeligible officers in the same rank. Where thereare genuine difficulties in differentiating therelative merits of two or more close contenderscompeting for one vacancy and none of themstands out distinctly from the others, CSR 109(1)(a) should prevail in such cases, i.e. seniorityshould be given appropriate weight.

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4.18 In other cases seeking the Commission's advicein 2006, rotational acting appointments wererecommended on the ground that two closecontenders had performed equally well in theirrespective fields of work but they had not beentested in other fields or some key attributesrequired for the higher rank. The Commissionconsiders that such a recommendation can alsobe avoided if the HoGs concerned have arrangedregular career postings and appropriate trainingto broaden the exposure of their staff and preparethem for higher responsibilities.

4.19 The Commission takes the view that rotationalacting should only be considered underexceptional circumstances. In response to theCommission's request, the CSB has agreed toinclude in its revised "Guide for PromotionBoard" the exceptional circumstances underwhich rotational acting appointments may beconsidered. The Guide will also set out therelated administrative arrangements forcompliance by departments, including theavoidance of a "reversed" supervisor-subordinaterelationship and the need for reviewing theperformance of selected officers vis-a-vis that ofnon-selected officers upon availability of freshrounds of appraisals.

Sounding-out exercise

4.20 The Commission observed in several promotionexercises the long-standing practice of invitingall eligible officers to return a reply slip toindicate their wish or otherwise to be consideredfor promotion before the conduct of promotionor selection boards. The claims of those eligibleofficers who had not applied or who haddeclined to be considered in the sounding-outexercise were not considered by the board.

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4.21 The Commission has strong reservation aboutthe sounding-out arrangement. Selecting themost deserving candidates for promotion on thebasis of performance and merits is theprerogative of the management. The sounding-out arrangement does not add value to theselection process. It only serves to restrict themanagement's choice of candidates. It is not aproper measure to reduce the number of eligiblecandidates of a promotion exercise to amanageable size. In a large promotion exercise,the adoption of a shortlisting criterion of aminimum number of years of in-rank experiencewould have achieved this purpose. As regardsthe particular officer's wishes and aspirations,there are established channels for him to makehis views known to the management. Forinstance, he can indicate his job or postingpreferences in his appraisal report or throughhis staff appraisal interview with his supervisor.The sounding-out exercise in connection witha promotion exercise can give rise to irregularitiesor manipulation by supervisors. It certainly leadsto unnecessary speculation on the chances ofpromotion in an exercise. The Commission isof the view that the sounding-out practice shouldbe avoided as far as practicable.

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Promotion of an officer under debarring effect

4.22 Informal punishment, i.e. verbal or writtenwarning, will normally debar an officer frompromotion17 for one year. However, in exceptionalcircumstances when an officer who is subject tothe debarring effect has demonstrated remarkableimprovement and good service and is suitablefor promotion or appointment in all respects,his promotion or appointment may be considered,subject to the advice of the CSB before such arecommendation is made.

4.23 The Commission noticed in vetting a promotionsubmission that the CSB's advisory role relatingto an officer's promotability under the debarringeffect of a verbal or written warning from theconduct and discipline perspective was partiallywithdrawn in 2002 following its re-organisation.For certain categories of officers, HoDs/HoGshave since been delegated the authority to decidewhether an officer is suitable in all aspects forthe intended promotion notwithstanding thatthe debarring period is still in force18. But thenew arrangement was not promulgated andindividual departments were informed of thenew arrangement only when they approachedthe CSB for advice in respect of specific cases.

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4.24 The Commission raised its concern with the CSBthat departments at large had not been madeaware of the new arrangement. The Commissionalso considered that a consistent and stringentstandard across the service should be maintainedin considering the lifting of the debarring effectof a verbal or written warning by individualappointment authorities. In response to theCommission's request, the CSB issued a circularon 1 December 2006 promulgating the newarrangement, specifying also that in making sucha decision, an officer not below the level ofDeputy HoD/Deputy HoG must be satisfiedthat the following considerations are met -

(a) the conduct and discipline of the officerhave remained entirely satisfactory duringthe debarring period;

(b) the officer is not subject to any criminalinvestigation or proceedings; and

(c) the officer is not the subject of any referralby the Operations Review Committee ofthe Independent Commission AgainstCorruption (ICAC)19.

The Commission is content that with the issueof the circular, the withdrawal of CSB's advisoryrole has been properly followed through.

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5.1 A good staff performance management systemhelps select the right officers for promotion andmaximises individual officers' performance andpotential which in turn enhances the overalleffectiveness and productivity of an organisation.In the course of examining departmentalsubmissions on promotion cases, the Commissionoffers advice to departments on good staffperformance management practices. TheCommission also continues to urge the CivilService Bureau (CSB) to take the lead to reviewand enhance the staff performance managementsystem across the service. The Commission feelsassured with the Administration's very positiveresponse to its observations on staff performancemanagement, showing its determination inmaintaining a high quality civil service.

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Improvements Observed in StaffPerformance Management Practices

5.2 During 2006 improvements, as elaborated in thesucceeding paragraphs, were observed in anumber of departments in addressing somecommon and long-standing staff performancemanagement problems identified by theCommission.

Timely conduct of promotion boards

5.3 The Commission holds a firm view thatpromotion boards should be availed of the up-to-date performance of the eligible candidateswhen assessing their suitability for promotionor acting appointments. To address the problemof late convening of promotion boards, theCommission has firstly secured CSB's agreementto withdraw the requirement of conductingpromotion boards in sequence of descendingrank order for consequential vacancies at D2level and below as previously required ofindividual departments. The Commission hasalso started to impress upon departments inunambiguous terms that save in exceptionalcircumstances (such as the need to tie in withthe schedule of qualifying examinations),

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promotion boards should be held within a periodof six months from the end date of the lastreporting cycle. In circumstances when suchboards are to be convened in the 7th to 9thmonth, good justifications have to be providedfor the Commission's consideration. Lateconvening of boards for more than nine monthsafter the end date of the last reporting cyclewould only be considered on very exceptionalgrounds and under the condition that up-to-date performance appraisal reports are called byadvancing the end date of the current appraisalcycle; and the next annual appraisal cycle shouldbe adjusted to cover the normal cycle plus theremaining months of the preceding cycle. Ifthere are no strong justifications for the lateconduct of promotion boards, departmentswould be asked to postpone the conduct ofpromotion boards to align with the availabilityof a fresh round of performance appraisal reports.Delays in effecting promotions or reviewingacting appointments may occur as a result.

5.4 In 2006, it is encouraging to note that mostdepartments have taken heed of the Commission'sadvice and conducted their promotion boardsin a much more timely manner. In a few caseswhere it was originally proposed that thepromotion boards be held in the 10th monthafter the end date of the last reporting cycle butwithout justifiable causes, they were eventuallyrescheduled to take place as soon as the freshround of staff appraisal reports became available asadvised by the Commission. With determinationand concerted efforts, most departments havedemonstrated their capability of conductingpromotion boards within six months from theend date of the last reporting cycle.

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Timely completion of performance appraisalreports

5.5 Late completion of performance appraisalreports has been a persistent problem over theyears. It is, however, encouraging to haveobserved in 2006 a gradual improvement in thetimely completion of performance appraisalreports in some departments, reducingsignificantly the number of cases involving latereporting of over three months as compared tothe figures in previous exercises. Overall, thesituation, though improving, was far fromsatisfactory. Late or bunched completion of staffappraisals was still detected across the service.

5.6 Late or bunched completion of staff appraisalreports is clearly not conducive to good staffmanagement. The long lapse of time will callinto question the accuracy and hence credibilityof the performance assessments made on theappraisees. It will also lead to staff grievance.

