Risk Management Report - Appendix B
APPENDIX B: Summary of Changes to the Corporate Risk RegisterSeptember 2011
No. / Ref. / Summary Description / Change1 / KCR020 / Inadequacy of future resources to meet the needs of the community and impact of the continuing adverse economic climate. / Risk wording merged with risk KCR026 which will be closed. Brings together internal and external economic risks.
Mitigating Actions updated to reflect ongoing review of MTFP; Member involvement in Corporate Planning; LEP success; working with other public bodies; Business Plans in place and progress regularly monitored; ‘Changing Times’ now being managed under Programme Management disciplines.
Further Actions updated to include urgency of Asset Management Strategy; importance of compliance with Equalities legislation in all Council decisions; significance or the role of Asset Management Group; condition survey to be completed for all Council assets.
2 / KCR025 / Changes in local application of Continuing Health Care rules and financial implications for the Council. / Risk wording updated to clarify short-term nature of PCT funding and uncertainty beyond 2012/13.
Mitigating Actions updated to reflect budget contingency in MTFP; review by PCTs of funding arrangements nearing completion; Ordinary Residence agreement between Councils to be finalised.
Further Actions updated to include requirement to finalise Ordinary Residence agreements; impact assessment of PCT funding review; joint lobbying with Bournemouth and Dorset Councils of MPs on the issue of Adult Social Care funding.
3 / KCR004A / Failure to implement an effective long-term pupil-based strategy and delivery programme to ensure appropriate pupil capacity. / Risk wording updated to focus specifically on ongoing long-term delivery of appropriate pupil places. Age of Transfer risks transferred to separate risk, KCR 004B (see below).
Mitigating Actions updated to include Council approval and support for Capital Investment plan; Baden Powell construction brought-forward; funding secured for additional capacity at Ashdown; work on a 10-year pupil-based plan underway to take account of all known factors.
Further Actionsupdated to include delivery of 10-year pupil-based strategy; significance of dependency on the output of Asset Management Group; ongoing review and adjustment of priorities prior to a further presentation to Council in September 2011.
Residual Risk Score re-assessed in recognition of the significant mitigating actions completed and further actions underway.
4 / KCR004B / Failure to complete the Age of Transfer by 2013. / Risk wording updated to focus specifically on completion of the Age of Transfer Programme.
Mitigating Actions updated to confirm Council support of financial commitments needed to ensure programme resilience; Effective and thorough governance and programme management arrangements in place; agreed roles of LMS Group and Schools Forum; Director’s briefings to Head Teachers and Chairs of Governors; effective communications strategy in place; role of Corporate Management Team, Overview & Scrutiny and Children’s Capital Board.
Further Actions updated to include detailed work underway with schools re staffing structures, processes and procedures; close ongoing management of capital expenditure plans to ensure delivery to expected standards within budget.
Residual Risk Score re-assessed in recognition of the significant mitigating actions completed and further actions underway.
5 / KCR027 / Responsibility for Public Health is transferring from the NHS to the Council. / Mitigating Actions updated in recognition of initial agreements reached between John McBride and peers at clustered PCT for Dorset, Poole and Bournemouth.
Further Actions updated to include Local Directors’ of Public Health meeting with Management Team; commencement of preparation and planning for the transfer and Communications capacity.
6 / KCR002 / Potential failure of Town Centre regeneration plans due to ongoing market uncertainty and/or unacceptable costs. / Risk wording updated to reflect terms of HCA loan and potential impact of adverse financial climate on regeneration plans.
Mitigating Actions updated to reflect imminent consultation phase for Community Infrastructure Levy proposal, prior to submission to the Secretary of State in December 2011; significant progress with Twin Sails Bridge, with delivery on-track; methods of delivery for improvement to Kingland Road and Bus Station area being considered.
Further Actions updated: Poole ‘Master Plan’ refresh underway.
7 / KRC024 / Information Governance / Data Protection risk / Mitigating Actions updated to include completion by ICT of laptop hard-drive encryption impact assessment.Analysis provides a detailed understanding of existing laptop encryption levels.
Further Actions updated to include anticipated proposal from ICT to put in place appropriate hard-drive encryption on all Council laptops.
