Contents
Report 11 of the 17 October 2005 meeting of the Corporate Governance Committee and confirms the status of outstanding high-risk recommendations made by MPA Internal Audit and gives details of work to enhance the process by which the MPS respond to audit recommendations in future.
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High-risk audit recommendations
Report: 11
Date: 17 October 2005
By: Commissioner
Summary
This report confirms the status of outstanding high-risk recommendations made by MPA Internal Audit and gives details of work to enhance the process by which the MPS respond to audit recommendations in future.
A. Recommendation
That
- members note the status of outstanding high-risk recommendations made in relation to MPS control systems by MPA Internal Audit; and
- the work being undertaken by the MPS to enhance its ability to respond to high-risk audit recommendations.
B. Supporting information
1. Close liaison between MPA Internal Audit and the MPS Business Groups has succeeded in reducing the number of outstanding high-risk audit recommendations, however, there are still a number of recommendations that have been outstanding for a significant period. This report aims to provide Members with assurance that the MPS is treating this matter as a high priority by summarising the present status of high-risk recommendations on the MPA Internal Audit list of outstanding recommendations as at end December 2004 and detailing steps being taken to enhance the process by which it responds to audit recommendations.
2. Internal Audit have recently provided MPS Corporate Risk Management with details of high-risk recommendations to end June 2005 to enable Corporate Risk to update its database, and to inform the next round of quarterly updates (see paragraph 6).
Progress report on current high-risk audit recommendations
3. The current status of all outstanding high-risk accepted MPA Internal Audit recommendations is summarised below:
| No. | Audit title | Recommendation status |
|---|---|---|
| 1 | Security clearance – vetting and passes | Action now complete |
| 2 | Messenger and mail services | Recommendations remain subject to Specialist Operations review and availability of funding corporately to pay for new screening contract (dependent on current MTFP process). Work is in hand |
| 3 | External training and further education | Although there is a separate policy to support further education (Academic Qualifications) that now sits outside the MPS Management of Training Policy, it is not intended to have a stand-alone policy for External Training. However, there will be a new Standard Operating Procedure (SOP) to instruct specifically on External Training, which will be inserted into the current Management of Training Policy. This SOP has been prepared and forwarded to Policy Clearing House. The next Annual Training Plan with revised training strategy is due for publication in March 2006. The policy for Further Education has been published. The Training Strategy is to be reviewed along with the Management of Training Policy. |
| 4 | Property Services - management of outsource contracts | Will be effective from 1 January 2007 when new Facilities Management services contracts will be effective (costs of re-negotiating existing contracts are prohibitive). |
| 5 | IS/IT - management of outsource contracts | Both Procurement Services and DoI report that all recommendations have been completed. |
| 6 | Diversity application and monitoring | The new MPS Race and Diversity Strategy is currently out for consultation, the launch is now planned for late 2005, after signing off in October 2005 by Management Board and full MP Authority. The new strategy drives the use of an overarching performance measurement framework; this is under construction and will make use of the existing Corporate Development Performance Pack. |
| 7 | Verification of accounts 1 | MPA Internal Audit has had recent meetings with line management. The recommendations are all still outstanding but work is actively under way to put the revised controls in place. Internal Audit will continue to monitor the situation. |
| 8 | Verification of accounts 2 | As item 7 above. |
| 9 |
Data protection control and enforcement |
Majority of recommendations completed. One recommendation subject to Service Review. A further recommendation has been completed but a follow-up audit report has drawn attention to the need take further action that will be taken in early 2006 (earlier attention would not be cost-effective). The remaining actions required are in hand. |
| 10 | Programme management framework | Work is ongoing with all actions scheduled for completion by March 2006 or before. |
| 11 | Accounts control – SCD11 | Of the 25 recommendations contained in the SCD11 Review of Accounts Control audit report, 21 have been implemented in full or require no further action. Work has commenced on the remaining 4 recommendations of which 2 are high risk. It is hoped that one of the high-risk recommendations will be implemented in full by April 2006. A meeting of interested parties has been arranged to progress the other high-risk recommendation. |