5.7 To address the problem of late reporting, theCommission has drawn to the attention of theCSB and departmental management that wherehabitual lateness in completing performanceappraisal reports is observed, the relevantsupervisory staff should be clearly reminded that -

(a) "personnel management" covering anofficer's competence in managing histeam includes the measurement of histimeliness in completing performanceappraisal reports; and

(b) when assessing a supervising officer'spromotability, all relevant aspects of hiss t a f f pe r fo rmance managementcompetence, including his timeliness incompleting his subordinate staff 'sperformance appraisal reports, should betaken into consideration.

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Compliance with Civil Service Regulations (CSRs)231(1)20 and 232(2)21

5.8 The Commission has adopted since October2004 an approach of requiring departments toprovide compliance statistics on such goodpractices when submitting promotion boardreports covering appointments at D1 level andbelow22. The requirement has proved to beeffective and the CSB has adopted a similarapproach for appointments at D2 level andabove23 upon the Commission's request. Therequirement which has been in force for morethan two years has encouraged compliance asevident in the significant drop in the number ofcases of non-compliance in 2006. For furtherimprovement insofar as the fulfilling of therequirement under CSR 232(2) is concerned,individual departments have been requested toconsider the Commission's suggestion of revisingthe design and layout of their appraisal formswhere appropriate, to facilitate compliance.

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Reviews on Staff PerformanceManagement System

5.9 Whilst encouraged by the improvements madeby individual departments on the various staffperformance management practices, theCommission considers that there are still thosebasic elements that need to be reviewed tostrengthen the staff performance managementsystem in the civil service. In particular, theCommission has observed that most departmentshave encountered varying degrees of difficultyin ensuring consistency in assessment standardseven with the application of the performancemanagement tools promulgated by the CSB videCSB Circular No. 10/2000 dated 7 June 200024.With the promulgation of the use of such toolsfor over six years, the Commission has requestedthe CSB to review their effectiveness, in additionto addressing the need for human resourcemanagement (HRM) training for officers at allsenior supervisory levels to cover directorateofficers, including those who are newlypromoted.

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5.10 To facilitate CSB's review, the Commission hasmade the following observations and suggestions -

(a) Adoption of "effective" grading as thenorm for overall performance

There have been a lot of arguments in somedepartments arising from downwardadjustments of the gradings in the appraisalreports to follow the norm as promulgatedin the circular. In the Commission's view,it would not be unacceptable for theperformance of the majority of officers tobe in the "very effective" and "effective"categories but with, by definition, only avery small number of top performers beingassessed as having "outs tanding"performance. It should also be made clearthat such outstanding performers wouldnormally be suitable candidates to begroomed for fast-track or acceleratedpromotion.

(b) Operation of assessment panels (AP)

A number of staff complaints submittedto the Commission in the past years haverevealed a basic mistrust of the APoperat ion. Feedback f rom somedepartments has also revealed that muchtime and efforts have been spent on thelevelling or moderating of performanceappraisals and managing the argumentsthat have arisen in the process. Theexperience of those departments whichhave successfully run the moderationmechanism should be drawn and translatedinto best practices in improving the APoperation on the ground.

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(c) Adoption of a competency-basedapproach in performance appraisals

T h e C o m m i s s i o n s u p p o r t s t h eAdminis t rat ion's promotion of ac o m p e t e n c y - b a s e d a p p r o a c h i nperformance appraisals to facilitate a moreaccurate assessment of an appraisee'spotential and promotability to the nexthigher rank, in addition to enhancing theob j e c t i v i t y and t r an spa r ency o fperformance assessment. It is noted thatmajority of the grades suitable for theapproach have already adopted the system.The Administration should continue tostrive for its implementation in theremaining departments.

(d) Appraisal interviews

Currently the appraisee is not alwaysinformed of the HoG's assessments in mostcases. To make the system even moretransparent and to allow for improvementsto be made by the appraisees concerned,the Administration should considerdisclosing the assessments made by HoGswhen they differ from those made by theappraising and countersigning officers.

(e) Career counselling

Officers who are passed over or notrecommended in a promotion exerciseshould be career counselled. Guidelineson how to conduct such counsellingsystematically should be developed fordepartments' reference.

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(f) Non-completion of staff appraisalreports

An officer's failure to submit the appraisalreport form to his supervisor could be areason for the non-completion of hisannual performance appraisal. To deterthis, CSB should consider instituting amechanism to remind DepartmentalSecretaries and supervisors to ensure thatall officers prepare their job descriptionspromptly at the beginning of the appraisalperiod and that such records should bekept. If necessary, a pilot scheme could betried out by one or two grades to evaluatethe effectiveness of this proposal.

5.11 The Commission will closely monitor thefindings of the above reviews and seek to workclosely with the CSB to further improve the staffperformance management system across theservice.

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6.1 Another important function of the Commissionis to advise on appointment matters relating toan officer's continuous employment ortermination of his service. They cover cases ofnon-renewal or termination of agreements, offerof shorter-than-normal agreements, refusal ordeferment of passage of probation or trial baron conduct or performance grounds, earlyretirement of directorate officers under theManagement Initiated Retirement (MIR)Scheme25 and retirement in the public interestunder section (s.) 12 of the Public Service(Administration) Order [PS(A)O]. In addition,the Commission advises on other appointment-related cases including those of extension ofservice or re-employment after retirement,secondment26, opening-up arrangement27, and

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revision of terms of employment28 of servingofficers in the senior ranks29 of the civil service.A statistical breakdown of cases advised by theCommission by category of these appointmentmatters is provided at Appendix VIII.

6.2 In advising the Administration on theseappointment matters, the Commission hasreviewed the prevailing rules and departmentalpractices relevant to such matters. Some of themore noteworthy observations raised in 2006by the Commission with the Administration ordepartmental management are cited in theensuing paragraphs.

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Deferment or Refusal of passage of probation ortrial bar

6.3 Under the new entry system30, a probationer isnormally given a three-year probationary period.Whereas for an officer on trial, the length of thetrial period is normally one year but may varydepending on the requirements of the gradesconcerned. The Commission maintains the viewthat it is the management's responsibility toprovide suitable training and sufficient guidanceto probationers or officers on trial so that theycan prove their worth in pursuing a successfulcareer in the civil service. However, confirmationof an officer to the permanent establishmentshould not be "automatic". Whilst it isreasonable and fair to extend the probation ortrial period of the officer who is showing positivesigns of improvement in his performance, thereshould be a limit to the time to be allotted forhim to prove his suitability for the grade. If heis found clearly unsuitable to continue to holdoffice or cannot measure up to the requiredstandard, the management should take resoluteand timely action to terminate his probationaryor trial service without waiting till the end ofthe probation or trial period. If, however, thereare adequate reasons to further test an officer'sperformance, such as those relating to an officer'shealth condit ion, an extension of hisprobationary or trial service can be arranged toascertain his suitability for confirmation topermanent establishment.

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6.4 In examining the departmental submissions oncases relating to deferment or refusal of passageof probation or trial bar in 2006, the Commissionobserved that in at least two cases, substandardperformers had been tolerated for too longbecause of their supervisors' over-generousassessment and delay in completion of staffappraisal reports. Departments are called uponto put in place a vigorous system for monitoringthe performance of probationers or officers ontrial. In addition, all supervisors should bereminded of the importance of honest andprompt staff reporting as well as the need to takeearly action to terminate the service of those whocannot survive the demands of the grade inaccordance with Civil Service Regulations(CSRs) 186(2) or 200(2)31, as appropriate.

