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 Chelsea. LBHF have appointed a Commercial Procurement Review conducted by the Procurement Scrutiny Working Group, Cabinet and Director who also leads on procurement. Corporate Services Scrutiny Committee. Report from the Working Group issued to Cabinet. Work is currently being undertaken to Councillor Warrick is responsible for procurement policy, including monitoring and oversight of review the Contracts Register. the letting of Council contracts. RBKC. Cabinet have considered a report on Procurement presented to them from the Procurement Working Party.
Page 3 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 -4 4 4 16 0 1 1 1 November 2016 Public Health Budgets 5 Management controls Comments Actions Going forward, if the Shared Services Councils Dr Mike Robinson, For 2016-17 the public health ring-fence remains in place, with any underspends in the year The Director of Public Health is in the Going forward, the Public are to achieve significant improvements in Director of Public being carried forward as a receipt in advance, or any overspends matched with a draw-down process of reviewing the Health team will focus on population health outcomes in the current Health from prior years’ receipts in advance as appropriate. Public Health team’s operating model, Leading cross cutting economic climate, choices need to be made about structure and plans in order to programmes of work to how best to allocate Public Health resources to The Public Health team are continually working to improve Public Health services through ensure the Public Health function can work tackle priority health specific programmes or work/ services. In order to performance monitoring, service improvements and re-tendering. to maximise the impact on outcomes, System support these decisions, the Public Health team is population health within available leadership across the local in the process of developing and testing a 2017 2018 Public Health Priorities and the Public Health Prioritisation Framework. resources. A key milestone is to health system, Prioritising prioritisation framework tool. have an effective staff structure in place in Public Health resources time for the next financial (staff and finance) year. A staff consultation on the proposed Understanding population Public Health re-structure is health trends, Identifying taking place during November 2016. gaps in service provision Using evidence and analysis to re-design services, Contribute Public Health funding to achieve greatest impact on population health, Contribute specific skills in health economics, forecasting, epidemiology (the study of diseases) and statistics and evidence reviews to the commissioning process Evaluating and tracking the impact made by services/
Page 4 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 4 4 16 -4 2 3 6 November 2016 Business resilience. 6 Management controls Comments Actions 1). Limited joined up systems, processes and Dave Page, Bi- 1). Corporate Business Continuity Policies and Strategies have been agreed at former Business GOLD training has been provided to senior Reviewed at November resources in the event of a Royal Borough of borough Director Board at Hammermsith and Fulham and Management Board at the Royal Borough of management in both boroughs, to enhance Business Delivery Team at Kensington and Chelsea and London Borough of for Safer Kensington and Chelsea, and updated accordingly, ensuring commonality for incident the ability to deal with serious incidents, the London Borough of Hammersmith and Fulham Business Continuity Neighbourhoods, management. London Borough of Hammersmith and Fulham use Creditsafe for the assessment plus additional Emergency Planning training Hammersmith and Fulham. internal / external incident. London Borough of of contractor credit and liquidity risks, with The Royal Borough of Kensington and Chelsea, delivered in London Borough of The Royal Borough’s 2) Non-availability of I.T. systems, cyber attacks. Hammersmith and Westminster City Council utilising Creditsafe via CapitalEsourcing. Hammersmith and Fulham. Business Impact Analysis Fulham system is obsolete, plus the Owners of Priority 1 and Priority 2 classified services have been requested to ensure a their There have been a number of events in the London Borough of Tony Redpath, service continuity plans have a strategy in place to cater for the loss of service. last reporting period; Hammersmith and Fulham Director of Strategy MITIE profit warning announcement £100 M Business Impact Analysis is and Local Risks are being identified and managed through the Service Resilience Group at Hammersmith first half reported losses and the impact on non-existent. A formal Services, the Royal and Fulham. their share value; Strategic Review of MITIE review of external software Borough of HomeCare Provision. systems, was been carried Kensington and London Borough of Hammersmith and Fulham Business Continuity Manager is liaising with the Box-It records storage company credit out by Bridge but proved too Chelsea. ICT Transformation Manager warning; costly. Further work is CITAS, managed transition to new providers currently under way to Market Announcement concerning MITIE sent to RBKC and LBHF Officers within Adult Social due to provider ceasing trading. consider development of a Care and LBHF Housing. Managed ICT network transfer to BT, system in-house, and also to successfully managed with the LBHF further consider the funding Given the fragility of the care market we are beginning to make contingency plans for a sudden Service Resilience Group. aspects of an external collapse of a provider – in reality the only viable option would be for the Councils to step in and Notification of RBKC ICT Upgrade on the system. . to manage the service – the Care Act provides step in rights. 26th/27th November where no ICT will be available, being managed by the shared network infrastructure team.
Page 5 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 Information management and digital continuity. 7 Management controls Comments Actions a) Information created, accessed, handled, stored, Veronica Barella, * Shared Services Information Management Board. * Organisational changes to the delivery of * Shared Services protected and destroyed by the service areas and Interim Director of * Shared Services Information Management Strategy Information and Communications Information Management departments across the three partner councils is Information and * Shared Services Information Sharing Register Technology services to the three boroughs work programme to be not managed in compliance with information rights Communications * Shared Services Information Management work programme, including the following occurred in late October/early November progressed to deliver the legislation or local policies, e.g. the Data Technology, workstreams: Governance, Information Asset Management, Learning and Development 2016. The H&F Information and Shared Information Protection Act 1998, Freedom of Information Act London Borough of *Shared Services Information Management Toolkit, e.g. Information Governance Checklist, Communications Technology Service is Management Strategy 2000, Environmental Information Regulations Hammersmith and Information Sharing Protocol template, Information Sharing Agreement template, Confidentiality bedding down as a new sovereign service across the three boroughs. 2004 and the Protection of Freedom Act 2011; Fulham Agreement template and future risk reporting arrangements are * Working group to be b) The service areas and departments do not fully * Shared Services Privacy Impact Assessment process. in the process of being established. established in preparation understand or manage the risks such non- Ben Goward * Shared Services Information Security Policy Framework and Personal Commitment Statement * Regular contract monitoring of H&F for the voluntary Information compliance involves therefore not making Interim Director of * NET Consent software used by all three boroughs to communicate Information Security Policy Information & Communications Technology Commissioner’s Office Audit informed, risk based decisions; Information and Framework to all Information Technology users and capture user acceptance of the Shared contracts identified one supplier with of H&F, scheduled for c) Insufficient staff resources, both corporately Communications Services Personal Commitment Statement. potential liquidity concerns. A meeting has February 2017. and departmentally, to mitigate the above risks; Technology, The * Offsite Records Storage Service Framework Agreement for three boroughs and their partners been held with the supplier and a plan has d) Potential breach of information rights legislation Royal Borough of (currently H&F and WCC only) been put in place to monitor the situation. resulting in a monetary penalty of up to £500,000 Kensington and * Onsite records storage - records management function delivered by the Corporate Information plus costs of the staff/ICT resources to remedy the Chelsea and Governance Team breach and reputational damage to the three Westminster City * Sovereign information management and security risk logs, compliance monitoring, incident partner councils (estimates based on average ICO Council management and reporting protocols fines in last 12 months and cost of H&F ICO * All three boroughs use the same local authority Retention Schedule Undertaking, £100,000 (fine) and £270,000 * Caldicott Guardians for Adult Social Care and Children's Services (staff/ICT resources @ £90,000 per council). * Sovereign Senior Information Risk Owners (SIRO's) * Potential breaches of policy can be treated as a potential disciplinary matter and referred to Human Resources or the Corporate Fraud team for investigation * Head of Information, Strategy & Projects role established in the H&F Information and Communications Technology Service.
Page 6 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 Managing statutory duties. 8 Management controls Comments Actions Non-compliance with laws and regulations. Nigel Pallace, Capital Programme. Internal Audit of Organisational Health and Reviewed at November Breach of a duty of care. Chief Executive, Local Codes of Corporate Governance, constitutions and schemes of delegation. Safety undertaken. Business Delivery Team and Non-compliance with Health and Safety at Work. London Borough of Officers codes of conduct. Internal Audit of LBHF gas safety Senior Leadership Team, Equalities and Human Rights. Hammersmith and Shared Health and Safety Service between the Royal Borough of Kensington and Chelsea and arrangements undertaken. London Borough of Integrated Transport for London Programme Fulham Council. London Borough of Hammersmith and Fulham Council. Corporate Safety Team business plan and Hammersmith and Fulham (Funding Highways Improvements). Nicholas Holgate, Shared Services Incident reporting on-line software. audit programme established. Town Clerk, The Shared Services training software, Workrite. Departmental and statutory Corporate Capital Programme 2016- Royal Borough of Legislative changes are adopted and reflected in amendments to the Councils constitutions and Safety committee established and meeting 2017 to 2018 2019 Kensington and budgets allocated through a unified business and financial planning process. regularly. Chelsea. Amey now manage a number of statutory and regulatory procedural and record management Regular Health and Safety performance Charlie Parker, processes. reports to the Executive Management Chief Executive, Statutory returns to, for example, the Food Standards Agency, Health and Safety Executive. Team. Westminster City Shared Service Building Compliance Board Council. established.
Page 7 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
November LBHF RBKC WCC OFFICER(S) 3 3 9 0 3 3 9 0 3 3 9 2016
Standards and delivery of care. 9 Management controls Comments Actions Breach in the standard of delivery of care, caring Liz Bruce, Safeguarding Adults Executive Board Annual Report to Committees. The Safeguarding Adults Executive Board is LBHF Service Improvements services and care homes. Executive Director Adults Safeguarding Strategy 2016- 2019 operating under Schedule 2 of the Care Act following Ofsted Inspection of Adult Social 2014, and overseeing the statutory duties of of Services for Children in The Care Act 2014 Care Multi-Agency-Safeguarding-Hub (MASH), The purpose of a Multi-Agency conducting Safeguarding Adult Enquiries need of help and protection, Safeguarding Hub (MASH) is to gather information from various professionals in order to make a (Section 42) and Safeguarding Adults children in care and care The legal duties and responsibilities of the Local Clare Chamberlain, brief assessment of a child and/or a family, or an adult, who is at risk of harm, to ensure their Reviews (Section 44). The Board is leavers. Report of the Authority in respect to the protection of children Interim Executive immediate safety and meet their welfare, or care and support needs. required to report on progress on its Director of Family Services. are set out in the Children Act (1989). Director of strategic priorities, and particularly, on the Ofsted’s overall Childrens Services Local Safeguarding Children Board (LSCB) Annual Report The publication of such a report is a work it has carried out reviewing deaths and conclusion was that Child Protection (CP) involves the identification requirement following statutory guidance. serious harm, of people with care and Children’s Services in and multi-agency assessment of the care provided support needs, as a result of abuse and Hammersmith & Fulham are to children and young people who may be at risk Child Protection Report of the Director of Family Services. Royal Borough of Kensington and neglect, and where agencies may have good. of harm from their parents or carers, together with Chelsea. worked better together to prevent harm or the development of a plan to reduce the risk of death. harm to those children by the coordination and Insurance cover in place in the event of a claim for a breach of duty of care. provision of services. Child protection also Legislative changes are adopted and reflected in the Councils constitutions. There have been 22 safeguarding alerts requires the continuous monitoring of the Contract monitoring includes assessment of quality of standards of care. raised related to home effectiveness of this plan, and prompt action to Regular Chartered Institute of Purchasing and Supply meetings brings together commissioners, care provision in RBKC since August 2016; seek legal advice to consider the removal of operational, safeguarding and Care Quality Commission staff to discuss and detect breaches in 11 against MiHomecare children via the application for a court order in quality of care. and another 11 against Mears. those circumstances where the level of risk cannot Budget allocation is made through a unified business and financial planning process. be satisfactorily mitigated.
Page 8 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
November LBHF RBKC WCC OFFICER(S) 3 4 12 0 3 4 12 0 3 3 9 2016
Failure of partnerships and major contracts. 10 Management controls Comments Actions Loss of grant, non-delivery of objectives, service Nigel Pallace, Contract Standing Orders, Regulations and Financial Procedure rules. LBHF undertake periodic checking of Reviewed at November continuity to the client is of primary importance in Chief Executive, Directors are responsible for ensuring a contractor's financial viability. contractors liquidity. Business Delivery Team and these cases. London Borough of Significant Tenderers are to be asked to provide copies of their latest audited accounts or other Credit safe is now embedded in Senior Leadership Team, Hammersmith and evidence of their financial standing. For the Royal Borough these should be forwarded to capitalEsourcing thus enabling the Royal London Borough of Fulham Council. Brookes Bates with an order for the standard report requesting a statement on the tenderer’s risk Borough access to credit checking along Hammersmith and Fulham of financial failure, its financial strength and an assessment of whether the candidate is suitable with WCC. Nicholas Holgate, to be awarded the contract. For Hammersmith and Fulham Council the Corporate Finance Team Town Clerk, The provide this service. LBHF have served notice to terminate the Royal Borough of All reports should be stored on capitalEsourcing. agreement with the Link for the Kensington and Contractor liquidity checking through Creditsafe. management of the TFM contract. Chelsea. The Royal Borough have an Organisations in Difficulties Procedure should a Grant aided organisation encounter financial or other pressures. Charlie Parker, Shared Services Board. Chief Executive, The Link Intelligent Client Function (ICF) manages the AMEY Total Facilities Management Westminster City contract but a London Borough of Hammersmith and Fulham Risk and Compliance Manager has Council. been seconded to review FM functions. Procurement and commissioning is undertaken through CapitalEsourcing software acting as a repository for contract information and providing a workflow for the procurement process. Section 113 agreements under the Local Government Act 1972 for Shared Services have been
Page 9 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
November LBHF RBKC WCC OFFICER(S) 3 4 12 0 3 4 12 0 3 3 9 2016
Increase in complexity of working with partners. 11 Management controls Comments Actions Working with the National Health Services, Nigel Pallace, Information sharing protocols and agreements. At its meeting in March, the King’s Fund In January, a time-limited Clinical Commissioning Groups, Police, General Chief Executive, Members scrutiny of partners risk management is undertaken by the Scrutiny Committees at the Chief Executive Chris Ham facilitated a working group was Practitioners., 3BM and Epic CIC Public Service London Borough of Royal Borough of Kensington and Chelsea and Policy and Accountability Committees at LBHF. discussion with the Health and Wellbeing established made up of mutuals. Hammersmith and Board about place-based systems of officers from the Council and Fulham Council. Kensington and Chelsea Joint Health and Wellbeing Strategy 2016-21 care and the solution they offer to the Clinical Commissioning Nicholas Holgate, London Borough of Hammersmith and Fulham Joint Health and Wellbeing Strategy 2016-21 challenges facing the local health and care Group . Between January Town Clerk, The system. At that meeting the Health and and March, the working Royal Borough of North West London Sustainability and Transformation Plan. Sustainability and transformation Wellbeing Board considered the progress group supported by health Kensington and plans (STPs) were announced in the NHS planning guidance published in December 2015 as a made by Health and Wellbeing Boards to and care commissioners and Chelsea. vehicle to support the delivery of the Five Year Forward View. The NHS and local authorities date nationally, the changing needs of the public health colleagues, Charlie Parker, across North West London have agreed to work together to deliver a better health and care Hammersmith & Fulham population and a undertook a wide-ranging Chief Executive, system. Patient groups and other stakeholders have been involved in developing the plan. The suggested framework and timeline for evidence review exercise to Westminster City North West London Plan describes the shared ambition of partners across health and local refreshing the Joint Health and Wellbeing understand the nature of Council. government to create an integrated health and care system that enables people to live well and Strategy in 2016. The Health and Wellbeing need in the borough and be well. Board approved the framework and timeline identify the health and for a new 5-year strategy. wellbeing priorities.
Page 10 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
November LBHF RBKC WCC 3 4 12 0 3 4 12 0 3 3 9 2016
Decision making and maintaining reputation and service 12 standards. Management controls Comments Actions Corporate Governance of the Council(s); Nigel Pallace Chief The Constitution of the Council(s). A review of this years evidence for the Reviewed at November Executive, London Annual Governance Statement. Annual Governance Statement 2015 2016 Business Delivery Team and - Pre-determination of policies or contract reviews. Borough of Management Assurance Statements. has yet to establish if Services have Senior Leadership Team, - Breach of Officer or Member code of conduct. Hammersmith and Risk Management arrangements in Services. undertaken a business planning process for London Borough of - Breach of Information Security or Governance or Fulham Council Feasibility studies and options appraisals. 2016 2017. This is applicable for the Royal Hammersmith and Fulham Confidentiality leading to Information Steve Mair, City Members induction programme. Borough and for LBHF. Commissioner review. Treasurer, Capacity building of I.T. and Staff. - Ombudsman, Ofsted, External Audit, The Care Westminster City Business planning and performance management and information. Quality Commission reviews and reports. Council Complaints and compliments reviews reported to Committees. - Poor quality data internally or from third parties. Nicholas Holgate, Town Clerk, The Royal Borough of Kensington and Chelsea.
Page 11 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
November LBHF RBKC WCC 4 4 16 0 4 4 16 0 3 3 9 2016
Failure to identify and address internal and external fraud. 13 Management controls Comments Actions Potential exploitation of Managed Services Hitesh Jolapara, The Council’s Anti-Fraud and Corruption Strategy is aligned to the national strategy, Fighting The Shared Services Corporate Anti-Fraud Reviewed at November Agresso systems during implementation and Strategic Finance Fraud and Corruption Locally. Service (CAFS) implements a counter fraud Business Delivery Team and towards business as usual delivery. Director, London Shared Services Corporate Fraud function. and corruption strategy which is supported Senior Leadership Team, Borough of Risk assessment is used to assist in targeting fraud and for workload prioritisation. by a policy framework. London Borough of (Links to risk number 7, perceived threats and Hammersmith and Hammersmith and Fulham vulnerabilities in association with Cyber-crime Fulham. Fraud Resilience Action Plan 2016/2017. Plans and operations are aligned to the The Corporate Anti Fraud activities) Review of Corporate Anti-Fraud Performance at Management Team meetings. strategy and contribute to the overall goal of Service have designed and Steve Mair, City Data Analytics – the service have begun to conduct regular reviews of data using data analytic maintaining resilience to fraud and created an e-learning Employee related Treasurer, tools, including Benford’s Law trend analysis, to identify areas of potential risk. corruption. The service employ a mixture of programme. Once fully Tenancy Westminster City reactive and pro-active techniques to complete, the range of Right to Buy Council Whistleblowing policy, Bribery policy, Officer Codes of Conduct. combat fraud, including subscription to courses will include "identity Benefits (Legacy cases) Procurement teams have attended Counter Fraud training. national initiatives such as the National document checking" and Blue Badge Kevin Bartle, Fraud Initiative and the National Anti Fraud “general fraud awareness”, Parking Interim Director of Internal Audit review 2016-2017 of Corporate Anti-Fraud Network. as well as more focused Contract/Procurement Finance, The Royal courses aimed at specific Borough of The service reports regularly to Audit departments or pay grades - Kensington and Committees on performance against the for example, “anti-bribery Chelsea. counter fraud strategy and the effectiveness and corruption”, “internal of the strategy. controls” and “tenancy fraud”.
Page 12 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
November LBHF RBKC WCC 3 3 9 0 3 3 9 0 1 3 3 2016 Change in management of schools. 14 Management controls Comments Actions Relationship and accountabilities of academies. Ian Heggs, Director AMEY/Link now provide some statutory compliance services for schools. Safeguarding in all schools is the subject of Reviewed at November Managing the potential of Fraud in schools. of Schools, Quality Ofsted inspection is currently taking place covering The Royal Borough, LBHF and WCC. a great deal of attention by the Children’s Business Delivery Team and Managing statutory responsibilities. and Standards Children's Services Capital Programme, Schools General Maintenance Programme. Services Department and overseen by the Senior Leadership Team, Safeguarding responsibilities. Local Safeguarding Board. They in turn are London Borough of inspected by Ofsted. Hammersmith and Fulham
Capital Programme 2016- 2017 to 2018 2019
Page 13 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
Page 14 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
Key to Risk Rating Score 16-25 RED - High risk - immediate Score 11-15 AMBER - Medium risk, review controls. Score 1-10 GREEN- Low risk, monitor and if the risk escalates check controls.
