What is supervision

Supervision, types of supervision - in progress -
(Article in the online administration lexicon olev.de, Version 1.0)

1. Definition

Supervision, control, control of others (persons, the activities of job holders, organizational units, institutions, functions within institutions, but also of technical facilities).

Service supervision
Supervision of the personal official behavior of the responsible persons, in the case of superiors also of the management behavior in the context of the management of employees.

Technical supervision
Supervision of the optimal legal, functional and economic execution of technical tasks within the framework of management.

Principles for exercising the technical supervision of the federal ministries over the business area, as of May 2, 2008 (online source / internal source in the online archive)

 

§ 3 GGO ministerial tasks
(1) The federal ministries perform tasks that serve to fulfill or support government functions. This includes in particular the strategic design and coordination of policy fields, the realization of political goals, priorities and programs, international cooperation, participation in the legislative process and the implementation of
Control and supervisory functions vis-à-vis the subordinate business area. The focus on ministerial core tasks is to be ensured through constant task criticism.

Principles for exercising legal and technical supervision by the Federal Ministry of Finance (BMF) over the Federal Financial Supervisory Authority (BaFin) (online source / internal source in the online archive)

Legal and technical supervision

When it comes to supervision, a distinction is made between specialist, legal and service supervision.

  • Technical supervision is the supervision of the legality and expediency of administrative actions.
  • In the case of legal supervision, the authority of the supervisory authority is limited to reviewing the legality of the administrative act.
  • Supervision refers to employees, organizational units or structure and processes. It aims in particular at the personal fulfillment of duties by the employees, the associated internal order and the service operations of the subordinate organizational unit.

(Adopted from No. 2 of the Federal Principles)

The new control instruments cannot be classified into these categories without further ado, it is questionable whether new distinctions are not necessary. Target agreements are conceivable in the context of technical supervision, but they are expressly used in the higher education sector in relation to legally independent universities (see the article "Target agreements")

And what happens when laws prescribe the use of control instruments:

The provisions of this book apply to statutory health, accident and pension insurance, including old-age insurance for farmers and social long-term care insurance (insurance branches).

  • so the KLR in the social and accident insurance
  • Benchmarking in social security,
  • Quality management in healthcare
  • "recognized methods

will the "correct" use of the "correct" instruments be subject to technical supervision? Benchmarking is required by law for social security: Section 69 (5): "The health and pension insurance providers carry out benchmarking in suitable areas."

Section 69 (6): 1The social insurance agencies may only deploy permanent positions and positions if they are justified using appropriate and recognized methods of determining personnel requirements. 2The necessity of the posts and posts in the budget is to be checked regularly if the occasion arises.

(4) A cost and performance accounting is to be introduced in suitable areas.

(3) Appropriate economic studies must be carried out for all financially effective measures.

What is the consequence of privatization: loss of control?

4-circle model of the Swiss federal administration

Control and supervision: supervision = "control", control = design

GGO
Chapter 2 Organizational Principles
§ 3 Ministerial Tasks
(1) The federal ministries perform tasks that serve to fulfill or support government functions. This includes in particular the strategic design and coordination of policy fields, the realization of political goals, priorities and programs, international cooperation, participation in the legislative process and the performance of control and supervisory functions vis-à-vis the subordinate business area. The focus on ministerial core tasks is to be ensured through constant task criticism.

 

Types of supervision
In the supervision of "subordinate institutions", i.e. institutions, a distinction is made between legal, specialist and service supervision.

  • Legal supervision is "legality supervision" and is therefore limited to checking whether legal provisions (laws, ordinances, but also contracts and collective agreements, procurement and, if applicable, competition law and - if applicable - budgetary law) have been complied with. The supervisory authority therefore does not have the authority to control the "politics" of the subordinate institution. Legal supervision as the only type of supervision comes into consideration in particular with regard to institutions that are supposed to fulfill a statutory mandate independently, e.g. B. Broadcasting companies that are subject to supervision as institutions under public law, or legally independent institutions such as the Federal Employment Agency (see Agency), the Federal Cartel Office or the Federal Network Agency.
     
  • In contrast, technical supervision is the comprehensive supervision of both the legality of the action and the appropriateness, so the subordinate institution is also subject to the technical control by the supervisory authority: the supervisory authority has management responsibility, including (joint) responsibility for strategic management.

    Regulations for the technical supervision contain the "Principles for the exercise of the technical supervision of the federal ministries over the business area" (status: May 2, 2008, online source / internal source in the online archive).
     
  • Supervision refers to employees, organizational units or structure and processes. It is aimed in particular at the personal fulfillment of duties by the employees, the associated internal order and the service operations of the subordinate organizational unit (according to the formulation in No. 2 of the principles for exercising the technical supervision of the federal ministries).

The type and scope of supervision is a decisive design and management tool, see the agency article, as well as the article Communication with decrees and reports on the exercise of supervision.

In terms of the matter, supervision is also the function of technical and service superiors. In modern management, the different relationships that are the subject of supervision in this broad sense should be designed and exercised according to the same criteria, based on a uniform management concept.

 

 

literature

Bleacher, Knut2004 The concept of integrated management. 7th edition, Frankfurt / New York 2004
Luhmann, Niklas1968 Concept of purpose and system rationality. About the function of purposes in social systems. Tubingen 1968
Thommen, Jean-Paul / Achleitner, Ann-Kristin2003

General business studies. Comprehensive introduction from a management-oriented point of view. 4th edition, Wiesbaden 2003

 

Internet sources / links


 

 

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Remarks

[FN1] [FN2] [FN3] [FN4] [FN5] [FN6] [FN7] [FN8]

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© Copyright: Prof. Dr. Burkhardt Krems,
Cologne, 2011-01-08

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