Residual risk score reduced to reflect significant mitigation now in place across the Council, improved training and tightened procedures.
8 / KCR029 (New Risk) / Lack of Council-wide Business Continuity and Resilience arrangements / New risk documented in recognition of Corporate-level improvements needed to Business Continuity arrangements.
Mitigating Actions updated to reflect Service Unit level Business Continuity arrangements in place.
Further Actions include delivery and implementation of a robust Corporate level Business Continuity plan.
9 / KCR023 / Ongoing threat of cuts and extent of internal change causes lack of motivation. High performing staff may choose to leave due to prolonged uncertainty. / Mitigating Actions Updated to reflect appointment of Programme Manager and progress in developing a structured approach to change management across the organisation.
Further ActionsDetailed planning for all identified workstreams; ongoing effective communication with staff; workforce and development plans to be produced to support new organisational structure and culture.
10 / KCR030 (New Risk) / Impact of reductions in Council Tax benefit funding and different delivery methods could impact the most vulnerable in the community. / New risk documented in recognition of the significant planned changes in benefit delivery methods and known reductions in Council Tax funding from Central Government.
Mitigating Actions confirm recognition as a budgetary pressure and paper being presented to Management Team; work with Local Government Group to develop better awareness of affect of Multiple Impacts.
Further Actions New policy framework to provide clarity on the Council’s policy in respect of Housing and Council Tax benefits which will also be reflected in MTFP review.
11 / KCR014 / Central Government has announced that future funding of the Council’s Housing stock will be on a self-financing basis. / Further Actions BoP and PHP officers working closely together pending publication by Central Government of final details in early 2012.
12 / KCR005A / Community confidence in the Council to protect vulnerable adults could be impacted by negative perception of safeguarding due to negative media representation and changing Government policies. / Mitigating Actions Updated to include comprehensive action plan in place in response to CQC inspection.
Further Actions: Domestic Violence Strategy being reviewed and further developed.
13 / KCR005B / Community confidence in the Council to protect vulnerable Children could be impacted by negative perception of safeguarding due to negative media representation and changing Government policies. / Risk description updated to include anticipated easing of bureaucratic overhead following recommendations for policy changes from the Monro review of Child Safeguarding.
Mitigating Actions updated to include positive outcomes of recent unannounced inspections, with no children being considered ‘at risk’ and no key issues.
14 / KCR021 / Failure of Efficiency Review Programme to deliver anticipated cashable benefits as included within the MTFP. / Mitigating Actions: Updated to include positive outcome of Value for Money assessment; formal quarterly reporting mechanism through Corporate Change Board; regular reporting to Overview and Scrutiny; contingency built-in to MTFP and reporting of variances.
Further Actions:Other ERPs to be scoped and agreed; ongoing close monitoring with prompt reporting of any variation; further VFM work to be undertaken.
Residual risk score re-assessed and reduced in recognition of the strength of mitigating actions.
Corporate Risks closed this quarter
KCR028 / Use of Council assets to support the delivery of strategy / Relevant risk content, mitigating actions and further actions transferred to Risks KCR020 and KCR004A.KCR013 / Failure to successfully develop local services to enable people with a learning disability to move from hospital to homes in the community during 2010/11, including provision of appropriate housing and at an acceptable cost results in failure to meet the needs of people with learning disabilities, falls short of Government requirements and has a significant impact on the Council's finances. / Risk closed in recognition that all residents in Poole have now moved from hospitals into homes. Outstanding risk re finalising between Councils of Ordinary Residence rules transferred to Risk KCR 025.
KCR016 / Fear of crime and anti-social behaviour rise due to extensive media reporting of particular anti-social behaviour events in Poole. / Risk closed in recognition of ongoing downward volumes of reported Anti Social behaviour. Progress will be monitored to ensure progress is sustained.
KCR026 / External economic factors; e.g. Increased interest rates, recession and unemployment could significantly increase demand for the Council's support as homelessness increases. Simultaneously, the Council's income levels could fall, due to genuine inability to pay, caused by extreme financial hardship. Reductions in LHA and migration to Universal Credits may increase pressure further. / Relevant risk content, mitigating actions and further actions transferred to Risk KCR020 and KCR030.
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