Page 15 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 3 ADULT SOCIAL CARE SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Residual risk assessment: Quarter 3 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Impact Management comments on Risk cause and context Overall Overall Overall Overall Overall measures. Planned action(s) Date / in place
ADULT SOCIAL CARE Leadership Team Risks
LBHF RBKC WCC OFFICER(S) 4 4 16 4 4 16 0 4 4 16 0 4 4 16 0 3 3 9
Reduction in budget and/or increase in demand due to demographic pressures is over and above the planned levels. 1 Management controls Comments
Nationally in the current financial year there is Prakash Daryanani, Further change our service model to put a greater focus on short term, re-abling, interventions to help people regain skills and look after themselves for longer delaying the need for social and Although balanced Finalise forward Departmental Strategy November considered to be a funding gap for adult social Interim health care; through both the Customer Journey programme where we are refining our approach to reablement as part of the integrated Community Independence Service and; budgets were largely and Borough Transformation and 2016 care of £3bn. Through the Medium Term Director of Finance Develop a new Commissioning Strategy which is exploring different mechanisms to resource and commission services in the future using 'care pathways' and different procurement models; achieved in 2015 2016 the Savings Plans (2017-2020) Financial Strategy efficiencies and savings have and Resources Manage resource planning through the Department of Health, Association of Directors of Adult Social Services network and Local Government Association in relation to the Care Act; risk environment increases already made in recent years as the resources Pursue opportunities to develop more integrated and closer working with health colleagues, through initiatives such as the Better Care Fund and Whole Systems Programme. This includes the each year. Specific risks available for social care have significantly use of some health resources to fund some of the additional demand for home care as a result of these programmes. associated with the Care reduced. There is a risk that further savings Careful negotiation and management with corporate teams regarding transformation and savings opportunities for the next medium term (2017-2020); a plan that balances continued ambition Act are reduced following which will be required will make it very difficult to with feasibility will be required and a strategy for managing increasing risks associated with the need to build bold assumptions into budgets. impact assessment meet the needs of the increasing numbers of Continued careful monitoring and recovery work on home care overspend pressures. undertaken for 2015 2016 disabled and older people. As a result of The designated Review Board for this risk is the Adult's Leadership Team and will be reviewed quarterly. and confirmation of demographic changes the Council is already Work is well underway to set out future opportunities, detailed business cases and risks associated with the next medium term and progress is reviewed through the Portfolio Strategy Delivery continued Department of supporting greater numbers of adults with care Group on a monthly basis. Health funding for needs, further an increasing proportion of this [Independence Assurance and Controls through Internal Audit and Financial Management] 2016/17 group have very complex needs who would previously have been supported more by health services. [Strategic Risk]
LBHF RBKC WCC OFFICER(S) 4 4 16 3 4 12 0 3 4 12 0 4 4 16 -4 3 3 9
Complexity of change programmes in Adult Social Care and the 2 National Health Service. Management controls Comments The three core change programmes in Adult Prakash Daryanani, Continued strong governance and portfolio management with a focus on delivery of intended benefits. The mid year review of The designated Review Board for this November Social Services ( Customer Journey, Interim The Customer Journey programme restructure is now close to completion and delivery of required key changes to services is underway. transformation delivery in risk is the Adult's Leadership Team 2016 Commissioning and Whole Systems Integration Director of Finance Commissioning programme has now defined the tactical priorities for delivery in 2016 2017 and is close to completing the definition stage of a three year transformation programme. 2016/17 was reported to and will be reviewed quarterly. Monthly ) are very complex and there are risks arising and Resources Whole systems programme is developing at pace through the Sustainability and Transformation Planning Process. the virtual August SSB Portfolio Review and Portfolio Delivery from inter-dependencies, misalignment of Associated controls for risk 1 relating to the definition and agreement of future transformation and savings. meeting. Steering Group (Portfolio Delivery projects and double counting of benefits. There Steering Group) meetings are also are also risks of slippage due to the need for Increased risk level in held. significant leadership, management capacity [Independence assurance nad controls through Internal Audit and Corporate Change Assurance] Q3 reflects the nature of and additional programme resources to deliver. savings requirements Complete definition and proof of There are also risks of delays in decision and assumptions that concept stages of the next phase of making due to complex bureaucracy. underpin future Transformation work in order to [Strategic Risk] transformation and improve assurance and reduce risk. savings plans.
LBHF RBKC WCC OFFICER(S) 3 5 15 0 0 0 New 2 4 8 -8 3 4 12 -4 2 3 6
Risk to continuity of health funding associated with CCG 3 financial health including overspend. Comments CCG budgets are under increasing pressure Liz Bruce, Executive Early identification and discussion at key meetings including the JET. This risk was added to the Risk to be carefully monitored and November with increasing risks and actual overspends to Director Terms, conditions and notice periods written into S75 agreements. register in Q2 managed through the Joint Executive 2016 deal with. There is a risk that reactive action will Impact assessment work undertaken to show impact on demand and costs for the health and social care system. Team (JET) be taken to reduce funding for jointly funded Discussion and contingency planning through Joint Executive Team and associated joint governance structures with health. services including contributions to section 75 pooled budgets or continuing health care [Independent Assurance and Controls through Internal Audit and Corporate Finance] funding with cost pressures being shunted to ASC
[Strategic Risk] LBHF RBKC WCC OFFICER(S) 4 4 16 3 4 12 4 3 4 12 0 3 4 12 0 3 3 9
Continuing impact of the Care Act on demand and costs are 4 uncertain. Management controls Comments
The Care Act began to be implemented from Martin Calleja, Head Further change our service model to put a greater focus on short term, re-abling, interventions to help people regain skills and look after themselves for longer delaying the need for social and Whilst increased demands The designated Review function is the November April 2015. There was a comprehensive of Transformation health care; through both the Customer Journey programme where we are refining our approach to reablement as part of the integrated Community Independence Service and were met through Portfolio Delivery Steering Group and 2016 programme in place i to ensure that Adult Manage resource planning through the Department of Health, Adult Social Services network and Local Government Association network and Local Government Association in relation to the available grant funding in impact will be reviewed quarterly. Social Care was compliant with the new Care Act. 2015 2016 and this is requirements. Although implementation of Quarterly review of impact and progress in delivering the Care Act consolidation plan for 2016/17 expected in 2016 2017 some parts of the Act (e.g. the ‘care cap’) have there continues to be a been delayed until 2020 by the Government; lack of clarity from National Adult Social Care are left with delivering new Government about the responsibilities such as for self funders, carers continuity of available and the wider health and well being, without funding and national test additional resources. cases could have [Strategic Risk] significant implications on demands.
LBHF RBKC WCC OFFICER(S) 4 4 16 3 3 9 7 3 3 9 0 3 3 9 0 3 3 9
Risk of exposure to judicial challenge resulting from the Care Act reforms and lack of clarity in the regulations and guidance. 5 Management controls Comments
Lack of clarity in the regulations and guidance, Kevin Beale, Lobby the Department of Health through the regional the Association of Directors of Adult Social Services about any concerns or issues resulting from the final publication of the Care Act The risk rating was The designated Review Board for this November potentially impacting on local decisions about Principal Solicitor regulations and guidance in October. reduced following the risk is the Adult's Leadership Team 2016 service users, self-funders and carers. (Social Care and Learn from the Case Law, as it arises nationally post April 2015. Our legal team are working with the London Lawyers Group to monitor specific issues related to the Care Act Guidance. impact assessment of and will be reviewed quarterly. [Operational Risk] Education), Legal - There are some parts of the guidance that are ambiguous and therefore require close contact with the Department of Health if any Judicial Reviews are upheld. 2015 2016. Social Care and Quarterly review of impact and progress in delivering the Care Act consolidation plan for 2016/17 Education [Independence assurance and controls through legal services]
LBHF RBKC WCC OFFICER(S) 4 4 16 3 4 12 4 3 4 12 0 3 4 12 0 1 1 1
Complexity of geographical boundaries for developing integrated services could lead to inconsistent Multi Disciplinary 6 Team service designs in local Clinical Commissioning Groups. Management controls Comments
There is a risk that because the Central London Chris Neal, Whole Ensure positive engagement with Whole Systems Early Adopters design processes by operational Heads of Service. Sustainability and The designated Review Board for this November Clinical Commissioning Group Whole Systems Systems Lead. Adult Social Care Community Independence Service, Hospital Discharge and long term social work teams all part of Customer Journey redesign. Transformation Plan risk is the Adult's Leadership Team 2016 model of geographic 'villages' is not consistent New Whole Systems Adult Social Care Director is fully involved in the Sustainability and Transformation planning process. delivery and governance and will be reviewed quarterly. with the Better Care Fund proposals in West Full participation in the development of the Governance and Delivery Structure for the new 5 year Sustainability and Transformation Plan structure is now being London and Hammersmith and Fulham, there developed which should The risk is also being managed will be a negative impact on the potential to [Independent Assurance and Controls through Internal Audit] set out the approach for through the Joint Executive Team develop single models of service ( e.g. managing down this risk. which provides leadership with health Community Independence Services, Long partners on the continued integration Term Social Work service, Home Care ) across agenda. the Adult Social Care Shares Service. Risk that social care included in three Clinical Commissioning Group Multi Disciplinary Team models will vary; inconsistent involvement and influence of Adult Social Care in design of Multi Disciplinary Teams. [Strategic Risk]
LBHF RBKC WCC OFFICER(S) 3 5 15 3 3 9 3 3 3 9 0 3 3 9 0 1 1 1
Scale of Customer Journey Change including staff reductions and underlying staff performance and productivity issues Management controls 7 represent a major risk to performance in 2016 2017. Comments
Insufficient change in practice means there is a Matthew Castle, Programme management arrangements including focus on top priorities for more efficient working, Information Technology work stream and contingency planning. Risk rating was reduced in The designated Review Board for this November major impact on performance. Customer Journey Internal audit of programme management arrangements in 2015 provided a substantial assurance rating. Audit of controls to assure delivery of the Target Operating Model will take place in Q2 following completion risk is the Customer Journey and 2016 Associated risk that Information and Programme Manager November 2016. of restructure and Performance Board Communications Technology changes are not Controls associated with risk 7 continued work to bed delivered in time to support the practice target. down the target operating model. [Operational Risk] LBHF RBKC WCC OFFICER(S) 4 4 16 4 3 12 4 4 3 12 0 4 3 12 0 3 3 9
Reducing customer and carer satisfaction including self- 8 Management controls Comments reported outcomes. Scale of change around frontline and provider Liz Bruce, Executive Ongoing communications strategy and plan which informs residents of changes in the approach to health and social care services locally. Improvement in Q1 is The designated Review Board for this November services and greater emphasis on time limited Director Closely analysing all customer and carer feedback, including that through complaints and the statutory user and carer surveys and using this to help inform planning and work to improve associated with an risk is the Adult's Leadership Team 2016 interventions and reablement, may lead to satisfaction. improving picture on and will be reviewed quarterly reduced satisfaction of some customers, Redesigning frontline social work services in the Customer Journey project, based on the 'Customer Voice' research which identified what was important to people who use our services. performance across a supported by borough based especially those who have been supported for Exploring more, new opportunities for co-production and design of new services with customers and carers to ensure their needs and ideas are central to our approach. number of Key accountability review meetings. some time. This could lead to poorer outcomes Performance Indicators for customers and reputational risk to the A performance board was established through 2015/16 to support an improved focus on improving key performance measures including satisfaction. Quarterly accountability meetings now and a re-appraisal of Council. take place that will provide continued scrutiny and support. risk ratings in this area. [Strategic Risk]
LBHF RBKC WCC OFFICER(S) 4 4 16 3 3 9 0 3 3 9 0 3 3 9 0 3 3 9
Workforce risks around morale, change fatigue, recruitment and retention and complexity of three borough working. 9 Management controls Comments
THE 2015 Adult Social Care Peer review Martin Calleja, Head Established a Workforce Board which is overseeing a Adult Social Care Workforce Plan. Movement reflects no The designated Review Board for this November highlighted a significant recruitment and of Transformation Exploring alternative ways to reward staff, for example through tailored development programmes. change to overall risk is the Workforce Board and will be 2016 retention risk across London for social care Improved internal staff communications from the senior management team by the use of blogs, team meetings and through the Tri-Angles staff newsletter. satisfaction ratings reviewed quarterly. staff. Locally there is a risk that this is Using the results of the Your Voice survey to address service, team and staff concerns. between 2014 and 2015 exacerbated as terms and conditions are not as Key change programmes have dedicated learning and development plans attached to them i.e. Customer Journey, Commissioning review and home care implementation. Specific recruitment and a mixed position on competitive as some authorities elsewhere. issues have arisen as part of the implementation of the Commissioning review and specific short and medium term measures have been put in place to manage them. change in 2016. Finalise revised Workforce Additionally there is significant change fatigue Annual Your Voice Survey and Action Plan to address priorities. Development Strategy and Delivery across the Adult Social Care Shared Service Plan and the added complexity of working across [Independent Assurance and Controls through Corporate HR Management] three boroughs. The consequences could be increasing recruitment problems and difficulty holding onto the most able staff at a time of service change. [Strategic Risk]
LBHF RBKC WCC OFFICER(S) 4 4 16 3 3 9 7 3 3 9 0 2 3 6 3 3 3 9
Continuing challenges recruiting and retaining high quality commissioning officers - compromising capability and capacity 10 to transform services and monitor contracts. Management controls Comments
The procurement team are responsible for Sherifah Scott, Head A Managing Supplier Performance Framework has been developed which sets out a framework for the amount of contract monitoring resource to be allocated to each contract, thus ensuring Risk is reduced following Regular reviews at the Adults Social November managing 250 contracts. Alongside that they of Commercial that the highest risk/highest value/lowest performing contracts are monitored appropriately. progress made in Care Contracts and Commissioning 2016 are scheduled to carry out a large number of Innovation and Commissioning review will better combine contract management with service development and commissioning enabling a more holistic approach and address capacity issues. recruiting to key posts in Board meetings, every two weeks. procurements. Further there is an increasing Insight Commissioning Plan will look at new models of procurement to reduce the amount of contracts directly required monitoring etc. Q2 and steps taken to level of strategic and transformation work that Delivery of restructure and good progress made in filling vacancies over the last period. assure capacity for now needs to be delivered at pace and scale. Commissioning workforce development plan in place to support development and retention including National Graduate Development Programme. residual level of vacancies. This means there are dual risks that the Steps are now being taken to appoint a strategic partner that can quickly enhance capacity where required to further manage down this risk. transformation work will not be delivered and some high value contracts are not being monitored effectively and some contracts are not being monitored at all. [Strategic Risk]
LBHF RBKC WCC OFFICER(S) 4 4 16 4 3 12 0 4 3 12 0 4 3 12 0 3 3 9
Fragility of the market, including recruitment and retention 11 challenges, puts the availability and quality of services. Management controls Comments
The Adult Social Care market is fragile and Paul Rackham, Head Market Management Strategy as set out in our Market Position Statement that details our future commissioning intensions and direction of travel. This includes our commitment to the national This is a continued risk Regular reviews at the Adults Social November there is a risk that it is not able to develop in the of Commissioning, minimum and the London Living Wage. with significant live issues Care Contracts and Commissioning 2016 ways we will require in the future to meet local Prevention, Pursue new commissioning opportunities including development of long term strategic partners and Direct Payments by choice. being managed in the Board meetings, every two weeks. need; there is significant risk of market failure. Mary Dalton Head of Engaging with providers and undertaking more market warming exercises in particular through forums. areas of home care and This could result in significant unmet need and Commissioning Provider failure and service interruption policy in place. residential care services. higher dependency levels of customers making Complex Needs - it more difficult to achieve savings. In the event Young People [Independent Assurance and Controls through Corporate Procurement] of provider failure the Council will need to form contingency plans in order to meet the needs of vulnerable residents in a timely and safe manner. [Strategic Risk]
LBHF RBKC WCC OFFICER(S) 4 4 16 3 4 12 4 3 4 12 0 3 4 12 0 3 3 9 There is a risk of poor quality service provision in care homes 12 where the Council has spot purchased beds. Management controls Comments
At present there is significant spend with a John Lillistone, Head The placement review function is now situated within the placement and brokerage team and the review process has been redesigned so that Officers also pick up information about the home Regular reviews at the Adults Social November number of residential/nursing care providers of Commercial which is then fed back to the brokerage and review team. Care Contracts and Commissioning 2016 with no block contract in place, only individual Innovation and There are a number of homes identified to be moved onto a block contract based on the number of customers. Board meetings, every two weeks. contracts relating to the care for the customer. Insight The Commissioning Review will create more resources to focus on this area and ensure monitoring work effectively links in with operations. As a result we are not able to impact the quality Placement Board to be re-established to identify and resolve issues as they arise. of the overall home, over and above the work Regular meeting involves the Care Quality Commission and focuses on homes where they are quality and safety concerns. undertaken by operations at the time of placement and on annual review, due to no formal contractual relationship being in place. [Operational Risk]
LBHF RBKC WCC OFFICER(S) 5 4 20 4 3 12 4 4 3 12 0 4 3 12 0 2 2 4 New Home Care Providers do not deliver against key requirements including pace of transition and capability to 13 deliver the reablement and hybrid working aspects of the Management controls Comments specification.
New model of home care has personal support Ben Gladstone, Partnership working between local authority and new providers. . Homecare Board meets on a monthly November planning and re-enabling elements. Senior, Head of Reprofiling delivery time frames to deal with live issues that have emerged, full delivery time will now be 1 year after the original plan. basis. 2016 Contract mobilisation required transition at pace Complex Needs, Support training and development of care workers with Learning and Organisational Development supporting this. with dependencies on recruitment and retention Older People. Recovery plans agreed and monitored where there are significant quality issues that need to be resolved. Outcome based reablement pilot will for providers. be delivered by early 2017 to support These are key to achieving efficiencies and [Independent Assurance and Controls through Corporate Procurement] mainstream delivery by April 2017. improved outcomes.
[Strategic and Operational Risk]
LBHF RBKC WCC OFFICER(S) 5 5 25 4 3 12 4 4 3 12 0 4 3 12 0 1 1 1
Risks arising from the Managed Services Programme 14 implementation. Management controls Comments
Continuing to experience risks arising from a Prakash Daryanani, The Adult Social Care, Public Health finance and commissioning managers have been where necessary arranging for ad-hoc emergency payments to be made to the smaller and more The designated Review Board for this November difficult implementation of the Managed Interim vulnerable providers and suppliers. risk is the Adult's Leadership Team 2016 Services Programme. In addition to some Director of Finance Some legacy systems have been retained ( e.g. Abacus) to minimise the impact on customers and charging. and will be reviewed quarterly. problems around payment to suppliers, there and Resources Working with Human Resources to improve staffing information on Agresso. are also significant issues around the accuracy Continue to lobby Corporate for more training and technical solutions. of staff information which have resulted in some staff getting incorrectly paid and lack of clarity [Independent Assurance and Controls through Corporate IT] about leave arrangements. This situation if not resolved could have a significant impact on end of year accounts and financial controls. [Operational Risk]
LBHF RBKC WCC OFFICER(S) 3 5 15 3 5 15 0 3 5 15 0 3 5 15 0 1 1 1
Dual IT. systems in Mental Health Services / no interoperability/ 15 poor IT. hardware / systems access and IT support for the Management controls Comments specific needs of Mental Health services. Significant challenges with IT. systems within Brian Vallis, Define minimum core mental health dataset for social care system (Frameworki) to support Managed Services Programme, operational and strategic information needs. Senior Leadership Team to review risk November Mental Health partnerships with two different IT. Head of Business in May 2016 following an Internal 2016 systems being used. Difficult to get whole Services Negotiate with West London Mental Health Trust around provision of data and achieving improvements in data quality. review of the risk management process picture, difficult to get accurate management in the department information, impact on practitioners efficiency Support for use of Agresso to ensure providers receive payment. having to use two different systems for accessing and recording information. Wide [Independent Assurance and Controls through Corporate IT] group of stakeholders key group being staff and customers. Particularly difficult re: West London Mental Health Trust.
[Operational Risk] LBHF RBKC WCC OFFICER(S) 4 4 16 3 4 12 4 3 4 12 0 3 4 12 0 1 1 1
Required priority for Mental Health Services will not be secured with the Clinical Commissioning Group leading to a lack of 16 integrated and coherent partnership approach to mental health Management controls Comments commissioning.