Retirement in the public interest under s. 12 ofthe PS(A)O

6.5 Retirement under s.12 of the PS(A)O is not aform of disciplinary action or punishment butpursued as an administrative measure in thepublic interest on the grounds of -

(a) "persistent substandard performance" -when an officer fails to reach the requisitelevel of performance despite having beengiven an opportunity to demonstrate hisworth; or

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(b) "loss of confidence" - when themanagement has lost confidence in theofficer and cannot entrust him withpublic duties.

An officer who is to retire in the public interestwill have his pension benefits deferred until thedate he reaches his statutory retirement age.

6.6 The procedures for handling persistent sub-standard performers were streamlined by theAdministration in October 2005 with the aimto improve further the timeliness in takingappropriate management action. Under the newarrangement, a total of 70 officers from 33bureaux/departments were put under closeobservation in the context of s.12 procedures in2006. Upon the Commission's advice, theAdministration retired 11 officers32 under s.12(ten on grounds of persistent substandardperformance and one on loss of confidence).However, 31 officers remained under closeobservation as at the end of the year. Sixteenofficers, on the other hand, were taken off thewatch-list after their performance had improvedto the required standard. The other 12 officersleft the service for reasons including resignationand removal on disciplinary grounds.

6.7 The Commission will continue to drawattention to possible s.12 cases for departmentalaction in the course of vetting staff appraisalreports in connection with promotion exercises.The readiness of departmental management inpursuing such an administrative action will beclosely watched.

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Extension of service or re-employment afterretirement

6.8 Under the existing policy, applications forextension of service or re-employment afterretirement are only approved in specialcircumstances to meet strong operational needs,subject to the officer's physical fitness, goodconduct and performance as well as theconsideration that his retention would not causeany promotion blockage in the lower ranks. TheCommission's advice is required for applicationsfor extension of service lasting more than 90 daysor re-employment beyond retirement age fromofficers occupying posts under the Commission'spurview.

6.9 During 2006, the Commission advisedfavourably on nine cases of extension of serviceor re-employment after retirement, all of whichwere justified on exceptional operationalgrounds such as acute succession problem or theneed for continuity of service required of project-based or time-limited assignments. Four out ofthe nine cases involved directorate officers.Notwithstanding the Commission's favourableadvice on these cases, concerns were raised withthe Administration that as a rule, officers shouldleave the service on retirement and applicationsfor extension of service or re-employment afterretirement should only be put up in exceptionalcircumstances and for a limited duration. Suchqualifying considerations for similar applicationsin the future are necessary in order that vigoroussuccession plans can be worked out by theAdministration in the interest of the operationalefficiency of the departments and the promotionopportunity of those eligible officers in thelower rank.

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6.10 The Civil Service Bureau (CSB) drew up, inresponse to the Commission's request asmentioned in the 2005 Annual Report, someinitial guidelines setting out the parameters forexceptional consideration of these applicationsto ensure the consistent application across theservice of those circumstances which are deemedas exceptional. The guidelines will be promulgatedby the CSB after seeking feedback from majordepartments and further consultation with theCommission.

6.11 Given that the period of extension of service orre-employment after retirement should be for alimited duration only, the Commission alsoinvited the CSB to review whether the provisionfor the final 90-day extension after re-employmentor extension of service after retirement currentlypermissible under the approving authority ofHeads of Department or Heads of Grade underCSRs 268(3)33 and 276(1)34 is still necessary.In the meantime, the Commission has requestedthat all such applications which require theCommission's advice should include aclarification on whether they have allowed forthe final 90-day extension. The Commissionwill keep in view the findings of the review.

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7.1 Civil servants must be law-abiding and they arealso subject to rules and principles of conductlaid down in civil service regulations. The vastmajority of civil servants are diligent and lawabiding. Within the civil service, as in the caseof any large organization, there are bound to bea minority number of transgressors. Officerswho have committed criminal offences or actsof misconduct are subject to punishment. Adisciplinary mechanism is in place to administerpunishments to achieve a punitive, rehabilitativeand deterrent effect. The Commission isinvolved in overseeing the operation of thedisciplinary mechanism, in addition to providingindependent and impartial advice to the ChiefExecutive on disciplinary cases of all CategoryA officers under its purview35.

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7.2 For cases involving minor acts of misconduct,Heads of Department may issue warnings36 tothe officers concerned without recourse to formaldisciplinary proceedings. Formal disciplinaryaction under section (s.) 9 or 10 of the PublicService (Administration) Order [PS(A)O]37

would be taken in the event of repeated minormisconduct or an act of serious misconduct. Inthe case of a criminal conviction, action unders.11 of PS(A)O38 would be considered. With theexception of exclusions specified in the PublicService Commission Ordinance39 and save incases of informal disciplinary action involving theissue of warnings, the Administration is requiredunder s.18 of PS(A)O to consult the Commissionbefore inflicting any punishment40 under s.9 tos.11 of PS(A)O41 upon a Category A officer.

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7.3 Over the years there have been rising publicexpectations about the conduct and probity ofcivil servants. To uphold a standard of conductcommensurate with those expectations, theAdministration, backed by the Commission, hasbeen taking a resolute stance on the disciplinefront. The resolute stance notwithstanding, theCommission is mindful that its advice ondisciplinary cases must be based on the principlesof equity and fairness, with due reference to thenature and gravity of the misconduct or offenceinvolved in each case, the officer's service record,any mitigating factors, whether there have beencourt proceedings, and the level of punishmentin precedent cases. Moreover, the Commissionalso ensures that the principle of broad consistencyin punishment is maintained throughout theservice.


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An Overview of Disciplinary CasesAdvised in 2006

7.4 The Commission advised on the punishmentof 103 disciplinary cases in 2006 which, whenread together with the 104 cases in 2005,suggests a steady overall trend. It is also anextremely small number representing less than0.1% of the 111 000 Category A officers underthe Commission's purview.

7.5 A breakdown of these 103 cases by misconductor offence and the form of punishment is atAppendix IX. An analysis by salary group andpenalty is at Appendix X. Of these 103 cases, 36(35%) had resulted in the removal of the officersconcerned from the service42. The same numberof cases had resulted in "severe reprimand43 plusfine44" which is the heaviest punishment nextto removal from the service and reduction inrank. These figures bear testimony to theresolute stance that the Administration hastaken against c ivi l ser vants who havemisconducted themselves. The chart below givesa breakdown of the 103 cases advised in 2006by the punishment awarded.

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Observations and Reviews of MajorDiscipline Issues

7.6 Apart from deliberating on the appropriate levelof punishment to be awarded in each disciplinarycase submitted to it for advice, the Commissionalso endeavours to rationalize the benchmark ofpunishment, makes observations on areas thatcall for improvement and initiates reviews withthe Administration on policies and proceduresrelating to disciplinary matters. The punishmentbenchmark and major issues reviewed in 2006,toge the r w i th the ob s e r va t i on s andrecommendations made by the Commission, areset out in the ensuing paragraphs.

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Broad principles in handling integrity-relateddisciplinary cases

7.7 The Commission is mindful that integrity-relatedoffences and acts of misconduct committed bycivil servants will adversely affect the image ofthe Government. As discussed and agreed withthe Administration, the following broad principlesshould be followed in handling such cases -

(a) all such cases should be treated seriouslyand the most stringent punishmentstandard should be adopted;

(b) for integrity-related offences that are alsoduty-related, e.g., corruption or duty-related theft cases, the normal punishmentshould be removal from the service; and

(c) for cr iminal of fences or acts ofmisconduct that are non-duty-related buthave reflected adversely the concernedofficer's integrity, each case should beconsidered on its own merits havingregard to, among other things, the jobnature of the officer concerned.

Benchmark of punishment for "theft (shoplifting)"

7.8 The offence of "theft (shoplifting)" committedby civil servants is punishable under s.11 ofPS(A)O. Noting no signs of any significantdecrease in the number of such cases in the civilservice in recent years, the Commission askedthe Administration to review the benchmark ofpunishment with a view to achieving the desireddeterrent effect and to upholding a high standardof probity in the civil service.

