SHARED SERVICES RISK REGISTER CORPORATE LEVEL Review Date 27/01/2017
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Score Key Action 16-25 Red High risk, immediate management action is required. 11-15 Amber Medium risk, review controls for appropraiteness and effectiveness 1-10 Green Low risk, monitor and if escaltes quickly check controls APPENDIX 2 SHARED SERVICES RISK REGISTER CORPORATE LEVEL Review date 27/01/2017 Residual risk assessment: Residual risk assessment: Reducing the risk RISK Target risk: Quarter 1 16/17 Quarter 2 16/17 Ref Assigned To Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Management comments on measures. Risk cause and context Overall Overall Overall Planned action(s) Date / in place LBHF RBKC WCC OFFICER(S) 4 4 16 0 3 4 12 4 3 3 9 November 2016 Financial Management in year budget 2016/2017 and Medium 1 Term Planning. Management controls Comments Actions The ongoing challenge of reshaping and delivering Kevin Bartle, The council manages its financial risks through a range of controls including budget preparation, In March 2016, the Government confirmed a Review at November council services, within significantly reduced Interim Director of budget setting and a Budget Accountability Framework which updated the roles and finance settlement commitment to provide Business Delivery Team and funding levels and increased demand pressures, Finance, The Royal responsibilities for managing, monitoring and forecasting income and expenditure against minimum funding allocations for each year Senior Leadership Team at remains a significant risk. This is both an in year Borough of approved budgets. The level of reserves and balances are also regularly reviewed to ensure that of the Spending Review period (2016-17 to LBHF risk and one going forwards over the medium Kensington and account is taken of any financial risk. 2019-20) if a) councils choose to accept the term. As such, a priority within our financial plan Chelsea. offer and b) if they publish an efficiency RBKC is utilising the is to review different funding models for different Regular in-year monitoring, review of future financial plans and assessment of financial risks and plan. The deadline for both is 14 October Automated Sundry Debtor services (referencing zero based budgets Hitesh Jolapara, reserves are undertaken to ensure the financial plans are delivered. 2016. Service. Payment specfically at LBHF), and to focus not just on the Strategic Finance short-term but on service transformation over a Director, London London Borough of Hammersmith and Fulham, Finance Board, Efficiency Plan 2016-17 to 2019- The wider ramifications of the decision to longer time-frame. Borough of 20, Corporate Revenue Monitoring Reports with identified risks reported to Cabinet, leave the European Union are yet to be fully Hammersmith and Overspending Departments Action Plans with responsible Directors identified. realised and felt in the national and local Potential impact on Council Financing due to the Fulham. economy. Whilst there will be some outcome of the referendum to leave the European Royal Borough of Kensington and Chelsea Efficiency Plan 2016-17 TO 2019-20, Budget opportunities there is also uncertainty that Union. Monitoring Overview reports to Cabinet with R.A.G. ratings. may affect areas of the economy, financial markets, interest and exchange rates, construction, grants from the EU, investment and other non-financial aspects. All of this is set in the context of continuing reductions in public funding. * Risk number 2 is a sovereign LBHF risk. Page 1 APPENDIX 2 SHARED SERVICES RISK REGISTER CORPORATE LEVEL Review date 27/01/2017 Residual risk assessment: Residual risk assessment: Reducing the risk RISK Target risk: Quarter 1 16/17 Quarter 2 16/17 Ref Assigned To Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Management comments on measures. Risk cause and context Overall Overall Overall Planned action(s) Date / in place LBHF RBKC WCC OFFICER(S) 3 4 12 0 3 4 12 0 3 3 9 November 2016 Management of the Better Care fund. 3 Management controls Comments Actions Compliance with the Care Act legislation Liz Bruce, NHS England require regular updates against original Better Care Fund submission on benefits A report outlining issues associated with the Review at Business Delivery underpinning the Better Care Fund; Executive Director and performance repported to the Health and Wellbeing Board Better Care Fund is being considered by the Team, London Borough of • the accountability arrangements and flows of of Adult Social Hammersmith and Fulham Finance, Policy Hammersmith and Fulham. funding; Care The Care Act implementation programme was successfully completed. and Accountability Committee in November Continued regular • the reporting and monitoring requirements for 15- Measures to