A risk that joint commissioning priorities will be Paul Rackham, Head Executive Management oversight of mental health priorities through Whole Systems Review process. Regular reviews at the Adults Social November lost or subjected to the wider National Health of Commissioning, Senior Management ownership of mental health priorities through mental health integrated plan and mental health programme board. Care Contracts and Commissioning 2016 Service agenda. Prevention Clear identification of work areas and clarification about which organisation will lead following transition. Board meetings, every two weeks. This might impact on the Local Authority ability Pauline Mason Adult Social Care Mental Health Commissioner now in place to provide capacity around day services and develop work on shared strategic priorities. to deliver an integrated offer to individuals with Service Development Further liaison with Clinical Commissioning Groups to improve co-ordination. mental health needs resulting in an increased Project Manager. pressure on social care, housing, employment and benefit agencies. [Strategic Risk]
LBHF RBKC WCC OFFICER(S) 4 5 20 3 5 15 0 3 5 15 0 3 5 15 0 1 1 1
Challenges and risks associated with developing Information Technology collaboration tools to support three borough 17 working and partnerships with the National Health Service. Management controls Comments
It is challenging to work across three boroughs Brian Vallis, Head of Actively lobbying corporate Information Technology. Despite good progress in Information Technology Board November despite there being a number of freely available Business Services Piloting system solutions ( e.g. SYSONE ) to support joint operational working with the National Health Service. delivery in 2015 2016 the 2016 pieces of software to share calendars, files and Exploring greater use of mobile technology. risk environment remains information ( for example Huddle, Media Fire, Engaged with North West London Clinical Commissioning Groups in developing North West London data warehouse to provide strategic capability and support development of whole systems high given scale of Doodle ). working and evaluation. ambition for one Adult We are also working very closely with Health Social Care department Partners in delivering the Better Care fund. and Whole Systems There are currently no workable file sharing agendas. applications which we can use to facilitate this work. This will effect staff and customers. Ultimately the inability to keep up with technology will reflect on the services we provide. From both an operational and strategic perspective the use of multi case management systems across the National Health Service and Social Care creates particular risks.
LBHF RBKC WCC OFFICER(S) 5 5 25 2 4 8 0 2 4 8 0 2 4 8 0 1 1 1
Safeguarding risks 18 Management controls Comments
Risk of serious safeguarding incident, death or Helen Banham, Robust safeguarding processes in place in operational and provider services and partner organisations. There is a continuing level The designated Review Board for this November serious injury of vulnerable residents Strategic Lead Regular auditing and Quality Assessment of processes and measuring effectiveness reporting to Safeguarding Adults Board. of risk that requires close risk is the Adult's Leadership Team 2016 Professional Chartered Institute of Purchasing and Suppliers meeting includes Care Quality Commission and regular discussions about quality and safety of providers. and careful management. and will be reviewed quarterly. [Strategic and Operational Risk] Standards and Safeguarding. [Independent Assurance and Controls through Safeguarding Board] Annual review report sets out learning and improvement priorities. LBHF RBKC WCC OFFICER(S) 4 4 16 4 2 8 0 4 2 8 0 4 2 8 0 3 3 9
Deprivation of Liberty Safeguards applications continue to rise 19 and the resources to process them remain fixed. Management controls Comments
As a result of the Care Act in Quarter 1 2014 Helen Banham, Priorities for assessment ( e.g. urgent referrals where the person may be objecting ) are determined using the Department of Health, Association of Directors of Adult Social Services guidelines. Risk review has concluded The designated Review Board for this November 2015 99 applications were received. In Quarter Strategic Lead, this is a live issue and risk is the Adult's Leadership Team 2016 1 2015 2016 there were 264. Professional The risk of legal challenge is low as all authorities are in the same situation. Adult Social Care are making submissions to the Law Commission review of the Deprivation of Liberty Safeguards. A contingencies are in place and will be reviewed quarterly. Standards and system to ensure deaths in the Deprivation of Liberty Safeguards are notified to the Coroners is in place. Community Deprivation of Liberty Safeguards requiring authorisation in the Court of to meet escalating needs. At the end of Quarter 1 2015 2016 151 Safeguarding Protection is being scoped and applications made. applications have been assessed ( 57% applications received ). A risk of legal challenge There is ongoing monitoring and review of required resources. for unauthorised detentions remains. Community Deprivation of Liberty Safeguards [Independent Assurance and Controls through Internal Audit] applications are being scoped and applications to the Court of Protection made. [Operational Risk]
LBHF RBKC WCC OFFICER(S) 4 4 16 2 4 8 0 2 4 8 0 2 4 8 0 1 1 1 Risk to the quality and continuity of provided services as a result of a failure of major third party/partner supplier 20 Management controls Comments relationships to provide facilities management and infrastructure. Risk that provided services do not meet quality Kevin Williamson, Effective monitoring of the contracts at very level. The risk has been Provided Services Board. November standards adversely affecting customer Head of Provided Effective contract Service Level Agreement specifications from the outset, with partners and third parties properly understanding the service need. managed to a low level. 2016 satisfaction and personal outcomes and risking Services Robust plans and partnership arrangements. reputation. All stakeholders working to ensure effective relationships built and maintained ( including internal partners such as Assessment Teams)
[Operational Risk] Key to Risk Rating
Score 16-25 RED - High risk - immediate management action required. Score 11-15 AMBER - Medium risk, review controls. Score 1-10 GREEN- Low risk, monitor and if the risk escalates check controls. ARCHIVED RISKS Incorporated with other risk 7 (new LBHF RBKC WCC OFFICER(S) 4 4 16 4 4 16 0 4 4 16 0 0 0 0 16 3 3 9 RISK CLOSED numbering) 19 Operational services do not achieve the level of change to head Management controls Comments Insufficient change in practice risks the Matthew Castle Staff changes are factored into the Customer Journey programme at all stages with clear staff engagement and expression of what the future will look like. Reviewed as part of the Senior Leadership Team to review risk March efficiency savings not being realised and targets Programme Manager Dedicated Information Technology work stream established in Customer Journey programme. Customer Journey in May 2016 following an Internal 2016 missed. Programme review of the risk management process in the department Associated risk that Information and It is recommended that this risk is now closed with residual aspects managed through risk 15 Communication Technology changes aren't Internal Audit of Change and Target delivered in time to support the practice Operating Model Jan 2017 changes.
Incorporated with other risk 12 (new LBHF RBKC WCC OFFICER(S) 4 4 16 3 4 12 -8 3 4 12 0 0 12 1 1 1 RISK CLOSED numbering) 20 Fundamental change to the way that home care providers Management controls Comments New model of home care has personal support Ben Gladstone, Partnership working between local authority and new providers. Support training and development of care workers Learning & Organisational Development supporting this. Reviewed as part of Home Senior Leadership Team to review risk March planning and re enabling elements. These are Head of Complex Care in May 2016 following an Internal 2016 key to achieving efficiencies and improved Needs Older People It is recommended that this risk is now aligned to risk 16 review of the risk management process outcomes. in the department
Incorporated with other risk 12 (new LBHF RBKC WCC OFFICER(S) 3 4 12 3 4 12 -8 3 4 12 0 0 12 3 3 9 RISK CLOSED numbering) 21 There is a risk that new providers are not able to mobilise Management controls Comments If this risk materialises, then this will slow down Ben Gladstone, Robust implementation plan including built-in contingency plan and risk rating of new providers. Reviewed as part of Home Senior Leadership Team to review risk March transfer of customers on new contract Head of Complex Extension of time frame for delivering the Home Care Programme by 1 year. Care in May 2016 following an Internal 2016 Needs, Older People review of the risk management process It is recommended that this risk is now aligned to risk 16 in the department 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 3 BUSINESS CONTINUITY RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Residual risk assessment: Reducing the risk RISK Inherent risk assessment: Target risk: Quarter 1 Quarter 2
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Risk cause and context Overall Overall Overall Overall measures. Planned action(s) Date / in place
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
LBHF RBKC WCC OFFICER(S) 5 4 20 3 4 12 8 3 4 12 0 2 3 6 Unplanned IT and telecom outages. 1 Management controls Comments A further class of risks relate not to deliberate Ben Goward RBKC - Hard copy contact lists of emergency numbers and documents are available in the LINK team zone and issued to LINK staff Corporate Services Corporate Services October 2016 sabotage or carelessness as such, but to the Interim Chief members. All managers and deputies keep out of hours contact details at home for their team and managers. Capital Programme Capital Programme difficulties of maintaining a complex Information Royal Borough pool laptops are available from the IT helpdesk extension 2000, First Floor Kensington Town Hall. Telecoms are one 2016/2017 - 2016/2017 - technology and communications Officer pipeline connection across main sites to be replaced with a new Agilisys based contract. Additionally the council also has mobile phone 2018/2019. 2018/2019. infrastructure. Services have become hugely Westminster technology through O2. Pembroke Road Additional electrical reliant on computers and technology in order City Council and back up Data Centre power, cooling and to operate, and the loss of internal systems or the Royal LBHF - IT disaster recover plan. Some services have developed local workarounds however local arrangements are less common as a Replacement. Plans uninterrupted power of website functionality can mean customers Borough of result of restrictions with saving information to USB or CDs. Priority 1 and 2 Services Service Continuity Plans emphasise the need for to redevelop the supply protection for do not receive the help they need or vital Kensington and Resilience for IT disruptions. Pembroke Road site Kensington Town Hall revenue is lost. Chelsea, will result in the need and Pembroke Road Alternatively, IT systems failure or damage Veronica Barella to provide an Data Centres. coupled with a lack of disaster recovery Interim Chief alternate site for a Purchase and planning could mean vital data or software is Information Data Centre. implementation of data erased, destroyed or distorted. Officer the storage management Telecommunications – loss of telephones, London Borough Replacement of two software that acts as fax, internet, email, Electronic data of storage area an archive and retrieval interchange etc. Hammersmith networks, one at the system. Information and Fulham, Town Hall and one for and Communications Barry Goodall Disaster Recovery Technology Digital Support Unit situated at Pembroke Customer Services, Manager and Road with newer Infrastructure Russell modern storage area Revisions, Remote Hookway, networks. Access projects. Out of Network and warranty hardware Telecommunicat Shared Services (servers) replacement ions Manager telephony and Mobile programme - One Phone replacements World, the website LBHF RBKC WCC OFFICER(S) 5 4 20 4 4 16 4 4 4 16 0 3 3 9 2 Cyber attack - Denial of Service Management controls Comments The threat of malicious attacks, hacking, Ben Goward, RBKC Double layer perimeter Firewalls. Data backed up on a number of different servers, one at Pembroke Road and one at Kensington Firewalls, encryption Meeting required with October 2016 malware such as worms, trojan horses, Interim Chief Town Hall then transition onto BT servers. RBKC will be moving onto Cloud systems. and data backup Valerie Benmehirize, spyware and adware. Denial of service Information provisions are Information Security attacks by saturating computer systems with Officer HFBP / RBKC Firewall controls. Disabled PC ports and encrypted USB sticks. Users guidance for internet use, and file transfer. Open obvious first steps in Manager at RBKC to a large number of communication requests. Westminster Systems Interconnection (OSI) model in-built integrity, confidentiality and availability controls (CIA) at all levels. reducing cyber risk. discuss Technical This risk is driven by increase in reliance of City Council and However, it is a Controls. technology to be better connected and to the Royal mistake to think that make more use of data. Borough of because we are Item will be discussed Kensington and dealing with at the next LBHF Chelsea, technology risks, the Service Resilience Veronica Barella answer is to simply Group Meeting in Interim Chief fight them with more October Information technology. In fact, Officer the effective prevention is London Borough as much about of processes and Hammersmith education. and Fulham
LBHF RBKC WCC OFFICER(S) 5 4 20 4 3 12 8 4 3 12 0 2 2 4 Data Breach processing 'Information' risks. 3 Management controls Comments Data processing risks – loss of equipment, Ciara Shimidzu, Removable media control - Implementing a solution for controlling the use of removable media devices such as USB sticks, MP3 Players Every services cache Meeting required with October 2016 data, communications, documentation, key Head of and digital cameras. This work supports the UK Government Connect Secure Extranet, network access. of data is constantly Valerie Benmehirize, staff Information, Implementation of NETConsent at LBHF increasing; Information Security Strategy and information on Manager at RBKC to One data breach can be catastrophic. There Projects, products and pricing, discuss Technical have been some major breaches that have London Borough prospects and Controls. cost companies involved dearly (Target, of customers, Sony, Ashley Madison, TalkTalk) and the Hammersmith employees and fines, resulting loss of customer confidence, and Fulham, business partners – and ongoing brand reputational issues can Fatima Zohra there seems to be no haunt organisation for years. The new EU Corporate end to the confidential General Data Protection Regulations will Information information entrusted increase fines, allow class-action lawsuits Manager, to employees that and demand that regulators are informed. Westminster needs to be controlled City Council, and managed. Valerie Managers need to Benmehirize trust IT to deploy the Information security measures Security required, but with Manager The constant IT Royal Borough innovation, even IT is of Kensington sometimes behind the and Chelsea users’ demand for new methods and more innovative applications. One of these is the use of LBHF RBKC WCC OFFICER(S) 5 5 25 3 3 9 16 3 3 9 0 2 2 4 Adverse weather 4 Management controls Comments
Storms, floods, heatwaves, snow and ice. Richard Egan Chelsea Creek flood defence. Emergency Planning and Testing of Plans. Sustainable Drainage Systems (SuDs). Strategic Flood Risk Corporate Services October 2016 (Interim Director National Planning Guidance Assessment, Royal Capital Programme of Corporate Flood and Water Management Act 2010 Borough of 2016/2017 - Property), The Flood and Water Management Act 2010 places significantly greater responsibility on Local Kensington and 2018/2019. Laura Johnson Authorities to manage and lead on local flooding issues. The Act and Regulations together set out the requirements and targets Local Chelsea and London Chelsea Creek flood Director of Authorities need to meet, including: Borough of defence upgrade. Housing, Royal - Taking an active role leading flood risk management Hammersmith and Borough of - Cooperating with other relevant authorities to manage local flood risk. Fulham 2010. Royal Kensington and - Setting a duty to investigate flood incidents and report upon them. borough Strategic Chelsea, Nilavra - Maintaining an ‘Asset Register’ of assets that have a significant influence on local flood risk. Flood Assessment Mukerji Director - Designating ‘features’ that have a significant influence on local flood risk. 2014. London of Housing - Regulating works on ‘ordinary watercourses’. Borough of Services, - Developing and implementing Local Flood Risk Management Strategies (LFRMS). Hammersmith and Maureen - Providing support to the LPA, acting as the statutory consultee on the delivery of SuDS Fulham Strategic McDonald Khan techniques where necessary. Flood Risk Director of National Planning Policy Framework (2012) Assessment Update Corporate The National Planning Policy Framework was issued in March 2012 and outlines the national policy including on development and flood risk 2016. Property assessment. This replaced with immediate effect national policy including Planning Policy Statement 25 – Development and Flood Risk. Assessment includes: Services, The NPPF requires Local Plans to be supported by a Strategic Flood Risk Assessment and develop Sewer and Surface London Borough policies to manage flood risk from all sources. Advice should be sought from the Environment Agency and other relevant flood risk Water Flood Risk of management bodies. Groundwater Flood Hammersmith Public Heath Joint action on Heatwave and Cold Weather Planning. Risk and Fulham Tidal Flood Risk Future Planning and Development Control, Flood Zone Maps, Breach Modelling, LBHF RBKC WCC OFFICER(S) 5 4 20 3 3 9 11 3 3 9 0 2 2 4 Interruption to utility supply. 5 Management controls Comments Power – internal loss of power, external loss Richard Egan Key Suppliers - Facilities Management, Amey, LINK. Sub regional outages LBHF are setting up October 2016 of power, air-conditioning loss, lighting; Director of Link Business Continuity Plan. All LINK staff have been issued with Blackberry mobile phones, laptops and a nominated Council Officer will would necessitate a their own client Water supply – internal and external – leaks, Corporate take the role of 'incident controller' and out of hours Amey will take the role in the event of an emergency evacuation on a premises. First alternate strategy. monitoring service, a water supply loss, etc. Property, Royal point of contact is the Amey helpdesk 0800 1 444 000. Options include working from home, with agreement of management. transition plan is in Gas Borough of place and a Risk and Fuel stocks or supplies Kensington and Emergency water supply contractor on standby and portaloos available to ensure buildings can be kept open Compliance Manager Chelsea Town Halls have back up generators that are connected to Emergency Control Rooms. CCTV Control Room, Smart Spaces, Committee has been seconded to Rooms (with standby network points). Capacity utilised for remote working and low priority services to be evicted from accommodation to the post. Maureen make space for critical functions. McDonald Khan, Link provide a client Director for monitoring function Building and that includes the Property performance review of Management the Facilities Management Contract.
LBHF RBKC WCC OFFICER(S) 5 5 25 3 4 12 13 3 4 12 0 1 1 1 Loss of Information stored locally (Fire, explosion, toxic 6 spills – both internal and nearby. ) Management controls Comments
Various Critical and Key services hold local Richard Egan Insurance cover ( Additional Cost of Working ) Buildings, IT, Fire Protection, Plant and Equipment inspections undertaken by Contractors RBKC currently have A business case for October 2016 hard copy information. Risk afforded to this Director of through the insurance ( Engineering and Inspection ) contracts. Remedial Work Programme. records stored in the RBKC off site storage information is from fire. flood and theft. Corporate basement at of information replacing Impact would be total loss of information if Property Minimum processes in place to back up hard copy information to electronic media. Archiving of hard copy information should be done on a Kensington Town Hall Pembroke Road is not backed up in any manner, and impact to Ben Goward regular basis. HFBP / ISD encryption and disabling of PC ports limits risks of holding silo information and having an impact on shared and Pembroke Road being proposed. the service provided Interim Chief users. Offices, there are LBHFcurrently use the Information some records stored off-site storage A range of IT scenarios could result in the Officer IT disaster recover plan. Some services have developed local workarounds however local arrangements are less common as a result of in Hammersmith facilities of Box-it. loss of access to IT for a short term period. If Westminster restrictions with saving information to USB or CDs. Priority 1 and 2 Services Service Continuity Plans emphasise the need for Resilience Town Hall. Amey this were to happen services that rely on IT City Council and for IT disruptions. provide the facilities based information would not be able to the Royal management operate or would be severely affected unless Borough of maintenance and they had developed a local contingency. Kensington and upkeep of the Although IT information is backed up services Chelsea, facilities however would need to utilise local workarounds until Veronica Barella RBKC storage is at IT can provide backed up information in a Interim Chief capacity and the useable form. Information indexing is on an Officer, Access database a Maureen system no longer McDonald Khan, supported by I.T. Director for Building and Property Management, The London Borough of Hammersmith LBHF RBKC WCC OFFICER(S) 5 5 25 3 3 9 16 3 3 9 0 2 2 4 Failure of Plant and/or Equipment or Electrical Mains Management controls 7 Services Installations including lifts. Comments Delays to engineering works, failure of boilers Richard Egan Corporate Services Capital Programme 2016/2017 - 2018/2019. The replacement of Corporate Services October 2016 and/or central heating plant or electrical Director of Kensington Town Hall Engineering Works, to ensure that plant and equipment for Kensington Town Hall is suitable and sufficient for the old air handling units Capital Programme installations. Corporate beneficial use of the buildings including enabling works for other schemes. with a new energy 2016/2017 - Property, Royal efficient and more 2018/2019. Borough of Hammersmith Town Hall refurbishments environmentally Kensington Town Hall Kensington and friendly air handing Works - Air Handling Chelsea units which will be Units, Boilers and more reliable. Central Heating Plant, Maureen The replacement of Busbars Installation McDonald Khan, old boilers and central and Chillers. Director for heating with new, Building and energy efficient and There are 12 lifts within Property more environmentally the Kensington Town Management, friendly boilers and Hall complex, the London Borough central heating plant majority were of which will be more refurbished during Hammersmith reliable. 2001 - 2003. A major and Fulham The replacement of refurbishment is now old aluminium mains underway. cables with a new system of busbars to provide a new electrical mains service infrastructure, incorporating the use of power perfectors. The replacement of LBHF RBKC WCC OFFICER(S) 5 5 25 2 3 6 19 4 3 12 -6 2 2 4 Health & Safety incident 8 Management controls Comments
HSE investigation denying access to the Nick Austin, Bi- Bi-borough Corporate Safety Team, Policies and Control of Contractors on-site. The Shared Service Building Compliance Board was 145 King Street, Kept under review at Bi- October 2016 property, or property evacuation sanctioned borough established to review Shared Services partners policy, procedures, processes and governance in relation to building compliance and make Hammersmith. Borough Safety by Duty Officer. Director for appropriate recommendations to help drive continual improvement in building health and safety compliance. Amey, the Shared Services powdery substance Committee meetings Environmental Facilities Management [FM] contractor, undertook to carry out compliance visits to all community schools across the three councils during used by contractor led Health 2015. The visits assessed the compliance levels against a property related compliance audit programme devised by RBKC’s Bi-Borough to temporary Health and Safety Manager and Westminster Council’s Health and Safety Manager. evacuation of the building. Housing and Adult Social Care Staff re-located and investigated concluded the substance as non- hazardous.
