Internal and external reviewers of the MPS and the MPA - roles, functions and statutory responsibilities

Report: 5
Date: 15 May 2001
By: Treasurer and Commissioner

Summary

This paper sets out the core functions of the continuum of inspection, audit and review bodies within the MPS. The paper also outlines the roles of external inspection, audit and review bodies that have a statutory responsibility in relation to the MPA/MPS.

A. Recommendations

1. Members are asked to note the contents of this paper.
2. The paper be authorised for distribution to key stakeholders within the MPA and the MPS.

B. Supporting information

Defining the boundaries of internal and external review

1. Audit, inspection and review activities impacting upon the MPA and the MPS can be defined as those activities where there is an official mandate to scrutinise some aspect of the behaviour of the MPA and/or MPS and seek to change it*. All external review activity has a statutory mandate. Of the internal review activity only the best value function and Internal Audit have a statutory mandate.

*My definition is based on that provided by Hood, Scott, James, Jones and Travers in their 1999 publication "Regulation inside Government - Waste-Watchers, Quality Police and Sleaze-Busters".

The key internal review activities

2. For the purposes of this paper "internal review" is taken to include any audit or inspection related activity set up by those either under control of the MPA or the Commissioner in relation to the MPS. Internal review does not include local line management supervisory activity which may be labelled an "audit" or an "inspection" by the line manager when commissioned on their behalf.

3. Within the MPS most business and operational groups have either a Quality Assurance Officer or a quality function of some description. As with the Inspection and Review Framework of local inspections these are managed by the Quality Performance Review Group (QPRG). They are effectively part of line supervision activities and have not been included as a review activity in this paper.

The key service-wide internal review activities, their statutory basis and core functions are set out below

4. The Inspectorate (Directorate of Quality Performance and Review). Not a statutory requirement. The Inspectorate as part of the MPS Inspection and Review Group works alongside the Performance Review Unit and the Inspection Liaison Unit. The Inspectorate has the lead internal responsibility for scoping reviews and thematic inspections on aspects of police operations, service delivery and strategic management. The aim is to identify good practice and make recommendations for compliance with and improvement of service policy. A risk-based assessment is being introduced to assist in the selection of new work.

5. Recommendations made in Inspectorate reports to line managers are advisory and not enforceable. Responsibility for implementation of the Inspectorate recommendations is that of the primary stakeholders. The Performance Review Committee, chaired by the Deputy Commissioner, oversees the implementation of recommendations.

6. Performance Review Unit (Directorate of Quality Performance and Review). Not a statutory requirement. Originally part of the former Area structure internal management review processes. Now a service-wide body whose activities are well established within the Territorial Policing business group. Is developing teams within Specialist Operations and other MPS business groups to enable the operation of the Inspection and Review Framework across the MPS. Primary role to review and improve performance, particularly where HMIC have or are likely to make recommendations to improve operational or business performance. The PRU will be responding to the requirements of the HMIC for the HMIC BCU inspection programme ("Going Local").

7. Data Protection Act Audit (Directorate of Quality Performance and Review). Not a statutory requirement. Driven by the requirements of the ACPO Data Protection Manual and checked by the HMIC. Primary role to test and assess level of compliance within the MPS with the Data Protection Act and related legislation and to make recommendations for improvement. The main focus is on the quality of data in PNC applications. A three-year programme is set following a risk assessment in accordance with the methodology laid down in the ACPO Manual.

8. Security Inspections (Directorate of Quality Performance and Review). Not a statutory requirement. Primary role is to ensure staff and contractors are applying MPS security standards.

9. Records Management Branch (Directorate of Information). Not a statutory requirement. Monitoring of MPS compliance with the Public Records Acts and advice and guidance on the retention and disposal of records.

10. Quality Assurance Checking Unit (Directorate of Professional Standards). Not a statutory function. Primary role is to test the ethical standards of police officers and civilian employees of the MPA. This is achieved through a series of statistically random measured tests across the activities of the MPS/MPA that accord with the priorities of the policing plan. At the moment the programme of work is largely generated by requests from top MPS management and the Quality Performance and Review Group.

11. Internal Audit (Metropolitan Police Authority). A statutory requirement laid upon the MPA*. Primary role is to evaluate and comment on the adequacy and effectiveness of business and financial controls within the MPS and the MPA. This is achieved through a five-year risk based cycle of reviews and audits, supplemented by advisory work and investigations into suspected fraud or abuse that could affect the business activities of the MPA/MPS.

*The Accounts and Audit Regulations 1996, SI(1996)590.

12. Recommendations made to line managers in Internal Audit reports are advisory and not enforceable. In areas of high risk, recommendations that are not accepted or implemented within six months are taken up with the Audit Panel, a statutory committee of the MPA.

13. Best Value Review (Metropolitan Police Authority). A statutory requirement laid upon the MPA*. Primary role to establish best value through a five year cycle of reviews. Is designed to look at all aspects of the business of the MPS over the five years but is expected to be geared towards the most significant aspects of the business in the first year. The statutes do not define how this should be achieved. A Best Value Review Team within the MPS supports the function and each review is run as a project.

*The Local Government Act 1999.

