C2Part III Studies, Performance Standards and Other Functions
Studies and related functions
33 Studies for improving economy etc. in services.
C11
The Commission shall undertake or promote comparative and other studies designed to enable it to make recommendations—
a
b
for improving the financial or other management of bodies subject to audit F28and local government bodies in Wales.
2
The studies which the Commission is required to undertake or promote under subsection (1) include, in particular—
a
studies designed to enable the Commission to determine what directions it should give under section 44; and
b
studies of information published in pursuance of directions under that section which are designed to enable the Commission to determine, in relation to each financial year, what comparative information to publish itself about the standards of performance achieved by bodies which are relevant bodies for the purposes of that section.
3
In undertaking or promoting studies under subsection (1) relating to a health service body (services of which are excluded from studies under section 34) the Commission may take into account the implementation by the body of—
a
any particular statutory provision or provisions, and
b
any directions or guidance given by the Secretary of State (whether pursuant to any such provision or otherwise);
but this subsection does not entitle the Commission to question the merits of the policy objectives of the Secretary of State.
4
The Commission may undertake or promote other studies relating to the provision by bodies subject to audit F29and by local government bodies in Wales of their services besides the studies referred to in subsection (1) and section 34.
5
The Commission shall publish or otherwise make available its recommendations and the result of any studies under this section and, in the case of studies relating to a health service body, shall, on request, provide the Comptroller and Auditor General with all material relevant to the studies.
6
Before undertaking or promoting any study under this section, other than a study within paragraph (a) or (b) of subsection (2), the Commission shall—
a
consult such associations of F30best value authorities which are bodies subject to audit, other bodies subject to audit and local government bodies in Wales as appear to it to be concerned;
b
consult such associations of employees as appear to it to be appropriate; F25...
c
F24ca
in the case of a study relating to a local government body in Wales, also consult the Auditor General for Wales and take into account any relevant work done or being done by the Auditor General for Wales.
F16d
in the case of a study which has a connection with English local authority social services (within the meaning of Part 2 of the Health and Social Care (Community Health and Standards) Act 2003), also consult the Commission for Social Care Inspection; and
e
in the case of a study which has a connection with Welsh local authority social services (within the meaning of that Part of that Act), also consult the National Assembly for Wales;
F236A
The Commission may undertake or promote studies under this section relating to a local government body in Wales only if the Commission considers it necessary or desirable to do so for the purposes of any of these—
a
a study into the exercise throughout England and Wales of particular functions of all local government bodies or a description of local government body;
b
a study into the provision throughout England and Wales of particular services provided by all local government bodies or a description of local government body;
c
a study into the financial or other management throughout England and Wales of all local government bodies or a description of local government body.
F177
The following provisions of this section do not apply in relation to the bodies specified in subsection (8)—
a
subsection (1)(a);
b
subsection (1)(b), so far as relating to management other than financial management;
c
subsection (4).
8
Those bodies are—
a
any Primary Care Trust;
b
any Strategic Health Authority;
c
any NHS trust (within the meaning of the National Health Service Act 1977) all or most of whose hospitals, establishments and facilities are situated in England.
34 Reports on impact of statutory provisions etc.
1
In addition to the studies referred to in section 33(1), the Commission shall undertake or promote studies designed to enable it to prepare reports as to the impact—
a
of the operation of any particular statutory provision or provisions, or
b
of any directions or guidance given by a Minister of the Crown (whether pursuant to any such provision or otherwise),
on economy, efficiency and effectiveness in the provision of local authority services F34by bodies subject to audit and local government bodies in Wales and of other services provided by bodies subject to audit other than health service bodies F35and by local government bodies in Wales, or on the financial management of F36bodies subject to audit and local government bodies in Wales.
2
The Commission shall publish or otherwise make available its report of the results of any study under this section, and shall send a copy of any such report to the Comptroller and Auditor General.