LBHF RBKC WCC OFFICER(S) 5 5 25 4 3 12 13 4 4 16 -4 1 1 1 Act of terrorism 9 Management controls Comments
Individual act, Organised act, impact on staff, Management Gated receptions, barriers, Amey and reception staff training, identification badges, maintenance of key physical security systems, Incident noted outside Tannoy message for October 2016 residents, businesses. Board, Presentation to Safety Committee on organisation response to terrorism alerts. Hammersmith alerting staff of a Hammersmith Insurance cover, £10 million indemnity with £250,000 excess. Zurich Select Policy covers Fire, Lightning, Aircraft, Explosion, Earthquake, Broadway, controlled potential terrorist and Fulham Storm, Flood, Malicious Damage including riot or Civil Commotion, Impact and Terrorism. explosion of a incident. Senior The Council also has a general Contingencies Management Plan and a Office Hubs disruption Management Plan. suspicious package at Leadership the Tube Station. Team Greenwich Tube Station suspicious device identified and controlled explosion undertaken. Joint Terrorism Analysis intelligence.
LBHF RBKC WCC OFFICER(S) 5 5 25 2 3 6 19 2 3 6 0 2 2 4 New laws or regulations 10 Management controls Comments
Better Care Fund and Safeguarding laws and Tasnim Adult Social Care and Childrens Services Departments provided Policy briefs via the Intranet. October 2016 regulations, working with partners such as Shawkat, Review and updates of the Council's Constitutions. the NHS. Service provision may become ot Director of Law be taken away from the Council depending on the views and laws of the presiding government. For example a decision for an exit from the European Union may affect a number of outsourced services. LBHF RBKC WCC OFFICER(S) 5 5 25 3 4 12 13 4 4 16 -4 2 2 4 Failure of a contractor, sub-contractor or large financial Management controls 11 institution Comments Supply chain - failure due to performance, Andrew Lee, RBKC The Council, through the CapitalESourcing system, utilises the Credit Safe system which risk assesses suppliers credit-worthiness. The Royal Borough of Clarification has been October 2016 liquidity of contractor or other reason. Head of For the major contracts such as the Managed Services System the performance of the service is managed by an Intelligent Client Kensington and sought from the Strategic Function. For the facilities management contract the contractor performance is managed by the Link. The Council's Contract Regulations Chelsea and London commissioning Procurement stipulate that it is the Directors responsibility to ensuring a contractors viability. Furthermore the regulations ask that significant tenderers Borough of department. It has also are to be asked to provide copies of their latest audited accounts or other evidence of their financial standing. For the Royal Borough these Hammersmith and been reported that a Michael Hainge, should be forwarded to Brookes Bates with an order for the standard report requesting a statement on the tenderer’s risk of financial failure, Fulham used CITAS service provider in the Commercial its financial strength and an assessment of whether the candidate is suitable to be awarded the contract. for some translation Information Director and interpretation Management market LBHF, financial liquidity checks are undertaken on a monthly basis. Alerts are sent out to service departments on high risk contractors. services. They served has also been Failure of financial institution due to Services are to respond if necessary by engaging with their Contractor then escalating the issue to the service management team ultimately notice that they were negatively assessed by performance in the financial markets ( Director of making a decision to activate their service continuity plan and/or call a Service Resilience Group meeting. due to cease trading. two Credit Rating Treasury Investments and Pensions ) Treasury and Mitigations were put Agencies necessitating Pensions Treasury Management Protocols, Pensions risk register, Quarterly Reports to Audit ( Pensions) (Sub) Committee into place by the a meeting with the Service Resilience Managing Director Failure of Care Provider, Care Home Liz Bruce, Continuity Plans, Contracts and Commissioning Boards. Group for both Executive councils. It has been Director Adults reported that a home Social Care care provider's credit rating has fallen to a level requiring further investigation. .
LBHF RBKC WCC 5 5 25 3 3 9 16 4 4 16 -7 1 1 1 Staff or contractor availability or disruption due to strike or threat of, illness (flu pandemic), impacting on 12 attendance for whatever reason, loss of skilled and Management controls Comments experienced staff
Staff related risks – staff expertise, Debbie Morris, Key suppliers, Vendor neutral agency provider (agency staff) Comensura, Margaret Burns, Fraud Management Policies, Human Resources Ongoing monitoring October 2016 disgruntled staff, internal fraud, etc. leading Bi-borough Policies, Performance Management, Occupational Health Service. of Flu by World to a potential impairment of service delivery to Director for Health Organisation the local taxpayer. Human Specific Flu Plans - Corporate and Adult Social Care. Both Borough Emergency Control Centres (BECC) would be activated should staff and Department of Resources absences for any staff scenario rise to an unacceptable level. The H&F staff re-allocation scheme would also be activated, RBKC would Health. No further Potential effect on staff recruitment and follow the concept of prioritising services and re-location staff as necessary. H&F / RBKC Business Corporate and individual Service council actions retention due to Brexit vote Continuity Plans cater for staff absence scenarios, and would be invoked. H&F / RBKC RAS license's would be invoked. required unless pandemic alert issued. RBKC and h&f Flu Plans updated June 2016.
The Local Government Association has been working closely with National Government on the implications of Brexit.
LBHF RBKC WCC 5 5 25 4 4 16 9 4 4 16 0 1 1 1 Building Closures 13 Management controls Comments
The building closure programme is having a Maureen Local first point of contact Service Continuity Plans were exercised in 2011. Gaps were identified for the first point of contact activities, Discussed at June 16 Seek 145 King Street October 2016 severe impact on the council's ability to McDonald Khan, background activities could use Smart areas / Lynx. Using RBKC locations is not a viable option due to H&F Advice resident profiles, and Service Resilience as a viable option for a provide alternative sites for a denial of access Director for the complexity of the work in the service provided. Group Meeting. re-location site whilst a / devastation of a main service premise. The Building and Office Hubs Disruption protocol links with the Incident response plan. decision of the future risk for a large first point of contact service Property of point of contact (H&F Advice) to re-locate to an alternative Management services is made. site and continue to deliver the service is London Borough severely restricted. of Hammersmith and Fulham, Richard Egan (Interim Director of Corporate Property), Royal Borough of Kensington and Chelsea
LBHF RBKC WCC 5 5 25 4 4 16 9 3 4 12 4 1 1 1 Delivery of the Business Continuity Programme and 14 Shared Services Back Office Functions Management controls Comments
Business Continuity Programme of work. David Page, Bi- H&F Service Resilience Group / RBKC Policy and Performance Unit Contingency Planning Service act as the governing boards. Environmental RBKC and h&f October 2016 There is a risk that due to organisational borough Both Councils have independent sovereign policies recently approved by Management. Services / Policy and Business Continuity change / service delivery drivers, the Director for Performance Unit to Managers / Officers programme will be watered down leading to Safer 3 boroughs operate their normal Business Continuity processes for dealing with incidents. RBKC and h&f have a similar process using agree appropriate have adopted a various operational compromises - a 50% Neighbourhoods Senior Management to dynamically deal with a serious incident along with supporting staff and documentation. level of resilience common approach, FTE resource is split across H&F / RBKC required within each WCC is different. that seriously hinders a full and effective Tony Redpath, Council considering Relevant Directors may capability of meeting the principles in Director of the restraints of the need to agree a full and ISO22301. This lean approach has resulted Strategy and resources and comprehensive Shared in a recent RBKC BC audit, RBKC IT audit Local Services, appetite of services Services approach. and H&F Supplier Chain audit all with a RBKC departments for Limited Assurance rating. service continuity.
LBHF RBKC WCC 5 5 25 4 3 12 13 4 3 12 0 1 1 1 Transport disruption 15 Management controls Comments Road Works, Sewer Collapses, Water Mains Mahmood Services activate continuity plans and prioritise activities. Service Resilience Group LBHF / Corporate Management Board RBKC prioritise October 2016 Bursts, Adverse weather, security situation or Siddiqi, services. H&F / RBKC Remote Access ( Home Log in ) can be increased upto 1000 / 600 concurrent remote uses. industrial action severely disrupts transport Bi-borough Joint planning with Transport for London, Stock piling of road salt and the TMO Estates. network and reduces staff attendance to work Director of Winter Maintenance Schedule prioritise by area all CITA road salting undertaken in collaboration with Highways and Waste Management by up to a 50% for up to a week. Transport and Services. Highways.
Debbie Morris, Bi-borough Director for Human Resources
Key to Risk Rating Score 16-25 RED - High risk - immediate management action required. Score 11-15 AMBER - Medium risk, review controls. Score 1-10 GREEN- Low risk, monitor and if the risk escalates check controls. 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 3 CHILDREN SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Risk cause and context Overall Overall Overall Overall measures. Planned action(s) Date / in place
CHILDRENS SERVICES
LBHF RBKC WCC 3 5 15 3 4 12 0 3 4 12 0 3 3 9 Comments
If serious harm comes to a child or young person to whom we have a duty of care for, then the Council and/ or partner agencies ChS reference Business as Usual 1 Management controls Reputation Risk could be seen to be at fault. 4,6,22,23,30
Potential injury to a client. Clare Chamberlain, Family Services Directors manage the risk within their departments and ensure controls are in place so that no serious harm comes to a child or Keep risk under review November Reputational harm. Interim Executive young person. 2016 Director, Childrens Employees have enhanced Disclosure Barring Service checks. Services, Director of Ongoing Safety, Reliability and Quality Assurance and Local Safeguarding Childrens Board activities to ensure quality assurance. Family Services for Review lessons learnt from cases and ensure appropriate local safeguarding training is given to staff. Royal Borough of Co-ordinated responses in an event of an incident ( inc. with corporate teams such as media and comms) eg. managing media and public exposure Kensington and Chelsea, Steve Miley Director of Family Services for London Borough of Hammersmith & Fulham Angela Flahive Head of Combined Safeguarding, Review and Quality Assurance Service
Page 1 APPENDIX 3 CHILDREN SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Risk cause and context Overall Overall Overall Overall measures. Planned action(s) Date / in place
LBHF RBKC WCC 3 5 15 3 4 12 0 3 4 12 0 3 3 9 Comments
If Looked after Children numbers start to rise, due to increase in 2 Unaccompanied Asylum Seekers (UASC) Management controls Financial, Budget Risk ChS reference Business as Usual 9
There will be an increasing demand for Clare Chamberlain, The Assistant Director of Shared Services Looked After Children/ Care Leavers will drive forward work within the Shared Service. Keep risk under review November placements. In addition, even without a rise in Interim Executive Review of current Unaccompanied Asylum Seekers costs for all three councils including breakdown of how these costs are made up (care, care 2016 overall numbers, ongoing or even increased Director, Childrens leavers etc) demand for high cost placements, particularly Services, Director of A Looked after Children tracker and financial placements models in place to monitor numbers, need and cost. for adolescents, will put pressure on Family Services for Looked after Children numbers are monitored against national trend. placements budget. Royal Borough of Financial overspend Kensington and Chelsea, Steve Miley Director of Family Services for London Borough of Hammersmith & Fulham
LBHF RBKC WCC 3 5 15 3 4 12 0 3 4 12 0 3 3 9 Comments
If staff morale is low, then this may impact on service delivery ChS reference Business as Usual 3 and people leaving. Management controls People Risk 1,2,3
Failure to meet the needs and expectations of Clare Chamberlain, There is no single corporate solution however, there are opportunities to look at this at individual directorate/ service level. Specific areas: 1. If pay, Keep risk under review November our customers and politicians Interim Executive On-going staff engagement and consultation should take place and suitable handover and knowledge sharing opportunities should take place terms and conditions are 2016 Failure to meet the needs of the service- Staff Director, Childrens before exit. not comparable for staff may leave Services and Senior Workforce Strategy in place. from different boroughs Leadership team. completing equivalent roles, then this may have negative impact 2. If workforce anxiety about on-going changes to services, people may leave 3. If workforce is reduced, then this reduces capacity/ capability to deliver change.
Page 2 APPENDIX 3 CHILDREN SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Risk cause and context Overall Overall Overall Overall measures. Planned action(s) Date / in place
LBHF RBKC WCC 3 5 15 3 4 12 0 3 4 12 0 3 3 9 Comments
Failure to align public health priorities to support improved 4 outcomes for children and their families Management controls RISK CLOSED
We may not be able to exploit the benefits of Rachel Wright- Ensure regular engagement takes place between colleagues in health services and colleagues across the department. March public health investment which may impact on Turner 2016 delivering services. Shared Services Director of Failure to meet the needs and expectations of Commissioning our customers and politicians (Children’s Services)
LBHF RBKC WCC 4 4 16 3 4 12 0 3 4 12 0 3 3 9 Comments
The changing relationship with schools; we need to ensure 5 effective financial standards and processes are in place in all Management controls Financial, Budget Risk ChS reference Business as Usual 21 schools.
Failure to meet the needs of the school, Dave McNamara Review and develop the Scheme for Financing Schools across the tri borough to incorporate the funding, procurement and legislative changes. Keep risk under review November Reputational harm Shared Services Review the findings of Audit reports to develop and target training at areas of concern and weaknesses in the operation of financial processes 2016 Director of Finance within schools. and Resources
LBHF RBKC WCC 4 4 16 3 4 12 0 3 4 12 0 3 3 9 Comments
Commissioning and Procurement approach 6 Management controls RISK CLOSED If we do not carry out processes properly Rachel Wright- Ensure that we understand the complexity and timescales of the procurement process and that sufficient time is planned in to undertake the Reviewed by the Senior Leadership March (including ensure 'sovereignty' implications) Turner procurement process with robust governance. Team 03 March 2016. 2016 then there is a risk of challenge. Business as Tri-borough Director Where required, inclusion of appropriate 'Sovereign' legal advice. Usual but also in projects across the Children's of Commissioning Appropriate level of customer engagement. Department. (Childrens Services) Reputational harm Financial
Page 3 APPENDIX 3 CHILDREN SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Risk cause and context Overall Overall Overall Overall measures. Planned action(s) Date / in place
LBHF RBKC WCC 5 5 25 3 4 12 0 3 4 12 0 3 3 9 Comments
If current improvements in the delivery of Passenger Transport Contracts, Travel Care and Support are not sustained, then this 7 will impact on service users. Management controls RISK CLOSED
Service failure – Children not transported safely Rachel Wright- Clear performance monitoring and contract management in place. Reviewed by the Senior Leadership March Failure to meet the needs and expectations of Turner Robust remedial action taken when required. Team 03 March 2016. 2016 our customers and politicians. Tri-borough Director Clear governance arrangements in place. Savings not realised of Commissioning Report by exception to Senior Leadership Team and other governance boards when required. (Childrens Services) Specific risk log to be implemented. Specific implementation of service development and improvement plan.
LBHF RBKC WCC 5 4 20 4 4 16 0 4 4 16 0 3 3 9 Comments
If Managed Services/Agresso is unable to provide Human Resources and Finance services (e.g. Starters and Leavers, 8 payment to suppliers, etc) then the ability for the department to Management controls Reputation Risk ChS reference Business as Usual 36 deliver an effective service will be reduced.
Failure to deliver service as Clare Chamberlain, Human Resource / Finance issues reported to BT. Keep risk under review November suppliers/customers not paid Interim Executive Escalation process in place for issues reported to BT and not resolved. 2016 Failure to deliver a statutory service Director and Senior Escalate Human Resource issues to Stephen Wood. Reputational harm Leadership team. Escalate Finance issues to Alex Pygram and Caroline Baxter. Work to ensure organisation structure accurate underway with delivery expected by end of August (Retained Finance and Human Resources joint working to deliver) A Service Impact Risk Assessment carried out.
Page 4 APPENDIX 3 CHILDREN SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Risk cause and context Overall Overall Overall Overall measures. Planned action(s) Date / in place
LBHF RBKC WCC 4 4 16 3 4 12 0 3 4 12 0 3 3 9 Comments
The delivery of further Financial Savings may distract from core Economic, Financial ChS reference Business as Usual 9 business activities, with the risk of service failure. Management controls Risk 37,43
Failure to meet the needs and expectations of Clare Chamberlain, Use of financial planning process to identify risks associated with any savings proposals and to ensure that they are achievable Keep risk under review November our customers and politicians Interim Executive Ensure full Impact Assessment of any savings proposals. 2016 Failure to deliver a statutory service Director and Senior Effective planning for the delivery of savings. Leadership team. and Senior Leadership team.
LBHF RBKC WCC 5 4 20 3 4 12 0 3 4 12 0 3 3 9 Comments
The Director of Children's Services has announced his 10 retirement. Management controls RISK CLOSED
Loss of strategic knowledge and relationships Andrew Christie, The three Councils have confirmed arrangements. New risk Reviewed by the Senior Leadership March Reputational Harm Executive Director The post was advertised in January 2016. Team 03 March 2016. 2016 Childrens Services A recruitment process is underway. and Senior Interregnum arrangements will be put in place for the departure of Andrew Christie and before the start date of the new Director of Children's Leadership team. Services.
LBHF RBKC WCC 4 4 16 3 4 12 0 4 4 16 -4 3 3 9 Comments
Commissioning capacity pressures 11 Management controls RISK CLOSED
Recruitment timescales expected to require six Rachel Wright- Recrutiment has gone well. Customer and Client risk Keep risk under review August to nine months to reach service establishment, Turner Significant change and transformational programme requires additional capacity. Options being exlained and discussed with Chief Executives and 2016 vacant posts in key commissioning roles; Shared Services Town Clerk at RBKC. funding variations between boroughs resulting Director of in variable capacity and demand pressures Commissioning arising from additional transformation projects (Childrens Services) and programmes.
Page 5 APPENDIX 3 CHILDREN SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Risk cause and context Overall Overall Overall Overall measures. Planned action(s) Date / in place
LBHF RBKC WCC 4 4 16 4 3 12 4 3 3 9 Comments
Customer Complaints Management controls RISK CLOSED
The service is under pressure to consistently Rachel Wright- Review of the operating model used to be conducted the scope of which will include; Customer and Client risk Keep risk under review August monitor and meet the deadlines associated Turner The capability and capcity of the service to meet increased demand, including the effcient use of resources; 2016 with the different statutory processes that it Shared Services routes by which work is delivred in to the service; covers. Risks include a significant increase in Director of management information and performance monitoring systems the volumen of cases; challenges around the Commissioning Focus on clearing the existing backlog of cases to allow for shift uptake of new cases conflicting delman of handling several functions (Childrens Services) Ensure system is in place to cover colleagues when sickness and leave occurs across differeng case management systems for Work to recruit to posts on a permanent basis rather than interim. three authorities; inaccurate data around open
LBHF RBKC WCC 5 4 20 4 4 16 4 4 4 16 0 3 3 9 Comments
Delays in the delivery of the Childrens and Family Act Change Customer and Client Management controls ChS reference Business as Usual 45 Programme Risk Plan Delivery, A key risk currently facing the Ian Heggs, Director Delivery - There are a number of actions to support the building of capacity in the service to avoid service failure. These Include: Keep risk under review November Special Education Needs Service is to ensure of Schools, Quality Reorganisation of the Special Education Needs Service 2016 we deliver our statutory responsibility around and Standards A business case for additional Special Education Needs Transfer Review Keyworkers was approved with the new team in place for October 2016. Education and Health Care Plans as Stipulated There is regular oversight of service performance by the Director of Education in the Chidlrens and Families Act. Inspection Preparation for Local Area Inspection progresses through the Quality Assurance Board which is focussing on all areas of the Local Area Inspection. The Authority may be programme and extending the stakeholder interest. notified of an Ofsted, Care Quality The Ofsted framework is now published and a new project manager is in place to drive self evaluation forward. Commission, Local Area Inspection of the SEND services (0-25) on a weekly basis, (excluding school holidays.)
