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HMIC Inspection Methodologies

INSPECTION PROTOCOLS

Introduction to the process

The inspection process is built around a series of inspection protocols which are used to examine identified functions, issues or areas of operation.

Each of these protocols is designed to stand alone so that it can be used to inspect a single issue.  Users should keep this in mind if, on first reading a number of the protocols together, they appear somewhat repetitive.


The Use of Protocols for Inspection

The inspection process is built around a series of inspection protocols which are used to examine identified functions, issues or areas of operation.

Each of these protocols is designed to stand alone so that it can be used to inspect a single issue.  Users should keep this in mind if, on first reading a number of the protocols together, they appear somewhat repetitive.

The protocols are designed to link with each other and with the eleven key objectives set out in the Government's overarching aims and objectives for the Service.  Use of the protocols will allow the examination of how far in each force the strategic leadership provides the enabling framework within which the tactical response can deliver the key objectives which attain the aims and allow successful fulfillment of the purpose.

Each protocol has a standard structure based on the criteria used in the European Foundation for Quality Management (EFQM) 'Excellence Model', and is presented as follows:

An Introduction/Background which sets out the area covered by the protocol and the recent history/context, together with a reading list of Reference Documents
The Main Sources of Evidence which give sources for more detailed information to be collected before and during the pre-inspection phase both on the general issues and the force specific response.

A set of Protocol Questions which the HMIC staff officer should be able to answer after the pre-read and pre-inspection.  Where possible each question is accompanied by suggestions as to where the evidence for the answers might be obtained.  The protocol questions are set out in six elements which correspond with the five 'enabler' criteria of the EFQM Excellence Model - 'Leadership', 'Policy and Strategy', 'People', 'Partnership and Resources', 'Processes' and a single combined 'Results' category.

A standard Scorecard, which allows each element of the protocol to be scored from 1 to 4 based on the extent of evidence found.  It should be clearly understood that the scoring process does not lead to a 'pass' or 'fail', it is merely a mechanism for measuring the rate of continuous improvement and will, it is hoped, assist with benchmarking.

The additional Best Value Category on the scorecard is scored by assessing, from answers given to questions which have been incorporated into the relevant named criteria, the extent to which the Best Value tests have been met within each function.  The category will be used principally when conducting inspections invoked as part of the Best Value process under the Local Government Act 1999, i.e. following an adverse auditors report.

In contrasting the protocols HMIC has acknowledged that the choice of services to be reviewed under 'Best Value' and the methodology to be employed, are a matter for each authority/force.  These choices may result in reviews being undertaken on a 'geographic', 'functional', or 'process orientated' basis.  In an attempt to keep matters as simple as possible the protocols have been drafted on a functional basis.  However, the FLINT database cross-references the questions from the protocols to the ten major process areas identified by the work of the ACPO committee on the Harmonisation of Business Processes.  This will allow a question-set to be generated to examine both 'function' and 'process' based approaches to Best Value.

The remit of HMIC means that the protocols are generally pitched at the strategic level and fine detail is used principally as a way of testing whether structures and processes are in place and working correctly.  As a result it is unusual for information on every detail of every issue to be collected on each occasion.

When conducting an inspection using the protocols the outcome of the risk assessment will be used as the initial guide as to which protocols are most appropriate.  Each protocol examines the core processes of the function under inspection as well as some of the supporting issues such as 'people' and 'resources' etc. However it may be desirable to examine specific functions from a range of different perspectives in order to ensure a full picture of the issues is produced.