14. Health and Safety Inspections (Occupational Health). Not a statutory requirement. Primary role to ensure that MPS is not in breach of Health and Safety legislation. The Property Services Department also regularly carries out health and safety checks as well as providing health and safety advice in relation to the estate and buildings of the MPS. A policy document setting out the respective roles of Occupational Health and the Property Services Department has been drawn up.

15. Ad hoc joint review activity. Not a statutory function. Either co-ordinated through the Performance Review Committee and its offshoots or arising naturally through interaction between, for example, the Inspectorate and Internal Audit. In the case of audit and inspection, the primary purpose is to avoid unnecessary duplication of effort and conflicting recommendations for the recipients.

The key external review bodies

16. Her Majesty's Inspectorate of Constabulary (HMIC). A statutory requirement. [1] The legislation is widely interpreted by HMIC to include every activity of a police force and authority, including operational, financial and business. The primary statutory role of HMIC is to report to the Home Secretary on the efficiency and effectiveness of police forces in England and Wales. There are four main aspects to HMIC work. Police Act Inspections based on a risk assessment and covering both individual Forces and thematic inspections. A series of standard 'protocols' define this work aimed at reviewing over eighty different functional activities. The HMIC has the statutory role under the Best Value legislation to inspect Best Value Reviews. This work is driven by the MPA's own timetable for Best Value Reviews. HMIC have lead responsibility for the inspection and audit of the Efficiency Plan supported by the District Auditor. BCU Inspections will also commence from April 2001 (under the initiative "Going Local").

17. Recommendations made to forces in HMIC reports are advisory and are not enforceable.

18. The Audit Commission. A statutory role. The Audit Commission is an independent government body established by the DETR that regulates the Code of Practice for Auditors of local authorities and NHS bodies. It appoints auditors to those bodies and aims to raise the standard of performance in them through its own work. In practice the Audit Commission will use District Audit to fulfil most of its statutory functions in relation to the MPS. In relation to Best Value the Audit Commission also has further statutory responsibilities and to discharge this function has its own Best Value Inspectorate (BVI). However, the HMIC is the BVI for police authorities. The Audit Commission also carries out major thematic reviews in liaison with HMIC across all police forces in England and Wales.

19. District Audit (the 'Direct Labour Organisation' of the Audit Commission). A statutory requirement. [2] The appointed District Auditor has personal statutory powers in relation to the MPA. The primary role is the annual audit of the MPA's accounts and any other statutory financial publications of the MPA. The regime adopted by District Audit is more rigorous than that formerly applied to the MPS.

20. The District Auditor has two other statutory duties, firstly an annual review of MPA/MPS arrangements for corporate governance, including arrangements to deal with fraud and corruption. Secondly, an annual review of the Best Value Performance Plan (the review looks at its adequacy and effectiveness and other aspects of performance management).

21. District Audit employs accountancy firm KPMG to carry out many of its routine annual financial audit tasks, including work on the accounts and financial systems.

22. District Audit (and Audit Commission) recommendations to the MPA are normally advisory and not enforceable. However, the District Auditor also has the power to report to the public in the public interest and to challenge actions of the MPA/MPS through the courts.

23. The Greater London Authority (ie: the Mayor and Assembly). A statutory role. The GLA can require information from the MPA, as a functional body, and can scrutinise its operation. The Mayor and/or Assembly also determine the council tax precept and therefore set the budget for the MPA. There is an implicit opportunity to review the MPA/MPS in support of these responsibilities.

24. The Home Office. A statutory responsibility through the Treasury to Parliament to ensure that funds provided to police authorities have been properly spent on the intended purpose when the money was voted by Parliament. [3] In addition the Home Office has a direct monitoring role in relation to MPS activities on behalf of national Home Office responsibilities. In practice the Home Office relies on the work of the other external review bodies and a certificate from the Treasurer that grant monies have been spent as intended by Parliament. The Home Office also relies on HMIC as a key link with the MPS.

25. The National Audit Office. A statutory responsibility. [4] Although no longer responsible for the statutory audit of the MPA and the MPS, the NAO still has a responsibility to audit the grant monies provided by the Home Office and any other Home Office funding for national functions or one-off initiatives. In practice most of this work will be carried out within the Home Office.

26. Health and Safety Executive (HSE) Inspections. A statutory role to ensure compliance with government legislation. The HSE has the power to issue improvement and prohibition notices, breaches of which could result in court action against the Commissioner.

Co-ordination of external and internal review activity

27. Every effort is being made to ensure that internal and external review activity is co-ordinated. The Continuous Improvement Steering Committee has been set up for this purpose. It is accountable to the Performance Review Committee and utilises the Quality Performance and Review Group to ensure action is taken on key recommendations.

28. The Inspection and Liaison Unit also has a key role to play. It co-ordinates management information regarding inspections and reviews both internal and external. The ILU collates and applies risk analysis to emerging issues for future Inspections, it monitors and tracks on-going work from all sources and analyses progress in implementing recommendations from all such work.

29. Various parties may also combine in carrying out reviews. The Mayor, Commissioner and MPA have agreed to commission jointly a programme of efficiency and effectiveness reviews. This supports directly the principal duty of the MPA to secure an efficient and effective police service for London.

C. Financial implications

No direct financial implications.

D. Background papers

None.

E. Contact details

The author of this report is Peter Tickner, Director of Internal Audit.

For information contact:

MPA general: 020 7202 0202
Media enquiries: 020 7202 0217/18

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