LBHF RBKC WCC 4 4 16 3 4 12 4 3 3 9 Comments
Data Breach Management controls Reputation Risk ChS reference Business as Usual 59
If breaches are not being handled efficiently Dave McNamara, The councils corporate process for breach reporting and investigation along with the three borough's Childrens Services, Adult Social Care and Reputational harm Keep risk under review November and the right persons are not being made Director of Finance Public Health Board ( Partnerweb ) Penalty sanction of £500k 2016 aware then we fail in our duty of care to keep and Resources Breach and risk logs are in place Severe distress to the information of the Families we work with Breach awareness training is to take place amongst key teams within the Service Families for secure. NHS toolkit level 3 compliance consequences resulting Privacy impact assessments in place to manage information change from data breaches Further extension of Breach Awareness tranining is being planned Financial contributions Development and resourcing of an Information Governance Training Strategy towards re-location or security to mitigate against breaches
Page 6 APPENDIX 3 CHILDREN SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Risk cause and context Overall Overall Overall Overall measures. Planned action(s) Date / in place
LBHF RBKC WCC 3 4 12 3 4 12 0 3 4 12 0 3 3 9 Comments
If Academy conversions processes are not completed on time Economic, Financial 14 then this will be a negative impact on each authority. Management controls Risk
Failure to deliver improvements and/or Ian Heggs, Director Monitoring report to each Local Authority's Schools Capital Programme Board to highlight risks as necessary. Keep risk under review November changes on time. of Schools, Quality 2016 and Standards
Page 7 APPENDIX 3 CHILDREN SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Risk cause and context Overall Overall Overall Overall measures. Planned action(s) Date / in place
CHILDRENS SERVICES PROJECTS
LBHF RBKC WCC 5 4 20 3 4 12 0 3 4 12 0 3 3 9 Comments
Negative impact on each authority if the changes required from 12 the new Children and Families Act are not adequately delivered. Management controls RISK CLOSED
Recruitment timescales expected to require six Ian Heggs, Director Children's and Families Act Executive Board and programme governance in place. Board actively manages high level risks. Reviewed by the Senior Leadership March to nine months to reach service establishment, of Schools, Quality Multi- Agency resource allocation panel in place to support and moderate decision making/give oversight to high cost placements and joint Team 03 March 2016. 2016 vacant posts in key commissioning roles; and Standards commissioning. Working with parents via the Parents Reference Group. funding variations between boroughs resulting Full communications and workforce development plan being rolled out across agencies. Key risk remains the capacity to deliver assessments to in variable capacity and demand pressures the 20 week timescale. arising from additional transformation projects and programmes.
LBHF RBKC WCC 4 4 16 3 4 12 0 3 4 12 0 3 3 9 Comments
If the delivery of a single Information and Community Services Solution is not feasible or is significantly delayed then this will 13 have a significant impact on several projects and services. Management controls RISK CLOSED
Failure to meet the needs of the service Rachel Wright- The Senior Leadership Team have agreed to a requirements capture approach, target for sign off in early 2016. Reviewed by the Senior Leadership March Failure to deliver projects on time Turner A representative from Corporate Information and Communications Technology attend Strategy Board. Team 03 March 2016. 2016 No savings realised Tri-borough Director The project is monitored through Portfolio Board on a monthly basis. of Commissioning (Childrens Services)
Page 8 APPENDIX 3 CHILDREN SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Risk cause and context Overall Overall Overall Overall measures. Planned action(s) Date / in place
LBHF RBKC WCC 3 4 12 3 4 12 0 3 4 12 0 3 3 9 Comments
Two year old offer. Failure in statutory duty to provide sufficient Economic, Financial ChS reference Two Year Old Offer 15 places to meet local need, or to support target parents to take up Management controls places. Risk 133
Each Council could fail in its forthcoming Rachel Wright- With new intiatives imminent; a paper is being written and will be discussed at Senior Leadership Team. Co-design workshops A paper is being drafted by Andrew November statutory duty to provide sufficient places. Turner Capital funding for further expansion is being focused on the schools sector. have been held with a Tagg giving the current position and 2016 Harm to the reputation of the service. Childcare Shared Services Steering group in place. wide range of partners, workplan ( November 2016 ). This will sufficiency and 30 hours free childcare Director of Three working groups who are overseeing workstreams. with generally positive be discussed at an upcoming Senior entitlement for working parents of 3-4 year Commissioning feedback about the Leadership Team. olds. Failure in legal duty to make provision (Childrens Services) programme and its available, and to workwith providers to ensure objectives. that there are sufficient places available to meet local need or to support target parents to take up places.
Page 9 APPENDIX 3 CHILDREN SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Risk cause and context Overall Overall Overall Overall measures. Planned action(s) Date / in place
LBHF RBKC WCC 3 5 15 3 4 12 0 3 4 12 0 3 3 9 Comments
LBHF Transformation proposals for targeted and universal services ( Level 1 to 3 ). Inability to re-shape services to meet ChS reference Projects, 16 community expectations within available resources. Management controls Political, Policy Risk Progammes Youth 166, Childrens Centres 167
Lack of buy-in from stakeholders and partners. Rachel Wright- Communication and engagement plan in place. Consultation to take place. Political and Policy risk A business case is in progress with an November Reputational harm . Turner Senior Management oversight when project reported monthly by exception to Senior Leadership Team. outline design. There is now 2016 Savings not realised. Shared Services Councillor oversight through Scrutiny Committee. engagement of specialist resource to Director of Engagement with Public Health and Clinical Commissioning Groups in co-design and joint commissioning. support development of the Business Commissioning Co-design workshops have been held with a wide range of partners, with generally positive feedback about the programme and its objectives. Case. (Childrens Services) Programme governance is in place, providing assurance and visibility of progress. Programme Executive Group being kept updated on programme progress and any significant factors risking delays.
LBHF RBKC WCC 3 5 15 3 5 15 0 3 5 15 0 3 3 9
Focus on Practice Programme - The Programme fails to deliver the planned benefits including the Looked After Children 17 numbers and those on Child Protection Plans. Management controls Comments
Programme does not deliver on its objectives. Clare Chamberlain, Focus on Practice Programme Board actively managing risks and monthly report by exception to Childrens Senior Leadership Team via the Political and Policy risk Reviewed by the Senior Leadership March Reputational harm. Director of Family Portfolio Board. Team 03 March 2016. 2016 Reduction in referrals, Looked After Children Services for Royal Focus on Practice Programme Board working group across all aspects of the project. numbers. Borough of Engaging members, service users, staff and other stakeholders. Kensington and Cost delivery and benefits realisation plans being developed. Chelsea, Steve Miley Focus on Practice will be marked as completed from 1July 2016 (date of last programme board meeting ) Director of Family Feedback on our PiP proposal from the Department for Education is imminent, including detail on whether it has been accepted and, if yes, the Services for London extent of funding we will be in receipt of. The bid is currentlt sat with Ministers. Once in receipt of this information risk ratings can be established for Borough of the new programme. Hammersmith & Fulham
Page 10 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 3 CUSTOMER ACCESS SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Date / in Risk cause and context Overall Overall Overall Overall measures. Planned action(s) place
CUSTOMER ACCESS
LBHF RBKC WCC 5 5 25 3 3 9 16 3 3 9 0 1 1 1
Managed Services 1 Management controls Comments a. Extra time spent checking misallocated and Danny McIlroy a. Danny McIlroy writing a new query data extract for BT to use as a cross reference table and this should reduce both mis and unallocated Affects all Customer October unallocated payments for Council Tax, Non Head of Information payments, although BT still need to review process controls. Access Services 2016 Domestic Rates, and Housing Benefit Technology Systems b. Checked daily and any issues are reported to BT immediately for investigation, although BT still need to review their process controls. overpayments including payments sent to the Support c. as above. wrong fund d. BT to despatch Non Domestic rates remittance advices. b. Regular delays in receiving payments e. BT to introduce better payment allocation controls. specifically PARIS payments, occasional duplicate f. as above. payment files affecting Council Tax, Non Domestic g. BT to grant increased Agresso access as required. Rates, and Housing Benefit overpayments h. BT to make this function available. c. Extra time checking daily Council Tax, Non i. BT need to correct program routine regarding file format to enable these payments. Domestic Rates, and Housing Benefit j. BT to grant increased Agresso access as required. overpayments payment files for unexpected cr or db amounts, transaction types and dates d. Extra time spent having to despatch Non Domestic Rates remittance advices that BT should send out e. Extra time spent checking Council Tax and Non Domestic Rate refunds to ensure payments on accounts are genuine f.Extra time spent checking reminders and other notices for Council Tax, Non Domestic Rates and Housing Benefit overpayments before despatch to ensure balances are correct g. Delays responding to enquiries due to restricted system access i.e. general ledger account, meaning we can’t see transactions on Agresso
LBHF RBKC WCC 2 3 6 1 2 2 4 1 2 2 0 1 1 1
Welfare Benefits, Government Scheme Changes 2 Management controls Comments
Universal Credit had a limited roll out in November Robert Armstrong, Working with the Department of Work and Pensions and stakeholders to publicise changes. The Benefits section to assist new Universal Credit Affects the Benefits October 2015. The full timetable is not yet announced. Head of Revenues claims made at the Service 2016 and Benefits
Page 1 APPENDIX 3 CUSTOMER ACCESS SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Date / in Risk cause and context Overall Overall Overall Overall measures. Planned action(s) place
LBHF RBKC WCC 2 3 6 1 2 2 4 1 2 2 0 1 1 1
Civica Open Revenues System speed 3 Management controls Comments
Productivity drops as the system slows. Danny McIlroy All servers including the live environment are being restarted every week and this has improved instances of system slowness. A daily incident log Affects the Council Tax October Head of Information is kept to monitor occurrences and more housekeeping on the servers to create more space is planned in September. Service 2016 Technology Systems Support
LBHF RBKC WCC 4 4 16 3 5 15 1 3 5 15 0 1 1 1
Rollout of Cashless Parking 4 Management controls Comments
Impact on staffing Robert Armstrong Councillors and the Parking Service are expected to make a decision on roll out of the trial. Affects Cash Collection A paper is due in mid-August which October Head of Revenues will decide collection and maintenance 2016 and Benefits of meters in the boroughs.
LBHF RBKC WCC 2 5 10 2 3 6 4 2 3 6 0 1 1 1
Detailed business continuity plans are not in place. 5 Management controls Comments
High level business continuity plans are on the old Tracy Chamberlain Detailed business continuity plans are to be produced for services which provide an outline of what activities can be undertaken to support delivery Work has commenced to October business continuity site however detailed local Head of Customer of services in the event of an incident or outage impacting the services. This process has begun with a detailed plan for Customer Service Centre look at detailed plans for 2016 plans do not exist to identify what we will need to Operations Information Technology Issues and the Business System Unit will co-ordinate this for all functions. the contact centre, do should there be an incident or outage which however these have been affects our ability to provide a service to residents. delayed due to operational management time needed to deal with ongoing issues with SPUR implementation since February 2016.
Page 2 APPENDIX 3 CUSTOMER ACCESS SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Date / in Risk cause and context Overall Overall Overall Overall measures. Planned action(s) place
LBHF RBKC WCC 4 3 12 2 3 6 6 3 3 9 -3 1 1 1
Change capacity and capability 6 Management controls Comments
There is a lot of change going on at present both Tracy Chamberlain Support from the development team to manage change and projects has been requested when needed, with positive feedback for 2016 Renewal Affects Customer Service October within the teams (restructures) and projects Head of Customer and Tranzaact Project support. Ensure that resilience training for managers and staff are taken up to support their wellbeing through these 2016 impacting the teams (SPUR, Registrars, Managed Operations changes. Identify further support for managers to embed the skills to support them in their new roles. Services, Demand Management Sessions etc) and there is a risk that the level of disruption that this causes will impact the performance of the services and the wellbeing of staff. Operational Managers are also being required to take on greater responsibility for change which is something that they are not fully accustomed to which leads to greater risk.
LBHF RBKC WCC 4 3 12 3 3 9 3 3 3 9 0 1 1 1
Managed Services Development and Requirements Gathering 7 Management controls Comments
There has been a lack of engagement from the Sharon Dhesi- Have made clear to the implementation lead and the local Intelligent Client Function lead that they need to being talking to either the P&CT MSP roll out continues to October Managed Service Development Team to gather Cowper Manager, Head of COPs, or CA Director to understand requirements prior to building future modules which impact Cashiers or Customer Services. be slow. Whilst 2016 requirements and understand needs prior to new Head of Strategy Communication has improved, but delivery dates for changes are still unclear. communications and processes being rolled out as part of MSP (e.g. and Development involvement in some Automated Payment line, petty cash and eReturns areas has improved processes). This creates a risk of either a delay in following the mitigating the deployment of supporting financial system, or action (eReturns and that the process that are implemented aren't fit for Moto payment roll out) purpose or require changes in the future to match issues remain with our needs. communication and understanding requirements for other critical areas (Automated Telephone Payments and Income Manager / Chip and Pin roll out).
LBHF RBKC WCC 3 5 15 2 5 10 5 2 5 10 0 1 1 1
Delivery of business improvement projects 8 Management controls Comments
Savings are not met as key projects are not Mike Hollingsworth Project plan is regularly monitored, progress is monitored by BDAM and Head of Strategy and Development. Clarity of ownership and Affects Business October delivered within deadline. Business accountability mitigates risk. Development 2016 Development and Access Manager
Page 3 APPENDIX 3 CUSTOMER ACCESS SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Date / in Risk cause and context Overall Overall Overall Overall measures. Planned action(s) place
LBHF RBKC WCC 4 3 12 2 2 4 8 2 2 4 0 1 1 1
Customer engagement 9 Management controls Comments
Risk that the department is not utilising and Mike Hollingsworth Project plan is regularly monitored, progress is monitored by Business Development and Administration Manager and Head of Strategy and Affects Business October interpreting the cache of information held relating Business Development. Clarity of ownership and accountability mitigates risk. Development 2016 to customer intelligence to the maximum potential. Development and This is vital in order to understand or customers' Access Manager needs.
LBHF RBKC WCC 4 4 16 2 2 4 12 2 2 4 0 1 1 1
Training 10 Management controls Comments
Changes to Service processes/protocols not fed Mike Hollingsworth New Training Manager commences July 14th reporting directly to the Head of Strategy and Development. An activity schedule has been developed Affects Customer Access October through in sufficient time for effective and Business to induct the new Training and Development Manager immediately. 2016 accurate training packages to be developed. Development and Access Manager
LBHF RBKC WCC 3 5 15 1 5 5 10 1 5 5 0 1 1 1
Accessible Transport system out of contract 11 Management controls Comments
We are out of contract for the Accessible Sharon Dhesi- Development team are producing an options paper for decision regarding how to progress within current annual budget for the system. Once a October Transport system ( Tranzacct ) and there is a risk Cowper decision is made they will manage a project to proceed. 2016 that the system may be pulled. Head of Strategy and Development
Page 4 APPENDIX 3 CUSTOMER ACCESS SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Date / in Risk cause and context Overall Overall Overall Overall measures. Planned action(s) place
LBHF RBKC WCC 4 4 16 3 3 9 7 3 3 9 0 1 1 1
Operational impact of delivering savings 12 Management controls Comments
There is a risk that with the operational staffing Tracy Chamberlain Customer Trainee Resource enables ability to provide support to teams. . Ensure that Managers follow the sickness monitoring procedures. This not only impacts on We are exploring the possibility of October reductions made in 2014/15 services have limited Head of Customer the ability of the teams to adding assessments to the existing 2016 operational resilience in instances where there is Operations deliver operational recruitment process to ensure high long term sickness or when staff move on (due to services within quality recruits. The savings have how long the recruitment and appointment performance targets but meant that the service has been less process takes). also increases pressure resilient and operational performance on the remaining staff and has been impacted by staff sickness, could lead to increased unplanned peaks in demand (e.g. sickness in the team. SPUR implementation ) and the impact of the lag there is when a member of staff hands in their notice and a new starter can begin.
LBHF RBKC WCC 4 4 16 3 4 12 4 3 4 12 0 1 1 1
Operational impact of delivering savings 13 Management controls Comments
There is a risk that delivering further operational Tracy Chamberlain Further frontline reductions are not made until channel shift due to e-forms and use of the express services. Identify opportunities to increase October savings in Customer Operations will mean that we Head of Customer income. 2016 can no longer deliver a service within our quality Operations and responsiveness targets.
LBHF RBKC WCC 4 4 16 3 4 12 4 3 4 12 0 1 1 1
Operational impact of SPUR implementation 14 Management controls Comments
There is risk that the issues with SPUR Tracy Chamberlain Work with Parking to highlight changes necessary, escalating issues to Directors where changes are not being made and requested that Parking October implementation are not resolved swiftly and Head of Customer fund additional resource to fund temps to cover contract volumes associated with these issues whilst they are being fixed. 2016 continue to cause additional contact volumes and Operations transaction times across the service. To date there have been increased call volumes, increased transaction times face to face and in the contact centre, increased waiting times on the phones and the portal processing team have been requested to cease processing refunds by the Parking Finance team.
LBHF RBKC WCC 4 5 20 2 5 10 10 2 5 10 0 1 1 1
Printing and Mailing Implementation 15 Management controls Comments
Page 5 APPENDIX 3 CUSTOMER ACCESS SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Date / in Risk cause and context Overall Overall Overall Overall measures. Planned action(s) place
There is a risk that with the new printing and Danny McIlroy Work with the current and new printing and mailing contractors to ensure all printing and mailing processes are successfully migrated. October mailing contractor starting November 2016 that the Head of Information 2016 weekly Council Tax bill and recovery notices will Technology Systems not be produced accurately and despatched on Support time affecting collection rate. There is also a risk that annual bills and Housing Benefit year end notification will not be produced accurately and despatched on time.
LBHF RBKC WCC 4 4 16 4 3 12 4 4 3 12 0 1 1 1
Cashiers closing for the day 16 Management controls Comments
Risk that cashiers will need to be closed on the Mike Hollingsworth A procedure note is being put in place on wat to do and which services need to be informed if Cashiers need to close on the day. The morning October day if no cashiers are available to come into work. Business opening hour has changed to 10:00 a.m. to enable planning for when this happens. 2016 Development and Access Manager
Page 6 APPENDIX 3 CUSTOMER ACCESS SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Date / in Risk cause and context Overall Overall Overall Overall measures. Planned action(s) place
LBHF RBKC WCC 3 3 9 2 3 6 3 2 3 6 0 1 1 1
Payment Machine Procurement 17 Management controls Comments
Risk that the procurement process produces Mike Hollingsworth MH has been working closely with the Procurement Team to mitigate this from occurring. October inadequate submissions which could result in a Business 2016 need to retender, and delay the implementation. Development and Access Manager
LBHF RBKC WCC 3 3 9 2 3 6 3 2 3 6 0 1 1 1
Residents parking reconciliation 18 Management controls Comments
Due to reports not being available we have been Tracy Chamberlain This has been raised at the last Si-Dem Project Boards on the 20/07/2016. David Taylor who is Head of Parking Services has instructed Xerox that Audit taking place in October to loo at October unable to reconcile the Residents Parking Fund Head of Customer this report is the highest priority. reconciliation and Parking to reduce 2016 daily since Parking implemented the Si-Dem Operations duplication and simplify the process. system. As a result there is a risk that the fund isn't' reconciled correctly.
LBHF RBKC WCC 3 5 15 0 15 2 3 6 New 1 1 1
Queue Management Procurement and Implementation 18 Management controls Comments
The current Qmatic contract expires in May 2017. Mike Hollingsworth, Procurement documentation being collated. Procurement timetable outlined by Roger Van Goetham. Affects Customer October There is a risk that procurement and Business and Operations and Benefits 2016 implementation of a suitable replacement queue Development Access management system is not in place in time, Manager resulting in catastrophic consequences for the Customer Service Centre.