7.9 The Administration's review showed that thenumber of "theft (shoplifting)" cases in the civilservice had remained steady over the years, butabout 30%, which is a significant percentage,

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involved repeat offenders. The Administrationtherefore considered it appropriate to raise thelevel of punishment for first-time and repeatoffenders in order to enhance the deterrence. Withthe Commission's support, the following revisedbenchmark of punishment has since August2006 been adopted by the Administration:-

(a) the award of a "reprimand"45 or a "severereprimand" where the circumstances ofthe case so warranted;

(b) the imposition of a fine on top of a"reprimand" or "severe reprimand"; and

(c) in general, a "severe reprimand with afine" should be the starting point for afirst-time offender where-

(i) the defaulting officer is senior in rank,or a higher level of probity is requiredof the officer due to his position oftrust or the nature of his duty; and/or

(ii) the default ing of f icer has ablemished disciplinary record,particularly if the record is recent.

(d) for a repeat offender, a punishment of upto removal from the service will beappropriate.

Although this general benchmark is designed forservice-wide adoption, some departments,because of the nature of their work, may adopta more stringent approach.

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Benchmark of punishment for sex-relatedmisconduct/offence

7.10 The existing norm of punishment for serioussex-related misconduct or offences is removalfrom the service by "dismissal". Heavypunishments ranging from "severe reprimand"to removal from the service have also beenawarded in the majority of other cases in thepast six years. After a review, the Administrationconsiders that this current benchmark is on thewhole appropriate and should be maintained.

7.11 In view of the surge in those cases involvingfilming under the skirt of a female, theAdministration has set the starting point ofdisciplinary punishment for such cases at thelevel of a "severe reprimand plus fine" in orderto achieve the desired punitive and deterrenteffect. Moreover, a heavier punishment of upto removal from the service might be warrantedin any of such cases where -

(a) the defaulting officer is senior in rank, ora higher level of probity is required of himdue to his position of trust or the natureof his duty;

(b) the act involved the use of force or authorityon the part of the defaulting officer; or

(c) the defaulting officer has a blemisheddisciplinary record, particularly if therecord is recent.

Benchmark of punishment for misconduct ofunauthorized absence from emergency duty

7.12 The Commission takes a very serious view onthe misconduct of unauthorized absence fromemergency duty. The benchmark of punishmentfor such a serious breach of duty ought to be

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no less than reduction in rank and removal fromthe service in more serious cases. The disciplinaryinquiry for such acts of misconduct should alsobe conducted under s.10 of PS(A)O to allowfor removal from the service as a punishment,if appropriate.

Handling of performance-related acts of misconduct

7.13 While backing the tough stance being taken bythe Administration against performance-relatedacts of misconduct such as insubordination, theCommission considers that the management hasa responsibility to ensure that for minor butinfrequently repeated acts of misconduct suchas unpunctuality, the officers concerned wouldbe given sufficient advice and opportunities tocorrect their misbehaviour before escalating thelevel of punishment. Where appropriate,management actions, including postings, shouldbe taken in parallel with the disciplinary actionto achieve the desired corrective effect. However,failing repeated advice and warnings, promptaction should be taken to institute formaldisciplinary action.

7.14 In one case advised by the Commission in 2006,the officer concerned had committed themisconduct of unpunctuality and insubordinationrepeatedly over a prolonged period of three years.Although formal disciplinary action should havebeen taken much earlier, the department hadbeen too lenient for too long in handling thecase. It was not until the situation had becomeintolerable that the department sought to removethe officer from the service by taking formaldisciplinary action under s.10 of PS(A)O.Although the Commission agreed that the officerwas totally unsuitable for remaining in theservice, it had asked the department to reviewand improve the handling of disciplinary casesin view of the delays in taking this case forward.

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7.15 In 2006, the Commission advised on four casesof "negligence in performing supervisory duties"resulting in the misconduct of subordinatesbeing undetected or connived at. Although thefour supervisors involved all mitigated, amongstother things, that their misconduct was due totheir heavy workload, they were punished by areprimand plus fine or a severe reprimand plusfine. The Commission considers that there isno excuse for failing one's supervisory duties anda tough stance will continue to be taken againstsuch acts of misconduct.

New punishment mechanism for duty-relatedtraffic offences

7.16 As reported in the Commission's 2005 AnnualReport, the Commission had called for a newpunishment mechanism to be devised to allowfor duty-related traffic offences committed a longtime ago and of relatively minor nature to bedisregarded when considering the disciplinarypunishment for an officer's current duty-relatedtraffic offence. After review, the Administrationhas devised a "spent-conviction" mechanismwhich allows for relatively minor traffic offencescommitted more than five years before anofficer's current duty-related traffic offence, tobe disregarded. By "relatively minor trafficoffences", the Administration has referred tothose that do not involve injury to or death ofany person, drink driving, any other misconducton the part of the officer, or an aggregategovernment loss (including repair cost for thegovernment vehicle and third party claim)exceeding $100,000. This new mechanism hasbeen put to use after formal staff consultationin July 2006.

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Reporting of non-duty-related offence of"careless driving"

7.17 Under existing practice, so long as the non-duty-related offence committed by an officer relatesto "careless driving" alone with no casualtyinvolved, the officer would not be punishedunder s.11 of PS(A)O. However, the officer isstill required under s.13(1) of the Public Service(Disciplinary) Regulation (PS(D)R)46 to reportthe relevant criminal proceedings to his Headof Department (HoD) for consideration ofdisciplinary punishment under s.11 of PS(A)O.As such offences are not duty, conduct orintegrity related and the image of governmentshould not be adversely affected, the Commissionis of the view that so long as no other offencesare involved and the officers concerned are notdriving government vehicles when committingthe offence, they should be relieved of thepsychological burden of having to report there lated proceedings and to await theAdministration's decision as to whether theyshould be punished. The Commission hastherefore asked the Administration to considerblanket exemption of such cases from theapplication of s.13(1) of PS(D)R and s.11 ofPS(A)O. In other words, an officer againstwhom criminal proceedings for non-duty-related"careless driving" have been instituted shouldbe exempted from the filing of a report to hisHoD; neither would conviction on "carelessdriving" require any follow-up action bydepartments. The Administration hasundertaken to consider this suggestion.

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Development subsequent to discussions on theimposition of an additional tier of punishmentbetween dismissal and compulsory retirement

7.18 As mentioned in the Commission's 2005 AnnualReport, the Administration has started a studyto develop a framework for determining differenttiers of disciplinary punishment applicable toofficers under the Civil Service Provident Fund(CSPF) Scheme47 with specifications on thecircumstances under which an officer's CSPFbenefits may be partially forfeited on disciplinarygrounds, and the extent of the partial forfeiture.Once the framework is worked out, theAdministration would consider extending theforfeiture arrangement to pensionable officers.As such an arrangement may require amendmentsto the pension legislation, the Administrationneeds more time to thoroughly examine thematter.

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8.1 In 2006, the Chairman and Members of theCommission visited the Leisure and CulturalServices Department, the Social WelfareDepartment and the Civil Aviation Departmentto exchange views with the top management ofthese departments on issues of mutual interestas well as to promote good practices in humanresource management. These visits also providedthe Commission with opportunities to observethe daily operation of these departments and theservices provided by them. Facilities and officesincluding the Hong Kong Central Library, theChai Wan (West) Integrated Family ServiceCentre and the Air Traffic Control Complex andthe Aerodrome Control Tower were visited.