3
Where the Comptroller and Auditor General has received a copy of any such report he may, subject to subsection (4), require the Commission to provide him with any information obtained by it in connection with the preparation of the report, and for that purpose the Commission shall permit any person authorised by him to inspect and make copies of any documents containing such information.
4
No information shall be required by the Comptroller and Auditor General under this section in respect of any particular body.
5
The Comptroller and Auditor General shall from time to time lay before the House of Commons a report of any matters which, in his opinion, arise out of studies of the Commission under this section and ought to be drawn to the attention of that House.
6
Before undertaking or promoting any study under this section the Commission shall consult—
a
the Comptroller and Auditor General;
b
any Minister of the Crown who appears to it to be concerned;
F18ba
in the case of a study which has a connection with any English local authority social service (within the meaning of Part 2 of the Health and Social Care (Community Health and Standards) Act 2003), the Commission for Social Care Inspection;
bb
in the case of a study which has a connection with any Welsh local authority social service (within the meaning of that Part of that Act), the National Assembly for Wales;
c
such associations of local authorities or other bodies subject to audit as appear to it to be concerned; F33...
d
such associations of employees as appear to it to be appropriate.
F32da
in the case of a study relating to a local government body in Wales, also consult the Auditor General for Wales and take account of any relevant work done or being done by the Auditor General for Wales.
F316A
The Commission may undertake or promote studies under this section relating to a local government body in Wales only if the Commission considers it necessary or desirable to do so for the purposes of any of these—
a
a study into the impact of anything mentioned in paragraph (a) or (b) of subsection (1) on economy, efficiency and effectiveness in the provision of local authority services throughout England and Wales by all local government bodies or a description of local government body;
b
a study into the impact of anything mentioned in paragraph (a) or (b) of subsection (1) on economy, efficiency and effectiveness in the provision of other services throughout England and Wales by all local government bodies or a description of local government body;
c
a study into the impact of anything mentioned in paragraph (a) or (b) of subsection (1) on the financial management throughout England and Wales of all local government bodies or a description of local government body.
35 Studies at request of bodies subject to audit.
1
The Commission may, at the request of the body concerned, promote or undertake studies designed to improve economy, efficiency and effectiveness in the management or operations of any body subject to audit.
2
Before making the request the body shall consult—
a
such associations of employees, or
b
in the case of a health service body, such other organisations,
as appear to it to be appropriate.
F22A
Before exercising the power of the Greater London Authority to make a request under subsection (1) above, the Mayor of London shall consult the London Assembly.
3
The Commission shall charge the body such fees for services provided under this section as will cover the full cost of providing them.
F194
This section does not apply in relation to the bodies specified in section 33(8).
F335AF3 Studies for functional bodies at request of Greater London Authority.
1
The Commission may, at the request of the Mayor of London, promote or undertake studies designed to improve economy, efficiency and effectiveness in the management or operation of any functional body or the London Pensions Fund Authority.
2
Before making a request under subsection (1), the Mayor of London shall consult—
a
the body concerned;
b
the London Assembly; and
c
such associations of employees as appear to him to be appropriate.
3
The Commission shall charge the Greater London Authority such fees for services provided under this section as will cover the full cost of providing them.
4
This section is without prejudice to the power of a functional body or the London Pensions Fund Authority to make a request under section 35(1).
36 Studies at request of educational bodies.
1
The Commission may promote or undertake studies designed to improve economy, efficiency and effectiveness in the management or operations of a body in the first column in the Table below if requested to do so by the body (or one of the bodies) specified in relation to it in the second column—
Subject of study | Requesting body |
|---|---|
F37The Higher Education Funding Council for England. | The council. |
The governing body of an institution F38in England within the higher education sector. | The governing body or the F39Higher Education Funding Council for England. |
A funding agency under Part I of the M1Education Act 1994 F40in England . | The agency. |
The governing body of an institution F41in England receiving financial support under Part I of the Education Act 1994. | The governing body or the appropriate funding agency. |
F4The Learning and Skills Council for England. | F4 The council. |
F42. . . | F42. . . |
F5. . . | F5. . . |
The governing body of an institution F43 in England within the further education sector. | The governing body F6, F44or the Learning and Skills Council for England |
F7. . . | . . . |
F7. . . | . . . |
F7. . . | . . . |
2
3
The Commission may, at the request of a higher education F9corporation or further education corporation F46in England —
a
advise them in connection with the appointment of persons to audit their accounts; and
b
arrange for their accounts for any financial year to be audited by such of the Commission’s officers as the corporation F10. . . may appoint.