Page 7 APPENDIX 3 CUSTOMER ACCESS SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Date / in Risk cause and context Overall Overall Overall Overall measures. Planned action(s) place
LBHF RBKC WCC 2 4 8 0 8 1 4 4 New 1 1 1
Implementation of Dai 18 Management controls Comments
There is a risk that the transition from FDM to DSi Mike Hollingsworth, Project team in constant contact with FDM and Dsi to ensure a seamless transition on November 1st Affects Revenues and October will have a negative impact on the Operational Business and Benefits and Customer 2016 teams. Development Access Services Manager
LBHF RBKC WCC 3 3 9 0 9 3 3 9 New 1 1 1
ASC elements being transferred to Health 18 Management controls Comments
There is a risk that the transition from FDM to DSi Mike Hollingsworth, Meet with ASC to scope out a project to give some of the work back currently undertaken by the SSL and scope any safeguarding work that they Affects Contact Centre October will have a negative impact on the Operational Business and wish to replace the work with. 2016 teams. Development Access Strategic Director of Customer Access sits on the Board where decisions to transfer ASC to Health are made. Manager
LBHF RBKC WCC 4 4 16 0 16 4 4 16 New 1 1 1
SSICT capacity to deliver digital solutions ( to CA and Programme ) 18 Management controls Comments
Digital Team have identified that they have a Sharon Dhesi Meeting with Head of ICT Strategy with current project dossier to discuss. In addition have had support from the Chief Executive that the delivery of Impacts department's October capacity issue with regards to meeting the needs Cowper Head of RBKC's immediate needs should no be impacted by WCC's procurement. Attempts are being made to engage with the WCC platform procurement. ambitions to move things 2016 of existing projects which we can expect will be an Strategy and on-line and also the issue for the projects scoped for the Digital Development delivery of the Council's Enabling Programme. In addition, SSICT are keen Digital Programme. that RBKC use the same platform as Westminster City Council, however due to the short notice of meetings to evaluate the submissions from suppliers we have not yet been able to engage in the process.
Key to Risk Rating Score 16-25 RED - High risk - immediate management action required. Score 11-15 AMBER - Medium risk, review controls. Score 1-10 GREEN- Low risk, monitor and if the risk escalates check controls.
Page 8 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 3 ENVIRONMENTAL SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Risk cause and context Overall Overall Overall Overall measures. Planned action(s) Date / in place
ENVIRONMENTAL SERVICES ( Formerly ELRS and TTS )
LBHF RBKC WCC 3 5 15 2 4 8 0 2 4 8 4 2 4 8 Comments
Failure to meet all new and existing Statutory requirements 1 Management controls Legal Risk. Possibility of legal challenge, fine or sanction All Directors, Lead Managers to review legislative framework and update staff as appropriate. All Heads of Service also Environmental Services Departmental November Director Internal Auditing. responsible. Management Team Review at Quarter 2016 Nick Austin, Bi- Match roles to legislation. 2 2016 2017 borough Director for Training. Environmental Legal and other specialist advice taken. Health. Complaint monitoring. Business plans identify new and key existing statutory requirements and contain actions to address. Annual update of Scheme of Delegation. Equalities Impact Analysis in service delivery changes. Equalities Statement included in relevant reports.
LBHF RBKC WCC 3 5 15 3 3 9 3 3 3 9 0 3 3 9 Comments
Health and Safety breaches affecting staff and others. Human Resource, 2 Management controls Contractual, Financial Risks.
Injury to members of staff or the public . Nick Austin, Bi- Safety audit, suitable contractor management arrangements, Construction, Design and Management (CDM) controls in place, Maintenance and Systems, processes and Environmental Services Departmental November Liability as employers and managers. borough Director for Inspection schemes unerpin the engineering response to risk, Quality Assured processes (including external accreditation) Learning and resources are not joined Management Team Review at Quarter 2016 Environmental Development Plans, Ongoing traning programme, Established Departmental Health and Safety Committee, Policies and Procedurea, Service Risk up in the event of a Royal 2 2016 2017 Health. Assessments, Guidance issued with respect to cross borough working and duty of care for both sets of employers. Business Continuity Plan in Borough of Kensington place, Service Resilience Group regulalry attended. and Chelsea and London Borough of Hammersmith and Fulham incident.
Page 1 APPENDIX 3 ENVIRONMENTAL SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Risk cause and context Overall Overall Overall Overall measures. Planned action(s) Date / in place
LBHF RBKC WCC 4 4 16 2 4 8 0 2 4 8 4 2 4 8 Comments
Ineffective programme and project management Politcal, Economic, 3 Management controls Technological Risks Programmes and Projects not delivered to time All Directors, Lead Regular progress reporting, any corrective action is taken Areas potentially Environmental Services Departmental November or budget. Director Regular finance monitoring impacted. Joint Parking Management Team Review at Quarter 2016 Nick Austin, Bi- Internal customer feedback Office IT Implementation 2 2016 2017 borough Director for Effective governance arrangements in place (programme and project boards and delivery teams) Cashless Parking Environmental Regular oversight by Parking Programme Management Board King Street regeneration Health. Departmental Project Manager (civic accomodation) Expertise and experience identified and utilised Accommodation Regular meetings involving Councillor and Finance. programme Asset Management Strategy Earls Court Regeneration Parks Capital Programme Meeting Climate Change programme targets specific to the Royal Borough of Kensington and Chelsea
LBHF RBKC WCC 4 5 20 2 4 8 4 2 4 8 0 2 4 8 Comments
Failure to effectively manage significant contracts Professional, Financial, 4 Management controls Legal, Human Resources Risks. Adverse resource implications ( Human Maureen McDonald Contracts in place and part of CapitalEsourcing system. The Link Departmental Management Team November resource and Financial). Potential disruption or Khan , Director for Formal monthly monitoring. Amey Community Ltd review, Quarter 2 2016 2017. 2016 non delivery of a key service. Building and Performance monitoring report. Serco Property Collaborative working. GVA Management Quality Assurance. Quadron (IDVERDE) London Borough of Shared Services procurement protocols. Greenwich Leisure Hammersmith and Expertise and experience identified and utilised. Service review process will help minimise contract management issues. CETA Fulham Withdrawl from the Link and the appointment of London Borough of Hammersmith and Fulham's own client to manage the AMEY contract. FM Conway Mahmood Siddiqi, Bi- Monitor creditsafe reports and fuel debt levels, taking appropriate debt recovery action. Suez Borough Director of Risk assessment conducted within projects. Transport & Street Cleaning Tsar ( London Borough of Hammersmith and Fulham ) Highways
Page 2 APPENDIX 3 ENVIRONMENTAL SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Risk cause and context Overall Overall Overall Overall measures. Planned action(s) Date / in place
LBHF RBKC WCC 4 4 16 3 3 9 0 3 3 9 4 2 3 6 Comments
Failure to deliver Medium Term Financial Strategy efficiency 5 savings Management controls Financial Risk.
ALL Members of the Regular Medium Term Financial Strategy monitoring by the Departmental Management Team. Departmental November Management Team , Regular budget monitoring meetings held by the Director of Finance and Resources with each Director. Management Team 2016 Mark Jones Director Project Management. review, Quarter 2 2016 of Finance and Regular monthly corporate monitoring reports. 2017. Resources
LBHF RBKC WCC 5 4 20 5 3 15 -3 5 3 15 0 3 3 9 Comments Managing budgets, finance risks and systems. 6 Management controls Financial risk
Adverse budget variances and key financial Mark Jones, Director Regular finance and trading accounts monitoring Environmental Services Departmental November risks. for Finance and Work with Planning to secure Community Infrastructure Levy (CIL) and section 106 funds Management Team Review at Quarter 2016 Resources Medium Term Financial Strategy (MTFS ) planning process. 2 2016 2017 Parking Control Board.
Page 3 APPENDIX 3 ENVIRONMENTAL SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Risk cause and context Overall Overall Overall Overall measures. Planned action(s) Date / in place
Key to Risk Rating Score 16-25 RED - High risk - immediate management action required. Score 11-15 AMBER - Medium risk, review controls. Score 1-10 GREEN- Low risk, monitor and if the risk escalates check controls.
Page 4 Page 5 Page 6 Page 7 Page 8 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 Bi-borough Corporate Health and Safety (Non Schools or Housing) RISK REGISTER DASHBOARD
Inherent risk assessment: your RISK benchmark without controls Assigned To
(currently Likelihood
Ref Impact Risk cause and context - indicate if H&F, RBKC or managing the WCC risk (tick) risk)
Service related risks H&F RBKC WCC OFFICER(S) 5 4 1 Water Hygiene - Council Operational Buildings Management controls Safety Management system failure/inadequate Richard Egan Head Tri-borough Legionella Policy, share with the client management team for the TFM contract (LINK v AMEY). Regular monitoring by TFM resources/inadequate monitoring/lack of awareness/failure to meet of Corporate Contractor and Compliance reports through LINK. Corporate Health and Safety Team conducting regular building compliance audits and set completion dates/No Compliance Manager Property Services - feeding back to the key stakeholders on any non-compliance issues. LINK
Maureen McDonald Khan, Director of Building and Property Management
H&F RBKC WCC OFFICER(S) 5 4 2 Asbestos Management - Council Operational Buildings Management controls Safety Management system failure/inadequate controls/inadequate Richard Egan Head Tri-borough Asbestos management policy in draft, both RBKC and LBHF sovereign policies currently in use. Permit to work systems resources/inadequate monitoring/lack of awareness/No appointed of Corporate operated and asbestos survey programme created. Appointed Person assigned to AMEY by LINK to oversee the asbestos management of person/No asbestos management plans/No training Property Services - operational buildings. Asbestos management plans for individual buildings contained on the premise log books, awareness training on LINK asbestos. Corporate Health and Safety Team have regular building compliance audit planned.
Maureen McDonald Khan, Director of Building and Property Management
H&F RBKC WCC OFFICER(S) 5 3 3 Fire Safety Management - Council Operational Buildings Management controls Safety management system failure/inadequeate controls/inadequate Richard Egan Head Fire risk assessments by competent persons / development of ife emergency plans/ maintenance of fire related plant and equipment / staff resources/indequate monitoring/lack of awareness/failure to meet of Corporate training/exercising of fire procedures/security systems/maintenance of plant and equipment. Corporate health and safety team conducting set compliance standards and completions dates Property Services - regular building compliance audits. Required number of incident controllers/fire marshals to be recruited for each building LINK
Maureen McDonald Khan, Director of Building and Property Management
H&F RBKC WCC OFFICER(S) 5 4 4 Lifts and Lifting Equipment - Corporate operational buildings Management controls Safety management system failure/inadequate controls/inadequate Ray Chitty Corporate Policies (Sovereign only). Regular and thorough examination and inspection/testing of equipment, organised through Insurance preoperty management systems/inadequate resources/inadequate Tri-borough teams. Auditing of contractors, procedures and documentation by corporate health and safety training/inadequate or insufficient thorough examination and test Insurance Manager arrangements/ unsafe equipment
H&F RBKC WCC OFFICER(S) 5 5 5 Contractor Management Management controls Safety management system failure/inadequate controls/ inadequate Richard Egan Head Corporate policies/procedures. Monitoring of contracts by Link/AMEY/Corporate health and safety. Quarterly performance reports from permissions or permit to work/ inadequate resources/inadequate of Corporate LINK. Training for premise controllers. monitoring/lack of awareness/No performance management/confilict Property Services - with other works increasing risks/compromise fire safety LINK controls/release of asbestos fibres Maureen McDonald Khan, Director of Building and Property Management
H&F RBKC WCC 5 5 Management of plant and equipment (Boiler and Pressure systems)- 6 Corporate operation buildings Management controls Safety management system failure/inadequate Richard Egan Head Corporate policies in place. Inspection and assessment regime though insurance contract with Bureau Veritas. All pressure systems are controls/inadequateproperty management/inadquate of Corporate clearly identified on an asset register. A written scheme of examination is in place for each and every pressure system. An examinaton of resources/inadequate monitoring of hazardous environments and or Property Services - each pressure system is udertaken in accordance with the scheme of control by a competent person. Pressure systems are maintained on a work practice/lack of awareness/failure to meet set LINK regular basis by an authorised contractor who has been suitably appraised in accordance with the management of contractors procedure, standards/targets prior to app. Suitable electronic records must be maintained for the schemes of controls, inspection and maintenance records. Employees Maureen McDonald who operate pressure systems must receive appropriate information, instruction and training to ensure their safe use. The training should Khan, Director of include special preocedures to be followed in the event of an emergency. Where there is a risk of imminent fialure of the system if Building and immediate repairs are not undertaken or suitable modifications made the competent person should ensure such necessary works are Property escalated to an appropriate level for authorization. In addition the corporate safety team must be informed in order that they can notify the Management Health and Safety Executive as may be required. Any pressure system safety incident shall be appropriately notified to corporate safety via enable and thoroughly investigated. All responsible persons shall be made aware of such incidents and have the relevant input into the investigation, reporting and reviewing process.
H&F RBKC WCC OFFICER(S) 5 4 7 Electrical Safety - Corporate operational buildings Management controls Safety management systems failure/inadequate controls/inadequate Richard Egan Head Corporate Policies (sovereign)/periodical checks to standards requirement on wiring/regular testing of equipment/performance property management systems/inadequate resources/inadequate of Corporate inicators/inspections by competent persons/auditing by LINK/AMEY/Corporate health and safety. moitoring/lack of awareness/failure to meet set standards/targets. Property Services - LINK
Maureen McDonald Khan, Director of Building and Property Management
H&F RBKC WCC OFFICER(S) 5 5 8 Shared Services arrangements Management controls Safety mangement system failure/inadequate controls/inadequate Richard Egan Head Service reviews, tri-borough building compliance board, tri-borough operational group, Joint Management Team, Audit and Pensions/Audit property management/inadequate resources/inadquate monitoring of Corporate and Transparency Committees, Joint safety committees, Senior Management Teams's, Department Management Teams's. Audits by LINK, of hazardous environments and or work practice/lack of Property Services - AMEY and Corporate health and safety team to ensure compliance throughout properites. awareness/failure to meet set standards/targets LINK
Maureen McDonald Khan, Director of Building and Property Management
H&F RBKC WCC OFFICER(S) 5 4 Stress Management 9 Management controls Failure to identify and react to the causes of stress in the workplace Debbie Morris Your Voice survey contains the questions expected by the Health and Safety Executive within the key stressors to managing stress in the Bi-borough Director workplace, acting as the overall organisational and service/department stress risk assessment. Agreed protocols with Occupational Health, for Human Human Resources and Corporate health and safety for conducting more team and individual specific stress risk assessments. Policies and Resources procedures implemented. Staff appraisals / 1-2-1 systems operating. Corporate sickness/absence procedures. Training available to management and staff. Incident reporting mechanisms in place for reporting of stress related incidents
H&F RBKC WCC OFFICER(S) 5 4 Violence and Agression to staff 10 Management controls
Failure to identify, eliminate or mitigate the nature and causes of Debbie Morris Corporate policies/procedures implemented. Risk assessments identify teams with the potential to be exposed to violence and aggression violence in the workplace Bi-borough Director and understand the necessary control measures. Staff where they may face potential violence and aggression receive the necessary for Human training. Safe systems of work are adopted by teams. Corporate health and safety conduct team audits. Corporate violence and aggression Resources recording integrated into the corporate accident and incident reporting system (TRI-B AIRS).
H&F RBKC WCC OFFICER(S) 5 4 Musculoskeletal Disorders to staff 11 Management controls Safety management system failure/ inadequate controls/ inadequate Debbie Morris Reporting of incidents through the corporate online accident/incident reporting system (TRI-B AIRS). Referrals from line managers to assessments/inadequate training/introduction of new technlogies Bi-borough Director Occupational Health. Human Resources Procedures/Corporate Safety procedures/sickness management/risk assessment reviews/site and and working patterns. Increased sickness absence/loss of for Human working practice audits by corporate health and safety. Supervision, Information, Instruction and Training provided.Online Display Screen productivity/industrial and civil claims Resources Equipment assessments, follow up by managers, trained Display Screen Equipment assessors within teams/departments.
H&F RBKC WCC OFFICER(S) 5 4 Production of suitable and sufficient risk assessments 12 Management controls
Safety management sysem failure/inadequate controls/inadequate Nick Austin Bi- Bi-borough corporate procedure and guidance/training/performance indicator/ Corporate Safety Unit inspections and audits . Risk assessments/inadequate training/inadequte protective Borough assessments in place across all Services/departments/teams within LBHF/RBKC. Regular reviews carried out to ensure they remain equipment/exposure to hazardous substance or dangerous work Director for suitable and sufficient. Central Database available with each team risk assessment(s) in place. Regular report built and provided to Senior practice. Leading to possible loss of life or serious injury/corporate Environmental ManagementTeams outlining non-compliance risk assessments. managslaugther/criminal & civil lititgation/environmental Health damage/significant financial penalties. Bi-borough Corporate Health and Safety (Non Schools or Housing) RISK REGISTER DASHBOARD
Residual risk assessment: Inherent risk assessment: your Target risk benchmark without controls Quarter 1
Likelihood Likelihood
Impact DOT Impact Overall Overall Overall
20 3 4 12 8 3 2 6 Management controls Tri-borough Legionella Policy, share with the client management team for the TFM contract (LINK v AMEY). Regular monitoring by TFM Contractor and Compliance reports through LINK. Corporate Health and Safety Team conducting regular building compliance audits and feeding back to the key stakeholders on any non-compliance issues.
20 4 4 16 4 3 2 6 Management controls Tri-borough Asbestos management policy in draft, both RBKC and LBHF sovereign policies currently in use. Permit to work systems operated and asbestos survey programme created. Appointed Person assigned to AMEY by LINK to oversee the asbestos management of operational buildings. Asbestos management plans for individual buildings contained on the premise log books, awareness training on asbestos. Corporate Health and Safety Team have regular building compliance audit planned.
15 5 3 15 0 3 2 6 Management controls Fire risk assessments by competent persons / development of ife emergency plans/ maintenance of fire related plant and equipment / staff training/exercising of fire procedures/security systems/maintenance of plant and equipment. Corporate health and safety team conducting regular building compliance audits. Required number of incident controllers/fire marshals to be recruited for each building
20 4 3 12 8 2 2 4 Management controls Corporate Policies (Sovereign only). Regular and thorough examination and inspection/testing of equipment, organised through Insurance teams. Auditing of contractors, procedures and documentation by corporate health and safety
25 4 3 12 13 2 2 4 Management controls Corporate policies/procedures. Monitoring of contracts by Link/AMEY/Corporate health and safety. Quarterly performance reports from LINK. Training for premise controllers.
25 4 3 12 13 2 2 4
Management controls Corporate policies in place. Inspection and assessment regime though insurance contract with Bureau Veritas. All pressure systems are clearly identified on an asset register. A written scheme of examination is in place for each and every pressure system. An examinaton of each pressure system is udertaken in accordance with the scheme of control by a competent person. Pressure systems are maintained on a regular basis by an authorised contractor who has been suitably appraised in accordance with the management of contractors procedure, prior to app. Suitable electronic records must be maintained for the schemes of controls, inspection and maintenance records. Employees who operate pressure systems must receive appropriate information, instruction and training to ensure their safe use. The training should include special preocedures to be followed in the event of an emergency. Where there is a risk of imminent fialure of the system if immediate repairs are not undertaken or suitable modifications made the competent person should ensure such necessary works are escalated to an appropriate level for authorization. In addition the corporate safety team must be informed in order that they can notify the Health and Safety Executive as may be required. Any pressure system safety incident shall be appropriately notified to corporate safety via enable and thoroughly investigated. All responsible persons shall be made aware of such incidents and have the relevant input into the investigation, reporting and reviewing process.
20 4 2 8 12 2 2 4 Management controls Corporate Policies (sovereign)/periodical checks to standards requirement on wiring/regular testing of equipment/performance inicators/inspections by competent persons/auditing by LINK/AMEY/Corporate health and safety.