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9.1 The Commission would like to express itssincere gratitude to the Secretary for the CivilService and her staff for their continued supportand assistance in all areas of its work. TheCommission also warmly acknowledges theready co-operation and understanding shown byPermanent Secretaries, Heads of Departmentsand their senior staff in responding to theCommission's enquiries and suggestions during2006.

9.2 As always, the staff of the CommissionSecretariat have continued to provide unfailingsupport to the Commission by working mostefficiently and maintaining a very high standardin vetting departmental submissions. TheChairman and Members of the Commissionwish to place on record their appreciation to theSecretary of the Commission and her team fortheir steadfast work and contribution.

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Appendix I The Commissions General Observations, Suggestions and Comments 66-91on the Consultation Document on Further Developmentof the Political Appointment System

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Appendix II Submissions with Revised Recommendations after 92the Commission Secretariat s Observations

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Appendix III Curricula Vitae of the Chairman and Members of 93-97the Public Service Commission

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Appendix VI Number of Appointees (by Terms of Appointment) in the Open and 100In-service Recruitment Exercises in 2006

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Appendix VII Vacancies Filled in 2006 as Advised by the Commission 101Breakdown by Salary Group

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Appendix IX Disciplinary Cases Advised by the Commission in 2006 103Breakdown by Category of Misconduct / Offence and Punishment

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Appendix X Disciplinary Cases Advised by the Commission in 2006 104Breakdown by Salary Group and Punishment

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1. In July 2006, the Government published forpublic comment the Consultation Documenton Further Development of the PoliticalAppointment System (the ConsultationDocument). The Secretary for the Civil Service(SCS) wrote to the Chairman of the PublicService Commission (the Commission) on 26July 2006 to invite the Commission's views onthe Consultation Document. In response, theCommission has deliberated carefully on therelevance of the proposals in the ConsultationDocument to the Commission's role. It notesthat the proposals will have a significant impacton the civil service. In particular, having regardto the Commission's role in ensuring theimpartiality and integrity of the civil serviceappointment, promotion and disciplinarysystems, the Commission considers i tappropriate and important to assess whether thekey proposal, under the Accountability System,to create two additional political tiers, byappointing in each Policy Bureau one DeputyDirector of Bureau (DD of B) and one Assistantto Director of Bureau (A to D), will affect theoperation and core valuesNote 1 of the civil service.

2. This submission is in two parts. The first partcovers some general observations on the impactof the proposed further development of theAccountability System on the civil service. Thesecond part goes into specific issues of concern.

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Effectiveness of the existing Accountability System

3. The starting premise for the proposals in theConsultation Document is that the AccountabilitySystem introduced in 2002 is to stay and theproposals will address some of the gaps observedin the System. The Commission considers itappropriate that, before further inroad is madeinto Hong Kong's governance structure by theexpansion of the Accountability System, itseffectiveness should be critically assessed andjustified. An assessment should be made, fromthe civil service operation and morale points ofview, to see what problems have surfaced. Thiswill be a meaningful platform against which anassessment of the impact of the further expansionof the Accountability System can be made. Theappointment of DDs of B and As to D will cutdeeply into the operations of the policy bureauxand, once introduced, will have far-reachingimpact on Hong Kong's future governance.

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The integrity of the civil service system and itscore values

4. The Commission believes firmly that the civilservice systemNote 2 and the core values of the civilservice have been contributing to the effectivegovernance of Hong Kong. Any attempt todisintegrate a single part of the system or acomponent of the core values will affect adverselythe governance of Hong Kong. The furtherdevelopment of the Political AppointmentSystem must not therefore result in thepoliticization of the civil service or thecorruption of its core values. Indeed, it is notedthat one of the arguments for the proposal tocreate two additional political tiers to thegovernment structure is to further safeguard theintegrity and neutrality of the civil service(paragraph 2.02(b) of the ConsultationDocument). It is also noted that the code onperformance and behaviour to be applied toDDs of B and As to D as proposed in paragraph3.15 of the Consultation Document doesembrace the broad principle that "they shall atall times actively uphold and promote apermanent, honest, meritocratic, professionaland politically neutral civil service". Faithfulapplication of this principle requires thecommitment and goodwill of all the parties.

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It would also help to smooth out the process ifthe modus operandi of the two new politicaltiers, particularly their interface with the civilservice, is clearly defined and institutionalized.This will minimize misunderstanding. As a start,the existing code applicable to the PrincipalOfficials (POs)Note 3 is an important referencedocument which should be reviewed and suitablyadapted for application to the DDs of B andAs to D.

Incremental approach in implementing theexpanded system

5. Quite apart from a clear definition of the needand modus operandi of the new political tiers,the Commission holds the view that the viabilityof the proposed expansion of the PoliticalAppointment System will depend largely onwhether the right people can be identified andappointed to take up the new political positions.To ensure that only those who are suitable andqualified are appointed, the expanded systemshould be al lowed to be implementedincrementally, if appropriate. The Directors ofBureau (Ds of B), who supervise the twoadditional tiers of political appointees, shouldalso be given the discretion to decide when totake in additional support.

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6. The Commission's major concern in consideringthe Consultation Document relates to theimpact of the expanded Political AppointmentSystem on specific aspects of the civil servicesystem. In this context, the Commissionaddresses the role of the civil service withreference to its changing career prospects,establishment and morale as well as the possibledrain of civil service talents. To ensure a smoothimplementation of the System, the Commissionsuggests that while some duplication ofresponsibilities between the political appointeesand the civil service be acknowledged, clearparameters on their respective basic lines ofresponsibilities should be drawn up with politicallobbying work eventually being confined topolitical appointees only. In addition, clear linesof command should be delineated for performancemanagement and proper procedures for handlingappeals from civil servants should be devised.The Commission also examines the "revolvingdoor" arrangement and seeks to rationalize theconcept with regard to the appointment of theSCS and to the need for the additional tiers ofpolitical appointees under him. The keyconsiderations covering these areas are set outin succeeding paragraphs.


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Role of the civil service

Changing position of the civil service

7. Under the Political Appointment System, thereis a political tier at the top underpinned by thecivil service as the backbone of the Government(paragraph 1.17 of the Consultation Document).The further development of the PoliticalAppointment System will have an effect on thecivil service, but it will not diminish or changethe fundamental importance of the civil service(paragraph 4.01 of the Consultation Document).

8. The Commission considers that civil servantsappointed after the introduction of theAccountability System on 1 July 2002 shouldnot expect to suffer any adverse career prospectsas a result of the expansion of the PoliticalAppointment System. They knew on joiningthe service that the political tier is above the civilservice. However, civil servants joining the civilservice prior to 1 July 2002, and in particularmembers of the Administrative Officer (AO)Grade who have climbed up the career ladderto become directorate AOs with longer termpotential of reaching the top echelons of the civilservice, may find themselves disadvantagedfollowing the introduction of the newgovernment structure. While the clock cannotbe turned back, it behoves the Government toaddress properly the actual or even perceiveddiminution in the importance and role of thecivil service. Any such erosion will affectadversely civil service morale and aspirations,leading to the less efficient operation of theGovernment.

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9. Care should therefore be taken to ensure thatthe further development of the PoliticalAppointment System will not aggravate thesituation. The Commission proposes thefollowing measures -

(a) the Government, while expanding thePolitical Appointment System, shouldalso reiterate its determination to keep thecivil service system intact, and quash anyspeculations that the further developmentof the System would undermine theeffectiveness and morale of the civilservants, that the Government would notbe able to attract capable and aspiringyoung people to join the civil service orthat the quality of the civil service couldnot be sustained in the long run; and

(b) the civil service, led by the SCS, shouldstrive to work in effective partnershipwith the political appointees. Senior civilservants, particularly those of the AOGrade, should be encouraged to embraceand adjust to the changes positively. Theopportunity should also be taken toreview and reinforce the functions of thecivil service, and to continue with thereforms to further improve public sectorproductivity and efficiency.


