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08 Audit and Monitoring
Summary
- Civil protection should be integrated as a normal part of business of Category 1 and Category 2 responders.
- The normal audit and inspection regimes of all Category 1 responders will measure performance.
- Self assessment and the role of managers will be key features of the monitoring regime.
- Failure to perform a duty may lead to enforcement by the Court of Session.
Monitoring performance and audit
8.1 The Act introduces a series of duties for those engaged in civil protection work at the local level. These duties have been detailed in preceding chapters. Taken together, these duties provide a framework for civil protection.
8.2 The Act makes reference in Section 9 to monitoring by government. Scottish ministers may require Category 1 and Category 2 responders:
- to provide information about action they have undertaken in complying with a duty; or
- to explain why they have not taken action in complying with a duty.
8.3 The Chartered Institute of Public Finance and Accountancy ( CIPFA) has produced "Good Governance Standard for Public Services" that outlines the responsibilities of public sector organisations and their managers to adopt a risk management framework. The provisions of the Act mirror the general requirements of good corporate governance with regard to performance of functions.
8.4 The Turnbull Report (1999) has set the agenda for good governance and its principles have been widely adopted by industry and government alike. Turnbull focuses primarily on risk management as the key mechanism of internal control. Within this, emphasis is placed upon the vital role of management in implementing the risk-based approach. Turnbull advocates establishing a management framework which focuses on business objectives and specific outcomes.
8.5 This approach has ramifications for monitoring performance. Using a system of minimum standards has proved to be unnecessarily rigid and inadequate for measuring the performance of an organisation. Many audit and inspection bodies have adapted their monitoring processes to focus upon a more risk-based and strategic regulation approach.
8.6 Internal assessment can provide a useful indication of the performance of an organisation.The Turnbull Report highlights the role of self-assessment and the need for senior management to oversee the performance of the organisation. The importance of self-assessment is confirmed by the research of the Prime Minister's Office of Public Services Reform which noted that inspectors and auditors should encourage self-assessment by managers. The inspectors should challenge the outcomes of the managers' assessments and take them into account in the inspection process.
8.7 The Scottish Executive's position is also in line with the Public Service Reform Strategy which set four principles of reform. One of these was devolution and delegation to the front line, giving local leaders responsibility and accountability for delivery and the opportunity to develop services around the needs of local people.
8.8 The Scottish Executive will rely on current good practice in performance management and on established audit and regulatory bodies across the Scottish Category 1 and Scottish Category 2 responders to assess performance. The performance against duties will be measured for all functions.
8.9 Where the Scottish Executive has reason to require more information about compliance with duties and to seek an explanation for non-compliance, Scottish Ministers' have powers under the Act to require that responders provide information.
Enforcement
8.10 The Act enables Scottish Ministers, Category 1 and Category 2 responders to take action in the Court of Session regarding a failure by a Category 1 or Category 2 responder to perform its duties under the Act. 1
8.11 The failure to perform duties includes compliance with regulations and having regard to guidance issued by a Scottish Minister.
8.12 The Court of Session may grant any remedy or make any order that it thinks appropriate.
General Category 1 and general Category 2 responders
8.13 General Category 1 and general Category 2 responders, with functions exercisable in Scotland, will be audited through their normal regulatory regimes and subject to monitoring and enforcement by a Minister of the Crown.
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