25 4 3 12 13 3 2 6 Management controls Service reviews, tri-borough building compliance board, tri-borough operational group, Joint Management Team, Audit and Pensions/Audit and Transparency Committees, Joint safety committees, Senior Management Teams's, Department Management Teams's. Audits by LINK, AMEY and Corporate health and safety team to ensure compliance throughout properites.
20 3 4 12 8 2 2 4 Management controls Your Voice survey contains the questions expected by the Health and Safety Executive within the key stressors to managing stress in the workplace, acting as the overall organisational and service/department stress risk assessment. Agreed protocols with Occupational Health, Human Resources and Corporate health and safety for conducting more team and individual specific stress risk assessments. Policies and procedures implemented. Staff appraisals / 1-2-1 systems operating. Corporate sickness/absence procedures. Training available to management and staff. Incident reporting mechanisms in place for reporting of stress related incidents
20 3 4 12 8 2 3 6 Management controls
Corporate policies/procedures implemented. Risk assessments identify teams with the potential to be exposed to violence and aggression and understand the necessary control measures. Staff where they may face potential violence and aggression receive the necessary training. Safe systems of work are adopted by teams. Corporate health and safety conduct team audits. Corporate violence and aggression recording integrated into the corporate accident and incident reporting system (TRI-B AIRS).
20 3 4 12 8 2 3 6 Management controls Reporting of incidents through the corporate online accident/incident reporting system (TRI-B AIRS). Referrals from line managers to Occupational Health. Human Resources Procedures/Corporate Safety procedures/sickness management/risk assessment reviews/site and working practice audits by corporate health and safety. Supervision, Information, Instruction and Training provided.Online Display Screen Equipment assessments, follow up by managers, trained Display Screen Equipment assessors within teams/departments.
20 3 4 12 8 2 3 6
Management controls
Bi-borough corporate procedure and guidance/training/performance indicator/ Corporate Safety Unit inspections and audits . Risk assessments in place across all Services/departments/teams within LBHF/RBKC. Regular reviews carried out to ensure they remain suitable and sufficient. Central Database available with each team risk assessment(s) in place. Regular report built and provided to Senior ManagementTeams outlining non-compliance risk assessments. APPENDIX 3 27/01/2017 Reducing the risk
Management comments on measures. Management control measures, Date / in place planned action(s)
Comments Until we have full reporting by the LINK compliance team Service Level Agreement to be July 2016 to confirm that all testing, risk assessments, monitoring has confirmed following revision and been carried and any issues raised completed (Time reports to be provided by LINK Bound Repairs), not currently confident compliant throughout all buildings.
Comments Reports confirming all programmes are implemented to be SLA to be confirmed following revision July 2016 provided by LINK. Confirmation required on all Asbestos and reports to be provided by LINK management plans for each building to confirmed.
Comments Tri-borough led project to confirm current status of the fire Report awaited from LINK to confirm July 2016 safety measures throughout RBKC/LBHF/WCC operational all Fire Risk Assessments have been buildings. Reviewing Fire Risk Assessments, policies, carried out and in date. Fire project practices etc. Fire Risk Assessments to be implemented initiated and being led by Mike Sopp, for all buildings and placed upon premise log books and reporting to Tri-borough Building Premise Controllers to carry out localised checks to be compliance board. Improvement on confirmed through auditing recruiting required number of incident controllers/fire marshals required
Comments New contract with Bureau Veritas in place for the Insurance to provided regular report to July 2016 insurance inspections and regular reports to be obtained corporate health and safety and from Insurance to confirm indate inspections/maintenance auditing to be carried out. and testing of lifts and lifting equipment
Comments Concerns around the full monitoring of contracts that fall Improvements to the procurement of July 2016 outside the TFM contract i.e. IT contracts there is a need contractors/monitoring required and for monitoring by contract managers. Reporting by LINK on project initiated by Corporate health time bound repairs carried out and monitored regularly and safety to look at this.
Comments This is an issue which needs to be picked up at a There is an ongoing system of July 2016 corporate level in each of the Councils. inspection and Maintenance. Where recommendations are made they must be costed and a decision made to implement.
Comments Confirmation via LINK reports on 5 year hard wiring tests LINK July 2016 for each operational building within the service matrix awaited.
Comments Further improvements to the reports being received by LINK/AMEY/Corporate Health and July 2016 corporate health and safety from LINK. More joined up Safety approach and visability of audits between three parties. Standardisation of policies and procedures.
Comments Further work in ensuring this is communicated and Management July 2016 understood throughout the two boroughs is required. A project has been initiated to understand the extent to how it is operating within both RBKC/LBHF. Management are to conduct discussions with their teams in connection with results from the surveys, identifying any key areas of improvement and initiating clear action plans to achieving and reviewing progress. Staff and managers need to ensure cases of stress are recorded on the Council's online accident/incident reporting system (TRI-B AIRS).
Comments
Corporate health and safety conducting audit of existing Corporate health and safety and July 2016 policies/procedure corporately and throughout team levels Management to show how effective current systems are operating throughout. Management needs to ensure that the significant risks have been identified throughout their teams and implement necessary controls.
Comments Corporate health and safety project initiated for 2015/16 to Corporate health and safety and July 2016 look at how we currently manage this througout Management LBHF/RBKC. Further work by management to encourage staff to act as Display Screen Equipment Assessor for the teams and for staff to carry out relevant training.
Comments
Corporate procedures in place, system available to upload Corporate health and safety and July 2016 risk assessments to central database, but nowawaiting Management information from aggresso to be uploaded by system provider for new orgnanisational structure/teams. Teams very slow in sending in their risk assessments. Reports to be provided to Senior ManagementTeams outlining outstanding risk assessments. 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 3 RBKC HOUSING SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Residual risk assessment: Quarter 3 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Impact Management comments on Risk cause and context Overall Overall Overall Overall Overall measures. Planned action(s) Date / in place
LBHF RBKC WCC 5 4 20 5 4 20 0 5 4 20 0 0 20 3 3 9
Budgetary risk to Housing Temporary Accommodation Budget 1 following introduction of welfare reforms. Management controls Comments
In addition the planned introduction of a grant to Laura Johnson, Review of budget provision as part of the financial planning process. Agreed by Housing November replace the current management fee. Director for Housing Regular financial monitoring. Managers November 2016 2016 Close working with Housing Benefit and use of Discretionary Housing Payments. Seeking to move households to more affordable housing. Close monitoring of the plans to introduce a grant to replace the management fee and in particular the distribution formula used to allocate these funds.
LBHF RBKC WCC 5 4 20 5 4 20 0 5 4 20 0 0 20 3 3 9
Inability to procure Temporary Accommodation within the current 2 competitive market, this may prevent us from meeting our Management controls Comments statutory duties. Families may remain in Bed and Breakfast Laura Johnson, A team of Officers liaise with landlords to ensure current properties are retained, as far as possible, and new properties are identified. Agreed by Housing November accommodation for more than six weeks or Director for Housing Housing purchasing properties for Temporary Accomodation which increase supply and control. A case to increase this budget has been made. Managers November 2016 2016 remain in unsuitable accommodation. Potential increase in legal challenges.
LBHF RBKC WCC 5 4 20 5 4 20 0 5 4 20 0 0 20 3 3 9
The Council fails to deliver its estate regeneration programme. 3 Management controls Comments
The Council's objectives to create new homes, Laura Johnson, Each scheme has its own programme manager. Agreed by Housing November improve the built environment and Director for Housing Expert consultants are engaged to support the scheme/programme. These include legal and financial experts. Managers November 2016 2016 improve/replace existing stock will not be Progress is monitored regularly by senior officers and members. achieved.
LBHF RBKC WCC 2 4 8 2 4 8 0 2 4 8 0 0 8 2 3 6
The council is unable to deliver the required level of Affordable Housing needed to maximise its retention of capital receipts 4 under the Right to Buy Agreement. Management controls Comments
Receipts will need to be returned to the Laura Johnson, Assessing all housing developments to determine whether they would count against the Affordable Housing target. Agreed by Housing November Department for Communities and Local Director for Housing Managers November 2016 2016 Government plus interest at a punitive rate.
Page 1 APPENDIX 3 RBKC HOUSING SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Residual risk assessment: Quarter 3 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Impact Management comments on Risk cause and context Overall Overall Overall Overall Overall measures. Planned action(s) Date / in place
LBHF RBKC WCC 5 4 20 5 2 10 10 5 2 10 0 0 10 2 2 4
The annual reduction of 1% in social rents over the next four 5 years destabilises the Housing Revenue Account. Management controls Comments
A less optimistic financial outlook for the Laura Johnson, Financial modelling of potential implications continues to be undertaken on a regular basis. Agreed by Housing A cautious approach is taken to November Housing Revenue Account which will impact on Director for Housing Managers November 2016 allocating capital budgets. 2016 the level of resources available for revenue works and future plans for capital projects.
LBHF RBKC WCC 5 4 20 5 4 20 0 5 4 20 0 0 20 3 3 9
The council is forced to sell on the open market high value Housing Revenue Account properties which become vacant. 6 Management controls Comments
A less optimistic financial outlook for the Laura Johnson, Financial modelling of potential implications when 'rules' known. Agreed by Housing November Housing Revenue Account which will impact on Director for Housing Exploring options whereby the Council can still retain some control over the use of its assets. Managers November 2016 2016 future plans for capital projects. Increased waiting times for people on the Housing Register and in Temperary Accommodation, further increasing budget pressure.
LBHF RBKC WCC 5 4 20 2 4 8 12 2 4 8 0 0 8 2 2 4
The introduction of the Pay to Stay scheme (timeline to be determined) 7 Management controls Comments
The timescale and detailed requirements have Laura Johnson, Once draft regulations and a timescale are published a full detailed plan will be developed. Agreed by Housing November yet to be published. Implementing this regime is Director for Housing Initial work to cost the infrastructure is being undertaken Managers November 2016 2016 likely to cause confusion and concern for and Tenancy Manual IT processes will be required if the scheme is implemented in the short term. tenants. It could lead to evictions and if not Management handled appropriately is likely to have Organisation reputational consequences. The scheme may Executive not be financially neutral to the Council.
LBHF RBKC WCC 2 5 10 1 5 5 5 1 5 5 0 0 5 1 1 1
A major incident or failure within the housing sector. 8 Management controls Comments
A failure within the Council housing stock that Laura Johnson, Emergency Plan procedures Agreed by Housing November endangers residents lives or makes their home Director for Housing Monitoring of council stock Managers November 2016 2016 uninhabitable for example, fire, lift breakdown, Regular gas inspections freak weather conditions damaging the fabric of Fire safety checks undertaken in line with the London Fire Brigade recommendations. the building or a gas explosion. Stock condition survey undertaken.
Page 2 APPENDIX 3 RBKC HOUSING SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Residual risk assessment: Quarter 3 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Impact Management comments on Risk cause and context Overall Overall Overall Overall Overall measures. Planned action(s) Date / in place
LBHF RBKC WCC 2 3 6 2 3 6 0 2 3 6 0 0 6 1 1 1
Business Continuity failure to provide enough housing for 9 residents in an emergency. Management controls Comments The Homelessness Team may not be able to Laura Johnson, Risk assessment undertaken based on scenario planning. Agreed by Housing Align contingency planning November source the right type or quantity of housing Director for Housing Work with the Emergency Planning Team who are able to instigate use of designated rest centres and transport. Managers November 2016 arrangements with the Tenancy 2016 within the required timescale. Emergency Planning scenario exercises undertaken Management Organisation Develop protocols with the Tenancy Management Organisation, Registered Providers and supported Housing Providers for responding to major emergencies.
LBHF RBKC WCC 5 4 20 5 4 20 0 5 4 20 0 0 20 1 1 1
There will be a shortfall in the funding of supported housing services if rents are capped at Local Housing Allowance levels. 10 Management controls Comments
This will make some services unsustainable and Laura Johnson, Financial modelling to assess impact. Agreed by Housing Develop contingency plans November will create financial and operational pressures. Director for Housing Meetings with providers to identify options to mitigate te risks. Managers November 2016 2016 Close monitoring of Central Government Plans regarding the introduction of these caps, including the distribution of any additional funds allocated to Council's to support this change.
LBHF RBKC WCC 5 4 20 5 4 20 0 5 4 20 0 0 20 1 1 1
Key Housing processes are not working effectively following the 11 roll out of the Managed Services Programme. Management controls Comments
Delays arising in the payment of key suppliers Laura Johnson, Staff are working closely with key suppliers. Risk review by Housing Refresher training is being provided November e.g. landlords and in the collection of Director for Housing Manual payment arrangements are used as appropriate. Managers May 2016. for Accounts Receivable processes. 2016 contributions towards services . Reputational loss with landlords and Tenancy Management Organisation tenants and leaseholders.
Key to Risk Rating Score 16-25 RED - High risk - immediate management action required. Score 11-15 AMBER - Medium risk, review controls. Score 1-10 GREEN- Low risk, monitor and if the risk escalates check controls.
Page 3 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 3 INFORMATION AND COMMUNICATIONS TECHNOLOGY SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Risk cause and context Overall Overall Overall Overall measures. Planned action(s) Date / in place
LBHF RBKC WCC 5 4 20 4 4 16 4 3 4 12 4 3 3 9 RISK CLOSED
Uncertainty and morale 1 Management controls Comments
Uncertainty around the future due to the Chief Ed Garcez, Shared Phase 2 restructure has commenced, with options for a Shared Chief Information Officer being investigated between the Royal Borough of August 2016 Information Officer post being deleted, with the Services Chief Kensington and Chelsea and Westminster City Council. consequent effect on Heads of Service and Information Officer Regular communications to staff through team meetings. Transition Director and on morale generally causing doubt uncertainty and staff loss.
LBHF RBKC WCC 5 4 20 4 4 16 4 3 4 12 4 3 3 9
Commencement of Data Centre Proof of Concept 2 Management controls Comments
Data centre proof of concept is underway. Jackie Hudson, Data centre migration is due to be completed in January 2017. There are plans to undertake a repeatable 8 phase migration. There will be a go/no A Transition Programme November Transistion Director decision taken by the Council prior to the move from the Agilsys Data Centre to the BT Data Centre. Board is in place with a 2016 Customer Impact Working Group
LBHF RBKC WCC 5 4 20 4 4 16 4 4 4 16 0 3 3 9
Skills lost through staff not transferring from HF Bridge Management controls 3 Partnership Comments RISK CLOSED Not all staff we require transfer from HF Bridge Jackie Hudson, Can fill skills gap by calling off services from one of the four contracts or recruiting. Reference to new risks opened on August 2016 Partnership to the council, knowledge may be Transistion Director individual cases. Risks 12 and 13. lost rather than just skills.
Page 1 APPENDIX 3 INFORMATION AND COMMUNICATIONS TECHNOLOGY SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Risk cause and context Overall Overall Overall Overall measures. Planned action(s) Date / in place
LBHF RBKC WCC 5 4 20 4 4 16 4 4 4 16 0 2 4 8
Blackberry support 4 Management controls Comments
As of 25/08/16, RIM have advised that they will Ben Goward, Shared Migration project for Hammersmith Town Hall scheduled to complete 31/10/16. There are approximately There remain a number of Officers in November no longer support the Blackberry connector Services Interim Migration project for the Royal Borough of Kensington and Chelsea being planned. 800 users in Adult Social Care that have not yet 2016 service for older models of Blackberrys. There Chief Information Information has been sent out to Officers via e-mail regarding the exchange process including how to set up their new Google Accounts. Hammersmith Town Hall returned their Blackberry phones. is a risk that users in the London Borough of Officer Royal Two phone types have been provided for use at Hammersmith and Fulham, a basic version and enhanced security version. and 1000 in the Royal These may be Social Workers. Hammersmith and Fulham and the Royal Borough of Phone exchange for London Borough of Hammersmith and Fulham near completion, Vodaphone have made several visits to Hammersmith Town Borough of Kensington Stephen Menzies is to pursue the Borough of Kensington and Chelsea may Kensington and Hall to meet users and exchange phones. and Chelsea were remainder of staff whom have not yet experience service disruption pending the Chelsea and Scheduled completion date to be confirmed. affected. surrendered their phone and come in migration of old Black berrys to MotoG. Westminster City for a replacement. Council Veronica Barella, Interim Chief Information Officer, London Borough of Hammersmith and Fulham
LBHF RBKC WCC 4 3 12 2 3 6 6 2 2 4 2 2 2 4
Operating with reduced resources 5 Management controls Comments
We are running with vacancies and reduced Ed Garcez, Shared Phase 2 consultation commenced, temporary cover through contractors. August 2016 staff, putting pressure on the teams and Services Chief increasing staff stress levels, projects getting Information delayed due to resourcing constraints; OfficerBen Goward, Business as Usual issues getting missed due Shared Services to same. Interim Chief Information Officer Royal Borough of Kensington and Chelsea and Westminster City Council Veronica Barella, Interim Chief Information Officer, London Borough of Hammersmith and Fulham
Page 2 APPENDIX 3 INFORMATION AND COMMUNICATIONS TECHNOLOGY SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Risk cause and context Overall Overall Overall Overall measures. Planned action(s) Date / in place
Insufficient depth and spread of knowledge 6 Management controls Comments
Insufficient depth and spread of knowledge Ben Goward, Shared Documentation ( of limited effect ) August 2016 within teams across the department. We rely Services Interim Development plan ( only really possible when Phase 2 restructure is complete ) on particular individuals for certain tasks and Chief Information know how. This has become worse as staff Officer Royal have left and work has increased. This issue Borough of will only get worse if people leave suddenly. Kensington and Chelsea and Westminster City Council
LBHF RBKC WCC 5 4 20 4 4 16 4 4 4 16 0 3 3 9
Outdated Business Continuity Plans 7 Management controls Comments
Outdated Business Continuity Plans and the Ben Goward, Shared Plans to review these are August 2016 potential fallout on Information Technlogy Services Interim affected by volume and should we be called upon to invoke in the event Chief Information urgency of work. of an incident, especially centred around Officer Royal telepohny/contact centre where we would be Borough of asked to deliver calls/data services. Kensington and Chelsea and Westminster City Council Veronica Barella, Interim Chief Information Officer, London Borough of Hammersmith and Fulham
Page 3 APPENDIX 3 INFORMATION AND COMMUNICATIONS TECHNOLOGY SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Risk cause and context Overall Overall Overall Overall measures. Planned action(s) Date / in place
LBHF RBKC WCC 5 4 20 4 4 16 4 4 4 16 0 3 3 9
Threat of Cyber Attacks 8 Management controls Comments
There have been a number of instances of Ben Goward, Shared Specific controls in place. Cyber security audit undertaken by the Royal Borough of Kensington and Chelsea recently, with three medium priority August 2016 local authorities being targeted by attacks. Services Interim recommendations for the Head of Information Management and the Royal Borough of Kensington and Chelsea Information Security Manager. In Chief Information addition, a Cyber Security paper was produced fro Members. After a series of attacks primarily aimed at the Royal Borough of Kensington and Officer Royal Chelsea, but also affecting the London Borough of Hammersmith and fulham and Westminster City Council, a series of mitigations were put in Borough of place including a reminder to staff not to click on downloads or links from unknown e-mail addresses. Kensington and Chelsea and Westminster City Council Veronica Barella, Interim Chief Information Officer, London Borough of Hammersmith and Fulham
Page 4 APPENDIX 3 INFORMATION AND COMMUNICATIONS TECHNOLOGY SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Risk cause and context Overall Overall Overall Overall measures. Planned action(s) Date / in place
LBHF RBKC WCC 5 4 20 4 4 16 4 4 4 16 0 3 3 9 New risk
Public Service Code of Connection access risk. 9 Management controls Comments
An audit of the Council's network flagged non- Ben Goward, Shared Intranet message communication to all staff via KCnet requesting staff to delete illicit software. Reference to Internal Public Service Code of Connection November standard, possibly non-work related software Services Interim Valerie Behmehrize contact Officer for RBKC compliance work. Audit report health check Action Plan. 2016 as a security issue. As a result, the Council is Chief Information The three Councils are working towards obtaining certification, a healthcheck has been undertaken and actions identified which are being worked unable to submit its Public Services Network Officer Royal on. (PSN) Code of Connection. This means that Borough of we may be denied access to Government Kensington and systems, such as the Department of Work and Chelsea and Pensions, Customer Information System, which Westminster City would severely impact our vulnerable residents Council who depend on, for example, benefits payments.