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Civil service establishment

10. The proposed addition of two tiers of politicalappointees is intended partly to provide strongersupport to the POs for carrying out politicalwork, so that they will be in a better position tomeet the demands of people-based governance.The creation of these political positions is alsoaimed at providing a new channel for public-spirited individuals to acquire practicalknowledge of government operations andnurture their political skills in the interest ofHong Kong's long-term constitutionaldeve lopment (paragraph 2 .02 o f theConsultation Document). The proposedadditional political layers will not be created atthe expense of the civil service (paragraph 2.05(c) of the Consultation Document).

11. The Commission holds the firm view that anysuggestion of creating the additional politicalpositions at the expense of civil service jobs mustbe strongly refuted, as otherwise it will betantamount to inviting the political system toencroach on the c iv i l ser vice system.Furthermore, the new political appointees, apartfrom having a full portfolio of a mix of workand training, will generate extra demands on thecivil service. They will request civil servants toprepare and provide information and data,including internal analyses and papers, and toattend meetings held by them to discuss theadvice being put to POs (paragraph 4.13 of theConsultation Document). For those who haveno background of public administration, theywill also demand more time of the civil servantsin coaching them on Government operations.It is not realistic to expect that the workload ofthe civil servants would be reduced followingthe creation of the additional political tiers.

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Civil service morale

12. The DDs of B and As to D are not civil servants.They can enter the Government by directappointment, and will leave the Government inaccordance with the terms in their contractswhich are different from those applicable to civilservants (paragraph 3.03 of the ConsultationDocument).

13. There is currently a robust civil service systemwith appointments and promotions being madeon the basis of merit. The appointment of theDDs of B and As to D will not be subject tosuch vigorous procedures and can be tied simplyto the appointees' political affiliations. Themorale of the civil service in the face of the directappointment of such senior positions will needto be carefully managed. The Commission, onits part, will continue to ensure that the civilservice system, including its core values, itsmerit-based appointment procedures and itsimpartial disciplinary mechanism, will remainintact despite the wider political developments.


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Possible drain of civil service talents

14. The proposal to further develop the PoliticalAppointment System would allow civil servantsaspiring to a political career to leave the civilservice to take part in politics (paragraph 1.02of the Consultation Document).

15. Judging from the experience of the past fouryears, it is possible that a substantial number ofthe PO positions will continue to be occupiedby former top civil servants as they have intimateknowledge of and experience in Hong Kong'spublic administration. Should such a trendcontinue and the drain of quality civil servantsbe extended to the lower levels with the proposedtwo additional tiers of political appointees, afurther thinning-out of the civil service at thedirectorate level would result. To prepare forsuch a development, the Commission considersthat it will be necessary for the Administrationto train up civil servants faster and in a structuredmanner to meet the succession problems atdifferent directorate tiers of the civil servicehierarchy. To minimize the thinning-out effect,the Government should be cautioned againsttrawling the top echelons of the civil service allat the same time.

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Duplication and division of responsibilities betweenthe new political appointees and the civil service

Duplication of responsibilities

16. As set out in the Consultation Document, thePOs, the DDs of B and As to D constitute thepolitical team, while civil servants carry out theadministrative and executive tasks of theGovernment (paragraph 3.03 of the ConsultationDocument). The DDs of B are responsible forproviding political input to the POs in settingpolicy objectives and priorities, formulatingpolicy and legislative initiatives to achieve agreedobjectives and priorities, scheduling the roll-outof these policies and legislation, and mappingout overall strategies to secure public support ofthese initiatives. They also coordinate with otherbureaux/departments on cross-bureau issues(paragraph 3.07 of the Consultation Document).Civil servants assist POs in formulating theirpolicies, in carrying out their decisions and inadministering public services for which they areresponsible (paragraph 4.11 of the ConsultationDocument). In the area of policy formulation,civil servants should continue to developproposals on policy initiatives, assess their fullimplication, and offer frank and objective adviceand analysis on policy options. They shouldcontinue to comment on the political realitieswithin which the policy options will operate andadvise POs on the possible political consequencesof adopting or not adopting a particular courseof action (paragraph 4.16 of the ConsultationDocument).

17. The Commission notes the apparent overlap ofwork between the political tier and the civilservice. The question of whether the civilservants and the political appointees should havecompletely different areas of work does arise.


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The Commission considers that ideally theresponsibilities of the civil servants and the politicalappointees should be compartmentalized. It alsonotes that in reality some overlap, particularlyin the formulation of policies and cross-bureaucoordination, is unavoidable. The Commissionsuggests that the Government should acknowledgethis right from the start, emphasizing that suchduplications are expected as their dual participationis meant to serve their respective roles as publicadministrators and political appointees.

Clear division of basic lines of responsibilities

18. To ensure organizational efficiency, and tominimize misunderstanding between thepolitical appointees and the civil servants, theCommission considers that clear parametersshould be set on what each team can and cannotdo. Proper job descriptions of the DDs of Band As to D as against those of senior civilservants with whom they closely interact shouldbe drawn up. There should be a clear delineationof their respective basic division of responsibilitiesand a caution that they must not cross over thedividing lines. For example, it should be clearlyspelt out that unlike the political appointees, civilservants, who are politically neutral, must notbe involved in party politics or electioneeringfor a political candidate, and they are also notexpected to strike political deals. It should alsobe emphasized that civil servants are expectedto play the role of public administrators andtherefore the political appointees should neitherdirect the running of a department nor beinvolved in the execution of any policy as theseare the primary responsibilities of the civilservants.


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Political lobbying work

19. The additional layers of political appointees arerequired to undertake the full range of politicalwork and to cover liaison and dealings withpolitical parties and other stakeholders onlegislative and other policy issues; to underpinPOs and, where appropriate, deputise for them;and to present a more comprehensive career pathto individuals who want to serve Hong Kongby entering politics (paragraph 2.06(b) of theConsultation Document).

20. The Commission has deliberated carefullywhether the political appointees should beprimarily responsible for political lobbying workbut assisted by civil servants or the politicalappointees should be wholly responsible for suchwork. The Commission concludes that theappointment of the additional two tiers ofpolitical appointees can be justified mainly onthe basis that such appointment is required totake up the extra political work required tosupport the POs. With such appointment, civilservants should retreat from the political frayand maintain an absolute degree of politicalneutrality. They should continue theirtraditional role as public administrators and takeon the new role of training the politicalappointees in understanding the operations ofthe Government. They should also continue tohelp explain to the Legislative Council and thecommunity Government policies, but thesecuring of votes for the passage of a bill or insupport of a policy should be the responsibilityof the political appointees.


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21. The Commission, however, considers thatwhether or not the political work could be takenup entirely by the political team would dependvery much on the experience and readiness ofthe political appointees. It is possible that notall political appointees can readily undertake theentire political role on first appointmentespecially during the early stages of the newsystem. To address such a concern, someoverlapping of the political role by the politicalappointees and civil servants in the early stagesof the transition would be acceptable but onlyon the premise that such work should eventuallybe the sole responsibility of the politicalappointees.

Line of command and related considerations

Line of command

22. The Consultation Document envisages that afterthe appointment of the DDs of B and As to D,civil servants should continue to report direct,and enjoy direct access, to POs through theirPermanent Secretaries (PSs). DDs of B andAs to D should have no direct line of commandvis-a-vis PSs who will, for the purpose oforganizational structure and performanceappraisal, continue to report to POs. However,political appointees may convey to civil servantsthe views and work priorities of POs, requestcivil servants to prepare and provide informationand data including internal analyses and papersand hold meetings with civil servants to discussthe advice being put to POs (paragraph 4.13 ofthe Consultation Document).