monitor impact of Care Act implementation built into new routine Key Performance 2016. monitoring through 16; Indicator monitoring to Senior Managers and members. This covers expected increases in There is a £2m MTFS efficiency measure performance and joint • arrangements for the operation of the payment demand and new duties and responsibilities under the Act. that has been built into the 2016/17 governance arrangements for performance framework; Demand and benefits model developed and being implemented for Community Independence base budget following discussions with • how progress against plans will be managed and Service as part of Better Care Fund. health over the second year of the Budget Monitoring Quarter 2 what the escalation process will look like; and Routine reporting of impact of new service reported to senior managers and members as part of Better Care Fund. There are several report review at Cabinet, • the role of the Better Care Fund Task Force / regular reporting. efficiency targets attached to delivering Royal Borough of Better Care Support Team going forward. Multi agency Better Care Fund steering group receives progress reports and reports upwards to this £2m saving. At this stage of the year, Kensington and Chelsea the Joint Executive Team and Better Care Fund Board which includes members and senior the Department is projecting the managers from Adult Social Care, Clinical Commissioning Groups etc. delivery of £1.379m of this target, this Shared governance with Imperial around change programme for the Community Independence leaves a shortfall of £621,000 from of Service. Redesign of reablement part of Customer Journey programme. the £2m target efficiency. Risks are regularly monitored by the programme and major risks logged on a risk register. Page 2 APPENDIX 2 SHARED SERVICES RISK REGISTER CORPORATE LEVEL Review date 27/01/2017 Residual risk assessment: Residual risk assessment: Reducing the risk RISK Target risk: Quarter 1 16/17 Quarter 2 16/17 Ref Assigned To Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Management comments on measures. Risk cause and context Overall Overall Overall Planned action(s) Date / in place LBHF RBKC WCC OFFICER(S) 4 4 16 0 4 4 16 0 3 3 9 November 2016 Market testing risks. 4 Management controls Comments Actions 1. Failure to deliver high quality commissioned 1. Nicholas Adult Social Care and Childrens Services Departments have established contract and Restructuring of Adult Social Care and Review at Business Delivery services at the best cost to the taxpayer. Holgate, Town commissioning boards. Children's Services procurement and Team, London Borough of Inadequate forward planning risks Clerk, The Royal A Shared Services Contracts Approval Board had been established but will now only be used for commissioning teams is underway with jobs Hammersmith and Fulham. (commissioning and procurement). Borough of Westminster City Council sovereign procurement decisions. recently advertised. 1. A new approach for Adult 2. Failure to comply with public procurement Kensington and Contract registers are now managed through the CapitalESourcing e-procurement system hosted Hammersmith & Fulham Social Care Procurement regulations, potential legal action, and lack of Chelsea. by Westminster City Council and have recently been audited (but received a nil assurance) Amendments to Contract Standing Orders has been agreed. They will robust Member oversight. Training is being provided on Contract Management across the Shared Services. have been approved by full Council to no longer report through to 3. Not achieving Social Value through 2. Michael Hainge facilitate earlier Cabinet visibility and Westminster City Council procurement. Commercial Hammersmith & Fulham approval of commissioning and Contracts Approval Board 4. Contract performance management. Director Chief Business Delivery Team have corporate oversight on procurement. procurement strategies before competitive thereby reducing Executives In addition to all decision reports going through at H&F they are subject to 2 additional key tendering exercises commence. administration and Department controls: Cabinet Member Briefing Boards, Cabinet (via Cabinet Briefing) The Cabinet Member for Commercial bureaucracy. Further Revised Contract Standing Orders for LBHF took effect on 1 July 2016 for all procurements Revenue and Resident Satisfaction has also reviews will take place on advertised on or after this date. This ensured that Cabinet see forward Commissioning Plans requested regular Cabinet Member improving the procurement and a Procurement Strategy on each procurement monitoring of all departments 3-year process. forward commissioning and procurement The Royal Borough of Kensington & Chelsea. plans. Procurement regulations for the Royal Borough of Kensington and