| 12 | Use and control of fuel | Action now complete. |
| 13 | Accounts control – SO12 | SO12 are working with the Covert Finance Unit in SCD to develop procedures. Initial works to implement recommendations to be completed by end of 2005 with the structure then reviewed in light of the formation of the new Counter Terrorism Command. |
| 14 | Storage and display of police artefacts | One recommendation presently awaits action by the Museum Trust, a second awaits action by the Chairman of the Museum Advisory Board and the third is currently being implemented. |
| 15 | Havering BOCU | Action now complete |
| 16 | Accident and riot claims and payments | As soon as two additional officers join DCC8(6), the recommendation will be implemented immediately (the officers concerned are currently awaiting vetting clearance). |
| 17 | Forced entry claims | The Director of Resources has directed that the Source Manager in Procurement Services should aid DCC8(6) in implementing this recommendation. A draft contract and MPS terms and conditions are due to be agreed shortly and it is anticipated that, following circulation to the contractors, the contract will be in place by the end of this calendar year. |
4. A more detailed description of the current status of high-risk audit recommendations is available should Members require to see it.
Improving the MPS audit recommendation response process
5. To enhance the ability of the Service to monitor and report on outstanding high-risk audit recommendations the Corporate Governance Strategic Committee (CGSC) has tasked the Director of Risk Management to put together a working group to develop an audit recommendation response process to be adopted across the Service based on existing good practice within Business Groups for approval by CGSC.
6. An initial meeting of Corporate Risk Management, Corporate Change Co-ordination, Directorate of Information and MPA Internal Audit took place on Tuesday, 4 October at which it was agreed (subject to ratification by Corporate Governance Strategic Committee and with the Internal Audit input to be confirmed by the Director of Internal Audit) that the following actions would be taken immediately:
- MPA Internal Audit will notify MPS Corporate Risk Management of all new high-risk recommendations as and when they are first made
- Corporate Risk Management will maintain a database of outstanding high-risk recommendations
- Corporate Risk Management will undertake all monitoring of high-risk audit recommendation implementation
- Corporate Risk Management will prepare quarterly reports for MPS Corporate Governance Strategic Committee and MPA Corporate Governance Committee
- Corporate Risk Management – on behalf of Corporate Governance Strategic Committee – will escalate matters to Management Board as necessary.
7. The immediate actions are focused on high-risk audit recommendations. Going forward, the working group – led by Corporate Risk management – will scope out longer term actions to improve the audit recommendation response process. The longer term work will consider all audit recommendations but with a primary focus on high-risk and other key recommendations.
8. CGSC will consider proposals for enhanced response to audit recommendations at its meeting on 25 October 2005. From that point forward, quarterly reports to CGSC and MPA Corporate Governance Committee (MPA CGC) will be facilitated by the MPS Corporate Risk Management team in liaison with MPA Internal Audit.
9. MPS Corporate Risk Management will report to MPA CGC in December 2005 on a revised audit recommendation response process.
10. To avoid duplication of activity, the MPS Corporate Risk Management Team will undertake all audit recommendation follow-up within the Service. This is not intended to deprive MPA Internal Audit of the ability to seek status reports on specific recommendations as may be required from time to time, just to ensure that such reports are channelled through Corporate Risk Management. Additionally, there is the facility for Internal Audit to carry out Follow Up Audits.
C. Race and equality impact
There are no adverse impacts on race and equality, however the actions set out at item 6 of the progress summary table will enhance the MPS diversity response.
D. Financial implications
It is understood that the actions have been, or are being, undertaken from existing budgets except for item 2 of the table where the recommendations remain subject to availability of funding corporately to pay for a new screening contract.
E. Background papers
None
F. Contact details
Report author: Nick Chown, Director of Risk Management.
For information contact:
MPA general: 020 7202 0202
Media enquiries: 020 7202 0217/18
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