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23. The Commission notes that the appointmentof the additional tiers of political appointees willpose a challenge to the traditional line ofcommand within the civil service, as DDs of Band As to D have no hierarchical relations withthe civil servants, and yet carry the authority ofthe POs. Clear lines of command applicable tothe political tier and the civil service must bedrawn to ease the concern of the civil servantsin giving their frank and objective opinions insupport of the work of the political appointees.For example, it should be clearly stated that thePSs should have unrestricted access to the POsand should report directly only to the POs. It isimportant to remember that for the PoliticalAppointment System to work, mutual trust andteamwork between the political tier and the civilservice must be established.

Performance management

24. DDs of B will deputize for POs during thelatter's temporary absence (paragraph 3.07 ofthe Consultation Document). It is envisagedthat the political tier should not be involved inissues affecting civil servants' career such asappointment, promotion and discipline, thoughtheir views will be sought as an input to civilservants' performance appraisals whereappropriate. The Public Service Commissionwill continue to ensure the impartiality andfairness in the management of the civil service(paragraph 4.21 of the Consultation Document).


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25. The Commission believes that the existingperformance management system of the civilservice must be preserved and not be modifiedfor political considerations following theexpansion of the political tier. As a safeguard,the DDs of B should not be asked by the POsto comment on the performance of PSs. It is,however, accepted that the views of the DDs of Band As to D may be sought as an input to theperformance appraisals of the relevant civilservants other than PSs. But the weighting tobe attached to the input from these politicalappointees on a civil servant's performanceappraisal should be clearly defined to preventthe perception of a de-facto supervisor/subordinate relationship between the two parties.

Appeal channel

26. A channel is provided for a civil servant to discussand escalate his concern about a request from aDD of B or A to D through his PS to the PO orthe SCS, and finally up to the Chief Executive(CE) (paragraph 4.15 of the ConsultationDocument).

27. The Commission supports the proposed appealchannel. The avenue of redress which includesthe SCS, who must also be a civil servant forreasons and considerations as elaborated inparagraphs 32 to 38 below, should address theconcern that the interests of civil servants willnot be affected by political considerations. Aseparate "watchdog" independent of theGovernment to assume the role of redressing anyconcerns/grievances from civil servants istherefore not considered necessary. It should,however, be made clear of the arrangementsapplicable to the redress mechanism as follows -


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(a) when there are conflicts between thepolitical appointees and the civil servants,they should firstly be resolved betweenthe PO and the PS; and

(b) failing (a) above, for those conflictsrelating to human resource managementand the core values of the civil service,they should be escalated and drawn to theattention of the SCS. For those conflictsrelating to policy issues, they should beraised with the Chief Secretary forAdministration and Financial Secretaryat the appropriate policy group meeting.

28. The Commission presently receives directrepresentations from civil servants in relation tomatters falling within its purview of appointment,promotion and discipline. If an individual civilservant chooses to submit representations to theCommission on such matters against a politicalappointee, the Commission, under Section6(1)(c) of the Public Service CommissionOrdinanceNote 4, is obliged to deal with suchrepresentations. This is an additional safeguardagainst any political interference in theappointment, promotion and discipline of thecivil service.

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"Revolving door"

29. The Consultation Document proposes that civilservants aspiring to a political career can leavethe civil service to take part in politics. Shouldhe wish to serve in the civil service again, he wouldhave to go through an open and competitiverecruitment process in the usual way. Thismechanism strikes the right balance betweendeveloping political leadership for Hong Kongon the one hand, and safeguarding against therisk of confusion of roles and the underminingof the impartiality of the civil service (paragraph4.22 of the Consultation Document). TheGovernment explains that it also avoids theproblems of a civil servant having to serve, uponreturning to the civil service after a politicalappointment, a future government of perhaps adifferent political persuasion.

30. The Commission notes that some civil servantsmay find the absence of a "revolving door"provision unattractive to switch to a politicalcareer. However, the Commission supports therejection of such a provision as otherwise thedistinction between the political appointees andcivil servants will become blurred over the years,and this will affect the political neutrality of thecivil service in the longer run. Furthermore, theflexibility accorded to political appointees maynot be fair to those civil servants who will beasked to vacate particular posts in order to allowfor the political appointees' return, not tomention the disruption to succession planningin the civil service.

31. Following this rationale, the Commission findsit odd that the "revolving door" arrangement,which now exists exceptionally for theincumbent of the SCS position, is proposed tocontinue. The Commission's views on thissubject are set out in paragraphs 32 to 38 below.

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Position of the SCS

32. The Consultation Document proposes that theSCS should remain a member of the politicaltier, on par with other POs and be accountablefor matters within his portfolio. He is notobligated to resign or retire from the civil servicebefore taking up the position. He may chooseto do so during his term as the SCS, or he maychoose to revert to the civil service immediatelyupon termination or completion of his term ofappointment as the SCS if he has not yet reachedthe retirement age specified for civil servants(paragraphs 4.23 and 4.25 in the ConsultationDocument).

33. The Commission considers that the public andservice-wide perception of a politically impartialcivil service will be tinted by the proposed hybridterm of appointment of the SCS. The criticismthat the unique arrangement for the SCSposition is not in keeping with the principle ofa politically impartial civil service should nottherefore be dismissed lightly. The caution inthe Consultation Document that whoever fillingthe SCS position should refrain from taking partin election politics and other electioneeringactivities simply does not remove the doubts onhis political impartiality so long as he remains apolitical appointee and, in particular, if he retainsthe SCS position on resignation/retirement fromthe civil service during his term of office.

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34. The Commission believes that it is importantto have a clearly identified head of the civilservice to provide the "backbone of theGovernment" with the leadership and thecontinuity, as well as the focal point of interfacebetween the civil service and the political tier inthe Government structure. This position shouldbe reserved for the civil service and selected fromamongst serving top civil servants with knowngood track record and sufficient seniority tocommand the respect of the civil service. TheSCS who retains his status as a civil servant willcommand the respect of the civil service, will beperceived as being able to help protect theintegrity of the civil service system and to defendmore adequately the interests of the civil service.

35. In keeping with the spirit of the AccountabilitySystem that the SCS should also be accountablefor the success or failure of civil service-relatedpolicies and matters, the Commission suggeststhat his appointment should be made on thecondition that it would be his last appointmentin the civil service. His tenure will coincide withthat of the CE. If he is due to retire on reachinghis normal retirement age before the CE's termof office ends, his service should be extended inorder that his appointment as SCS could tie inwith the completion of the term of office of theCE. If the SCS has not yet reached his normalretirement age on completion of the usual termof office of the CE and if he is not re-appointedto serve as SCS for another term by the incomingCE, he should still be required to leave the serviceto satisfy the condition that his appointment asSCS should be his last civil service appointment.His pensionable service should be suitablycompensated for the service forgone. But giventhe seniority expected of the selected officer, onlya short gap of service forgone is anticipated andhence the compensation payable should not besignificant.

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36. The Commission considers it sensible to reservethe job of the SCS for the civil service and tomake the appointment of SCS on the conditionthat it would be his last civil service appointment.The SCS is the head of the civil service and thePSs report to him on civil service managementissues. It will be untenable to create a reversedsupervisor-subordinate relationship if, when hesteps down from the position of SCS, he is madea PS and report to a former subordinate who isescalated to the position of SCS.

37. Separately, to ensure that the SCS will havedirect access to the CE and his status will be ona par with other POs, the Commission furthersuggests that the SCS should continue to beappointed as a PO, and like the other POs, aMember of the Executive Council.