4
In subsection (3)—
a
“higher education corporation” and “further education corporation” have the same meaning as in the M3Further and Higher Education Act 1992, and
b
references to the accounts of a higher education corporation include references to any statement of accounts prepared by the corporation under paragraph 18 of Schedule 7 to the Education Reform Act 1988.
5
The Commission shall charge the body at whose request any services are provided under this section such fees as will cover the full cost of providing them.
6
This section shall be construed as one with the M4Education Act 1996; and references in any enactment to the Education Acts include a reference to this section.
37F20 Assistance to CHAI and CSCI
1
The Audit Commission may provide assistance to the Commission for Healthcare Audit and Inspection or the Commission for Social Care Inspection in the discharge of any of their functions under Chapter 3 or 5 of Part 2 of the Health and Social Care (Community Health and Standards) Act 2003.
2
Assistance under subsection (1) may be provided on such terms, including terms as to payment, as the Audit Commission and the Commission in question may agree.
38 Benefit administration studies for Secretary of State.
1
The Secretary of State may request the Commission to conduct or assist the Secretary of State in conducting studies designed to improve economy, efficiency, effectiveness and quality of performance in the discharge by local authorities of functions relating to the administration of housing benefit and council tax benefit.
F221A
The Secretary of State may not exercise the power conferred by subsection (1) in relation to a county council, county borough council or community council in Wales.
2
In the following provisions of this section “study” means a study which the Commission is requested to conduct, or assist the Secretary of State in conducting, under subsection (1).
3
If the Commission requires—
a
a local authority included in a study, or
b
an officer or member of such an authority,
to supply the Commission or an authorised person with such information as is needed for the purposes of the study, the authority or officer or member shall supply the information.
4
If the Commission requires a local authority included in a study to make available for inspection by the Commission or an authorised person documents which relate to the authority and are needed for the purposes of the study, the authority shall make the documents available.
5
Any information obtained under a requirement under subsection (3) or (4) may be disclosed by the Commission to the Secretary of State for the purposes of any functions of his which are connected with housing benefit or council tax benefit.
6
In subsections (3) and (4) “authorised person” means a person authorised by the Commission for the purposes of this section.
7
The Commission shall send to the Secretary of State a copy of any report of a study; and the Secretary of State or the Commission may send a copy of a report of a study to any local authority to which the study relates.
8
Any report of a study may be published by the Secretary of State in conjunction with the Commission.
9
The Commission shall not conduct, or assist the Secretary of State in conducting, a study unless before it does so the Secretary of State has made arrangements for the payment of such reasonable amount as may be agreed between him and the Commission in respect of the study.
39 Social security references and reports to Secretary of State.
1
The Commission or an auditor may refer to the Secretary of State any matter arising from an audit or study under this Act if it appears that it may be relevant for the purposes of any of the functions of the Secretary of State relating to social security.
2
The Commission may send to the Secretary of State a copy of any report of which a copy is sent to the Commission under section 10(2) and which contains observations on the administration by a local authority of housing benefit or council tax benefit.
40 Studies relating to registered social landlords.
1
2
Where the F11Housing Corporation and the Commission fail to agree a programme proposed by either of them, either of them may refer the matter to the Secretary of State who may direct that the programme be carried out either without modifications or with modifications specified in the direction.
F492A
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3
Where a programme is agreed or is directed to be carried out, the Commission shall ensure that studies giving effect to the programme are carried out by it or on its behalf.