38. Any civil servant appointed to be the SCS mayof course be subsequently selected by the CE tohold a different PO position as a politicalappointee. His career in the civil service ceaseswith his SCS job.

Appointment of DD of B and A to D to the CivilService Bureau (CSB)

39. The DDs of B will be appointed by the CE onthe recommendation of Ds of B while As to Dwill be appointed by Ds of B with the consentof the CE (paragraph 3.10 of the ConsultationDocument).


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40. The Commission considers that if the SCSshould remain a civil servant and be detachedfrom the political tier, it would not be necessaryfor him to have the intermediate tiers of politicalappointees. A limited area of work of the CSBmay on occasions demand political lobbying oreven the striking of political deals. An exampleis the handling of pay adjustments or paydisputes. Should such service-wide issues requirethe lobbying for the support of political parties,it would not be unreasonable to involve the otherPOs, including the CS and the FS, and if necessary,the CE, in mobilising the requisite politicalsupport in the overall interest of Hong Kong'sgovernance. Such occasions should be rare.

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41. The Commission's overriding concern is thatcivil servants should work in concert withpolitical appointees for the effective governanceof Hong Kong. The comments and suggestionsin this submission are intended to achieve anamicable interface between the new politicalappointees and the civil servants so that thefur ther deve lopment o f the Pol i t i ca lAppointment System would not generatemistrust or conflicts that will put services to thepublic at stake.

Public Service Commission26 October 2006


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Chairman, Public Service Commission

(appointed on 1 Ma 2005)

Occupation : Chairman, Public Service

Commission

Qualification : B.Soc.Sc. (Hons) (HKU), F.C.I.S.,

F.C.S.

Mr Ng was a veteran civil servant. He joined

the Administrative Service in 1971. Senior positions

he held prior to his retirement include Deputy

Secretary for the Civil Service (Staff Management)

(1985 - 1987), Secretary-General of the Standing

Commission on Civil Service Salaries and

Conditions of Service (1989 - 1991), Director of

Administration of the Chief Secretary's Office

(1991 - 1994), Secretary for Constitutional Affairs

(1994 - 1997) and Secretary for Transport (1997 - 2002).

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Member, Public Service Commission

(appointed from 1 Februar 1998 to 31 Januar 2006)

Occupation : Direc tor and Group Genera l

Manager, Chow Sang Sang Holdings

International Ltd.

Qualification : B.Sc., M.Sc.

Mr Chow is a Member of the Council of the City

University of Hong Kong, where he is also the

Chairman of the Board of Management of the

Community College of City University. He is the

Chairman of the Hong Kong Repertory Theatre

and the Chairman of the Art Form Panel (Theatre)

of the Leisure and Cultural Services Department.

He is an Honorary Advisor of the Hong Kong

Philharmonic Orchestra. He has been appointed

to the Investigation Panel A of the Hong Kong

Institute of Certified Public Accountants.

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(appointed on 1 December 2001)

Occupation : Senior Partner of Jewkes Chan and

Partners, solicitors and directorships

in several companies

Qualification : LL.B., B.Sc., Diploma in PRC Law

Miss Chan is the Chairman of the Kowloon

Hospital and the Hong Kong Eye Hospital. She is

a Standing Committee Member of the Tianjin

Committee of the Chinese People s Political

Consultative Conference, a China-Appointed

Attesting Officer appointed by the Ministry of

Justice of the People s Republic of China, an

arbitrator of the China International Economic and

Trade Commission, the Foreign Economic Affairs

Legal Counsel for the Tianjin Municipal

Government and the legal adviser to the Hong Kong

Chinese Enterprises Association. She serves as a

Member of the Administrative Appeals Board and

a Disciplinary Panel Member of the Hong Kong

Institute of Certified Public Accountants. She is

also the Chairman of the University of Victoria

(HK) Foundation Ltd. and Governor of the

Canadian Chamber of Commerce in Hong Kong.

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(appointed from 1 Februar 2002 to 31 Januar 2006)

Occupation : Vice-Chairman of Shui On Land Ltd.

Qualification : B.Soc.Sc.(Hons) (HKU), Dip in M.S.

(HKCU), MPA (Harvard), Post-

graduate Studies in Admin. Dev.

(Oxford)

Mr Wong is the Chairman of the Social Welfare

Advisory Committee, a Member of the Board of

the Airport Authority and Hong Kong Tourism

Board, a member of the Commission on Poverty,

the Chairman of the Court and Council of the

Hong Kong Baptist University, and a member of

the Commission on Strategic Development. He is

also the Chairman of the Hong Kong International

Film Festival Society and Chairman of the Business

and Professionals Federation of Hong Kong. Mr

Wong has served as a Deputy to the National

People s Congress since 1997.

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(appointed on 23 Ma 2003)

Occupation : Businessman

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Hong Kong

Mr Ip is a Member of the Board of Stewards of the

Hong Kong Jockey Club and an Independent Non-

Executive Director of Hang Lung Group Limited.

Mr Ip is also a member of the Advisory Committee

on Post-retirement Employment, the Exchange

Fund Advisory Committee, the Council of the

Queen Elizabeth Foundation for the Mentally

Handicapped, the Board of Trustees of Sir Edward

Youde Memorial Fund, the Hang Seng Index

Advisory Committee, and the AIDS Foundation

Advisory Board. He also serves as an Honorary

Court Member of the Hong Kong University of

Science and Technology, an Honorary Lecturer in

the Department of Professional Legal Education of

the University of Hong Kong, an Honorary Research

Fellow of the Faculty of Law of Tsinghua University,

Beijing, and an Honorary Fellow of the Management

Society for Healthcare Professionals.

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(appointed on 1 Februar 2004)

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Director of Swire Pacific Ltd. and

Non-Executive Director of

Lee Kum Kee Co. Ltd.

Qualification : B.A.(Hons) (HKU)

Mr Sze is a Member of the Operations Review

Committee of the Independent Commission

Against Corruption (ICAC). He was a career civil

servant and joined the Administrative Service in

1969. In a career of some 26 years, he headed a

number of Departments and Policy Branches. He

retired from the post of Secretary for the Civil

Service in 1996 to be Executive Director of Hong

Kong Trade Development Council. He retired

from this position in May 2004.

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Qualification : CA(Scotland), LL.B(Glasgow),

LL.M(HKU)

Mr Stevenson is a Non-Executive Director of the

Hong Kong and Shanghai Banking Corporation

Limited and the MTR Corporation Limited and a

member of the Asia Pacific Advisory Board of BT.

He is also a Member of the Board of Stewards of

the Hong Kong Jockey Club.

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(appointed from 1 June 2005 to 30 September 2006)

Occupation : Head, Organisation Learning,

China, Standard Chartered Bank

Qualification : B.Soc.Sc.(Hons) (HKU)

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Qualification : B.Sc.(Hons) (HKU)

Mr Lo is the President and Chief Executive Officer

of Synnex Technology International (HK) Limited.

He is also the Chairman of the Standing Commission

on Civil Service Salaries and Conditions of Service,

and a member of the Standing Committee on

Directorate Salaries and Conditions of Service.

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Occupation : Director-Human Resource,

Kowloon Canton Railwa Corporation

Qualification : B.A.(Hons) (HKU), MBA (CUHK),

MA(London Universit )

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(appointed on 1 Jul 2006)

Occupation : Consultant

Qualification : B.Sc. (Econ) (LSE, London),

ACA (England and Wales)

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Committee, Solicitors' Disciplinary Tribunal Panel,

Administration Appeal Tribunal Panel and Standing

Committee on Disciplined Services Salaries and

Conditions of Service. She is also an Independent

Non-Executive Director of Excel Technology

International Holdings Limited.

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年報2006 - 公務員敍用委員會

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