4
It shall be a term of every such programme that the F50Housing Corporation make good to the Commission the full costs incurred by the Commission in carrying out the programme.
5
The Commission shall publish reports on the studies carried out under this section.
6
41 Provisions supplementary to section 40.
1
The Commission may, if authorised to do so by the F52Housing Corporation—
a
require a registered social landlord, or any officer or member of a registered social landlord, to supply such information as the Commission may require for the purposes of any study under section 40; and
b
require a registered social landlord included in any such study to make available for inspection such documents as are reasonably required for the purposes of the study.
2
The Commission may require the information to be supplied, or the documents to be made available, to the Commission or to a person authorised by the Commission for the purposes of this section.
3
A person who without reasonable excuse fails to comply with a requirement under this section commits an offence and is liable on summary conviction to a fine not exceeding level 3 on the standard scale.
4
Information obtained by the Commission, or by a person acting on behalf of the Commission, in the course of a study under section 40 may be disclosed by the Commission to the F53Housing Corporation.
41AF15Inspections of registered social landlords
1
The Commission may carry out an inspection of—
a
the quality of services provided by a registered social landlord;
b
a registered social landlord’s arrangements for securing continuous improvement in the efficiency, effectiveness and economy with which it provides services.
F541A
The Commission may not carry out an inspection under subsection (1) in relation to a registered social landlord in Wales.
2
Where the Commission has carried out an inspection under subsection (1) it shall issue a report.
3
A report under subsection (2) shall mention any matter that, as a result of the inspection, the Commission considers should be drawn specifically to the attention of the F55Housing Corporation.
4
The Commission—
a
shall send a copy of a report under subsection (2) to the registered social landlord concerned and to the F56Housing Corporation;
b
may publish a report under subsection (2) and any information in respect of a report.
5
Section 11 of the Local Government Act 1999 (best value inspections under section 10: inspectors' powers and duties, and offences) shall apply for the purposes of an inspection of a registered social landlord under subsection (1) of this section as it applies for the purposes of an inspection of a best value authority under section 10 of that Act.
6
The Commission shall, when drawing up any programme of inspections under subsection (1), consult the F57Housing Corporation.
41BFees for inspections under section 41A
1
The F58Secretary of State may by order make provision of any of the following kinds in relation to the charging of fees by the Commission in respect of inspections under section 41A(1)—
a
provision authorising the Commission to prescribe a scale or scales of fees in respect of inspections;
b
provision governing the prescribing of scales;
c
provision requiring a registered social landlord inspected under section 41A(1) to pay to the Commission any fee applicable to the inspection in accordance with a scale prescribed under provision of the kind mentioned in paragraph (a);
d
such incidental, consequential or supplementary provision as the F58Secretary of State thinks necessary or expedient.
F592
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3
The Secretary of State shall, before making an order under subsection (1), consult—
a
the Commission and the Housing Corporation, and
b
persons appearing to the Secretary of State to represent registered social landlords affected by his proposals.
F604
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
5
The Commission shall, before prescribing a scale of fees that it is authorised to prescribe by an order under subsection (1) F61..., consult—
a
the Secretary of State and the Housing Corporation, and
b
persons appearing to the Commission to represent registered social landlords affected by its proposals.
F626
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
42 Consultancy services relating to audit of accounts of registered social landlords.
1
The Commission may provide the F12Relevant Authority with consultancy services relating to the audit of accounts of registered social landlords.
2
43 Sections 40 to 42: interpretation.
In F63this section and sections 40 to 42 the F13“Relevant Authority” and “registered social landlord” have the same meaning as in Part I of the M5Housing Act 1996 F64and “registered social landlord in Wales” means a registered social landlord which is mentioned in any of paragraphs (a) to (c) of section 56(2) of that Act .
Pt. III continued (1.4.2005) by Public Audit (Wales) Act 2004 (c. 23), ss. 69(6), 73; S.I. 2005/558, art. 2, Sch. 1