LBHF RBKC WCC 5 4 20 0 20 4 4 16 -16 3 3 9 New risk
Office 365 implementation 10 Management controls Comments
Inability to access Outlook, Excel, Word or Howell Huws, LBHF Office365 Programme Board, Risk Register 31st October 2016 Entered by Corporate Risk Manager November other Office 365 products. The expectation was Head of Contracts Documents on the front page of the LBHF intranet. Incident LBHF 16_11_01 2016 that this work would complete before the and Operations • Logging into desktop and launching O365 Office 365 Migration Guide transition of ICT services from HFBP to multiple • O365 FAQs Office 365 Frequently Asked Questions providers, in practice several delays have • Common problems Office 365 Top 6 Issues and Fixes; occurred due to the complexity of the work and To ensure continuity and enable the smooth completion of the project, the council proposes to extend the current project arrangements for project the relatively untested nature of these cloud management and Exchange configuration work. Losing these key resource now could have a major impact on the successful achievement of the services from Microsoft. It is estimated that objectives of the Office 365 implementation. This is because continuity of supply, understanding of the aims and objectives of the programme and between two and three months low-level work excellent relationships with the suppliers and key stakeholders mitigate some critical risks. remain to be completed, primarily focused on migrating the council’s email archive.
LBHF RBKC WCC 5 4 20 0 20 4 4 16 -16 3 3 9
Contact Centre Call Handling 11 Management controls Comments RISK CLOSED
New Contact Centre arrangements capacity to Veronica Barella, The quickest way to raise an Incident is through Self Service Supportworks. 31st October 2016 Entered by Corporate Risk Manager November handle calls in a significant event eg. Office LBHF Interim Chief Incident LBHF 16_11_01 2016 365 failure. Information Officer You can use this link to access Self Service Supportworks or use the icon in the ‘Applications’ folder on your desktop - it’s called ‘Self Service Supportworks’. You may see a message about an expired login but just click Login to continue.
Page 5 APPENDIX 3 INFORMATION AND COMMUNICATIONS TECHNOLOGY SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Risk cause and context Overall Overall Overall Overall measures. Planned action(s) Date / in place
LBHF RBKC WCC 5 4 20 0 20 4 4 16 -16 3 3 9 New risk
Public Services Network CoCo certification project. 12 Management controls Comments Some key officers delivering business critical Ciara Shimidzu, Cabinet Member to approve the direct procurement from Agilisys to cover H&F’s immediate resource requirements ensuring service continuity and To not recruit these Entered by Corporate Risk Manager November “in flight” projects, managing the project LBHF Head of resilience between H&F ICT and the service areas as these are the key staff who are providing continuity and supporting where ICT has gaps post- officers will jeopardise 16_11_01 2016 pipeline and strategic relationship with the Information, Strategy TUPE transfer. The procurement is to be funded by the H&F ICT budget. H&F’s PSN CoCo service areas are not moving as they have and Projects It is proposed to recruit two Agilisys contractors who are currently employed by HFBP and are delivering business critical services to the council. certification project, the Three Councils working towards taken up jobs with Agilisys, resulting in gaps in One contractor will be recruited for 20 working days and the other will be recruited for 30 working days. strategic relationships and obtaining a PSN certifcate in January service provision. trust with the service 2017. Project Manager co-ordinating During this time, permanent recruitment to vacant roles will take place and provide a more cost efficient and robust service moving forward. Given areas risking non- the activities. Government bodies who use Public Services the number of vacant roles moving across to the council, this short term proposal is affordable. engagement with the new Networkto share information may decide to IT healthcheck undertaken by each council. Actions then identified and captured which need to be resolved before submission of the application. sovereign ICT service and stop access to their data or to prevent access its effective establishment to datasets that the Council may benefit from. within the council
LBHF RBKC WCC 5 4 20 0 20 4 4 16 -16 3 3 9 New risk
ICT transition data centre project management. 13 Management controls Comments
It is vital that a key resource is recruited to Jackie Hudson, That approval be given for the procurement of a six-month engagement of a senior, highly-skilled and knowledgeable ICT resource from an This is key role where Entered by Corporate Risk Manager November deliver the data centre migration from a client LBHF ICT Transition external specialist agency, Penna. ultimately permanent 16_11_01 2016 perspective. If an immediate appointment of a Director member of staff should senior highly-skilled data centre project That approval is granted in this instance to waive the requirement of Contract Standing Orders to seek competitive quotations to achieve the complete the delivery and manager cannot be made then -this could have required continuity of service and assure the savings the council requires. ensure knowledge transfer a major impact on the successful transition between this and a programme to the extent that the predicted resource within the in- savings on this element which are house team. considerable, may not be realised
LBHF RBKC WCC 5 4 20 0 20 3 4 12 -12 3 3 9
ICTnetwork Infrastructure Transition 14 Management controls Comments RISK CLOSED
Keith Newman Infrastructure changes planned between 7am and 11.59pm on Saturday 26 November all RBKC hosted IT systems will be down. Entered by Corporate Risk Manager November ICT Infrastructure Change Control Board have considered the changes and an assessment has been made that there should be minimal impact on the London 16_11_01 2016 Manager, Royal Borough of Hammersmith and Fulham. Borough of Kensington and Chelsea
Page 6 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 3 LIBRARIES SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Date / in Risk cause and context Overall Overall Overall Overall measures. Planned action(s) place
LBHF RBKC WCC 4 4 16 4 4 16 0 3 3 9 7 1 1 1 Comments Failure to agree shared services approach to medium term 1 financial challenge and continued development of shared Management controls services. (Libraries delivery models programme), 3B Mike Clarke Tri- Developing change proposals in an iterative and consulted way; programme management arrangements to be reviewed/support garnered; Member The three boroughs are Monthly monitoring at Project Board. October arrangements do not develop or are terminated borough Director of engagement adopting the same 2016 Libraries and approach to cost savings Archives and retaining the service in-house.
LBHF RBKC WCC 4 5 20 3 4 12 0 3 4 12 0 1 1 1 Comments Failure to deliver three year savings programmes. 2 Management controls Failure to deliver savings or under-achieve Mike Clarke Tri- Medium term planning through corporate processes and Senior Management Team. Monthly monitoring by service and finance 2016/17 savings Approval of proposals for yearly October income borough Director of identified. Challenge to reductions; development of alternative 2016 Libraries and find 2018/19 savings still models Archives, Tim to be identified. Hampton Finance Manager
LBHF RBKC WCC 4 3 12 3 3 9 0 3 3 9 0 2 2 4 Comments Increased risk to library staff from increasing Anti Social 3 Behaviour issues in libraries Management controls Public order, customer and staff safety, risk to Mike Clarke Tri- Weekly updates at Senior Management Team. Additional security where required e.g. Paddington and Chelsea. AIRS On-line incident reporting in Enhanced liaison with police and October Council property and reputation borough Director of use, but no reports yet seen. Training in dealing with violence and aggression. community safety 2016 Libraries and Archives
Page 1 APPENDIX 3 LIBRARIES SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Date / in Risk cause and context Overall Overall Overall Overall measures. Planned action(s) place
* Risk 4 is a sovereign LBHF risk.
LBHF RBKC WCC 3 5 15 3 4 12 0 3 4 12 0 2 2 4 Comments
Roof leaks at Hammersmith library damaging refurbished interior 4 and stock Management controls
Reputational risk, operational costs Chris Lloyd, Hammersmith library refurbishment project. Project funding has been approved and work has started. Works to the rainwater goods and the roof will Repairs are on course to Monthly monitoring at Senior October Community be completed before the Winter weather sets in. be delivered before the Management Team. Monthly meetings 2016 Development start of winter 2016. with AMEY and the contractor. Manager
LBHF RBKC WCC 4 4 16 4 4 16 0 4 4 16 0 2 2 4 Comments Manage income generating decline (libraries) 5 Management controls
Financial risk Mike Clarke Tri- New income streams are being developed but progress is slow and have yet to demonstrate their potential. Monthly forecasting and Explore other sources of income. Right October borough Director of medium term financial size as part of alternative models of 2016 Libraries and planning delivery Archives, Tim Hampton, Finance Manager
LBHF RBKC WCC 4 4 16 3 4 12 0 4 4 16 -4 2 2 4 Comments Planned North Kensington library becomes challenging/contested 6 Management controls
Issac Newton programme Chris Lloyd Following events in Q2 this has increased in likelihood. Additional mitigations are being put in place including and enhanced consultation and there Monthly at policy board. Ensure community and Ward Member October Community was a high level of engagement with the first consultation. Focus groups have been planned with residents. Quarterly at corporate briefings and engagement are timely 2016 Development property programme and appropriate Manager board
Page 2 APPENDIX 3 LIBRARIES SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Date / in Risk cause and context Overall Overall Overall Overall measures. Planned action(s) place
LBHF RBKC WCC 2 4 8 0 12 2 4 8 New 2 2 4 Comments Archives computer database - if licensing and management through LBHF transition not resolved access may cease. 7 Management controls
Access to the catalogue wi;; fall over. Mary Enright, Tri- Financial monitoring and review Chief risk now as if Raise new work order with new IT November borough Reference, installation costs are high support team. 2016 Information and Archives Manager, Libraries and Culture Director's Office
LBHF RBKC WCC 4 4 16 3 3 9 0 2 3 6 3 2 2 4 Comments Lack of reliable information due to the implementation of Agresso leads to risk of inaccurate decision making and poor financial 8 Management controls performance.
Financial risk Kim Marshall, Situation improving but still requires monitoring. Monthly financial Analysis of areas not effectively October Strategic Finance monitoring covered by current financial processes 2016 Manager - tr- borough libraries, Tim Hampton, Finance Manager
LBHF RBKC WCC 4 4 16 3 4 12 0 4 4 16 -4 2 2 4 Comments Failure to achieve registrars increased income targets. 9 Management controls
Financial risk, Budgets not balanced. Failure to Christine Junor- Programme Board and monthly review by service and finance. This item will be removed and transferred to WCC Risk Register in Q3. Resolved issues with New cost recovcery fees and charges October achieve registrars increased income targets. Sheppard, Head of Agresso forecasting - now to be introduced January 2017. 2016 Registration Service, accurate assessment of Portland Hospital birth registration Tim Hampton income. Assessed viability service still being pursued. Finance Manager of fees and charges covering the cost of the service.
Page 3 APPENDIX 3 LIBRARIES SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Date / in Risk cause and context Overall Overall Overall Overall measures. Planned action(s) place
LBHF RBKC WCC 3 3 9 3 3 9 0 3 3 9 0 2 2 4 Comments
Failure to deliver solution for borough archives storage 10 Management controls
Reputational risk, and operational costs. Mary Enright, Tri- Close to finalising new lease with landlord; still essential for LBHF Property to get partner buy-in to ensure satisfactory rental share. Estimated rent Progress has been slow Monitor throughout November, with October borough Reference, £3,000 above budget; no shortfall this year but potentially next year. but in the right direction for aim to remove from Risk Register in 2016 Information and our service. December. Archives Manager.
LBHF RBKC WCC 4 3 12 3 3 9 0 4 3 12 -3 2 2 4 Comments
Manage change in demand for nationality services (registrars). 11 Management controls
Financial risk Christie Junior- Monitoring - but this is determined by government policy and not directly within WCC's control. Additional risk as a result of Brexit (exact implications Still difficult to assess October Sheppard, Head of unknown), This item will be removed and transferred to WCC Risk Register in Q3. impact of Brexit, but clear 2016 Registration Service. regulations on citizenship getting tighter which is likely to impact demand at some point in future.
Page 4 APPENDIX 3 LIBRARIES SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Date / in Risk cause and context Overall Overall Overall Overall measures. Planned action(s) place
LBHF RBKC WCC 5 4 20 4 4 16 0 5 4 20 -4 2 2 4 Comments
Failure to deliver new Marylebone library. 11 Management controls
Reputational and financial risks Tony Rice, Luxborough project (library element) cancelled and a new permanent reprovision is being sought at Seymour. Cost and space as yet not confirmed. Ensure library requirements are October Operations Manager, In the interim the library will need to vacate the current in premises Beaumont Street and arrangements are in place to move to a smaller temporary appropriate within scheme. Work 2016 Tri-borough location in nearby New Cavendish Street. collaboratively with City West Homes Operations and developer.
LBHF RBKC WCC 3 5 15 3 3 9 0 3 4 12 -3 2 2 4 Comments
Failure to deliver savings for the WCC Digital Programme. 12 Management controls
Page 5 APPENDIX 3 LIBRARIES SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Date / in Risk cause and context Overall Overall Overall Overall measures. Planned action(s) place
Chris Lloyd, Luxborough project (library element) cancelled and a new permanent reprovision is being sought at Seymour. Cost and space as yet not confirmed. Senior Management Team October Community In the interim the library will need to vacate the current in premises Beaumont Street and arrangements are in place to move to a smaller temporary to make case if final £55k 2016 Development location in nearby New Cavendish Street. not achievable in 2016/17 Manager
Key to Risk Rating Score 16-25 RED - High risk - immediate management action required. Score 11-15 AMBER - Medium risk, review controls. Score 1-10 GREEN- Low risk, monitor and if the risk escalates check controls.
Page 6 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 3 PLANNING AND BOROUGH DEVELOPMENT SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Date / in Risk cause and context Overall Overall Overall Overall measures. Planned action(s) place
PLANNING AND BOROUGH DEVELOPMENT
LBHF RBKC WCC 5 4 20 5 4 20 0 5 4 20 0 3 3 9
Land Charges Income 1 Management controls Comments Risk of a slow down in the housing market Jago Williams, Head Income to be closely monitored with expenditure controls in place to mitigate any potential income reduction. The housing market is October resulting in land charges income targets not of Support and volatile with Central 2016 being met. Systems London having its own housing market profile. In addition government intervention with changes to stamp duty can affect level of demand.
LBHF RBKC WCC 5 4 20 3 3 9 11 3 3 9 0 2 2 4
Personal searches legal claims 2 Management controls Comments Risk of further legal costs incurred due to Jago Williams, Head Working with the Local Government Association to ensure all legal measures are taken to minimise exposure to the council. Environmental Information October previous charging regime for personal searches. of Support and Regulations/ Cost 2016 Systems recovery has not been settled as a matter of public policy. Recent court judgement is still being assessed.
LBHF RBKC WCC 5 4 20 5 4 20 0 5 4 20 0 3 3 9
Financial Burden regarding Local Land Charges 1 transfer. 3 Management controls Comments
Financial burdens imposed on the council in Jago Williams, Head Active participation in Land Registry programme and liaison with other councils through the Local Government Association to ensure formulised National programmer October supporting Local Land Charges 1 not of Support and burdens regime is adequate in compensating the council regarding Local Land Charges 1. requires collaborative 2016 adequately covered by the Land Registry. Systems approach with other Local Authorities and the Land Registry to deliver suitable burdens regime.
Page 1 APPENDIX 3 PLANNING AND BOROUGH DEVELOPMENT SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Date / in Risk cause and context Overall Overall Overall Overall measures. Planned action(s) place
LBHF RBKC WCC 4 4 16 4 4 16 0 4 4 16 0 3 3 9
Staff recruitment and retention difficulties. 4 Management controls Comments
Risk of not being able to retain or recruit Graham Stallwood, Structured staff training and development programme, promotion of the council as a place to work through professional institute involvement, Private Sector expanding Skills audit project and consideration October sufficient skilled staff such that core services Executive Director of consideration of graduate scheme and external recognition, focus on making the council a great place to work and develop. and differential between being given to structured approach. 2016 cannot be delivered to the expected standard. Planning and private and public sector Borough pay growing. Need to Development. focus on what we can offer which is different.
LBHF RBKC WCC 5 5 25 4 4 16 9 4 4 16 0 4 3 12
Drop in planning income. 5 Management controls Comments
Risk of fee income for planning services Beverley Kuchar, Regular reviews of fee income levels by Senior Management Team, review of nature of current workload to identify where fee income drop most likely Amount/type of October dropping below budget targets such that it Development to occur, forward service planning to limit impacts of income reduction, continued emphasis on use of pre-application service, investigate other sources applications being made 2016 impacts on overall budget levels for department Management and of income. affected by external and expenditure. Conservation. factors and there is limited ability to influence likelihood of this occurring. Focus on being prepared to deal with impacts.
LBHF RBKC WCC 2 5 10 2 5 10 0 2 5 10 0 1 4 4
Upto date Local Plan is not in place by 2017. 6 Management controls Comments
Risk of losing plan-making powers in Local Plan Johnathon Wade, Ongoing monitoring of government announcements. Ongoing monitoring of London Plan. Work Programme in place for Local Plan Partial Review to The Borough's Local Development Scheme which October not in place by 2017, meaning government will Head of Forward ensure 2017 adoption of new policies. Consolidated Local Plan gives formal timetable of policy 2016 take over the work and impose a solution. Planning and London Plan are development. Precise details and timescales to be confirmed largely up to date with key by government. reviews only in certain areas.
Page 2 APPENDIX 3 PLANNING AND BOROUGH DEVELOPMENT SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Date / in Risk cause and context Overall Overall Overall Overall measures. Planned action(s) place
LBHF RBKC WCC 3 5 15 2 5 10 5 2 5 10 0 1 4 4
Poor appeals performance leading to department being in special 7 Management controls Comments measures. Risk of being placed in special measures by the Beverley Kuchar Ongoing monitoring of appeal decisions to stop any trends which can help to improve performance; monitoring of major cases by management team to Managing and monitoring Monthly reports on appeals October department of Communities and Local Head of ensure decisions are well-made. Ensuring Planning Committee is aware of lessons learned on lost major appeals. cases can reduce the performance. 2016. Government and losing some decision making Development likelihood of this occurring powers if appeals performance falls below 20% Management and although the impact of it of the decisions on major applications being Conservation cannot be reduced. overturned on appeal.
LBHF RBKC WCC 3 5 15 2 5 10 5 2 5 10 0 2 3 6
Deregulation leading to reduced ability to manage development in 8 the area. Management controls Comments
Deregulation is meaning more can be done Johnathon Wade, Proactive response to Government consultations identifying early threats to weakening of policies that are important in RBKC. Identify the risk and take Early identification of Early identification of Government October without planning permission and the council had Head of Forward appropriate action - if severe then an Article 4 Direction may be justified. Communication with residents and Councillors to make them aware of the potential risks will be consultations/announcements followed 2016. less ability to influence development in the area. Planning changing context. required to ensure that the by prompt action. necessary safeguards can be put in place as soon as possible. Early scanning of the horizon.
October 2016 Key to Risk Rating Score 16-25 RED - High risk - immediate management action required. Score 11-15 AMBER - Medium risk, review controls. Score 1-10 GREEN- Low risk, monitor and if the risk escalates check controls.
Page 3 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 3 PROPERTY SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Date / in Risk cause and context Overall Overall Overall Overall measures. Planned action(s) place
PROPERTY SERVICES
LBHF RBKC WCC 4 4 16 2 4 8 0 2 4 8 0 2 2 4
There is a risk that projects experience delays in reaching financial close prior to the 2nd stage appointment of a Design and 1 Build contractor, negatively impacting the delivery of the projects Management controls Comments to programme.
Capital Programme. Adam Srodzinski We continue to monitor the performance of the 'Improvement and Efficiency South East' framework and alternative procurement routes. We are We are reviewing our procurement October Capital Programme allowing sufficient time within our programmes for negotiations to reach financial close. strategy for contractor appointments 2016 Manager on future and current projects by investigating the use of a number of contractor frameworks.
LBHF RBKC WCC 4 4 16 2 4 8 0 2 4 8 0 2 2 4
There is a risk that public declaration of the total project budget within Cabinet Report raises expectation and aspirations of 2 contractor Management controls Comments
Capital Programme. Adam Srodzinski To ensure competition and value is maintained in tendering we are publishing the total project budget within Part B only and declaring only the Contract Values over the OJEU October Capital Programme contruction budget within the public doument Part A, excluding fees and contingencies. threshold are reported via the OJEU 2016 Manager portal anyway, so construction values are not subject to confidentiality
LBHF RBKC WCC 3 3 9 2 3 6 0 2 3 6 0 2 2 4
There is a risk that start on site dates are being pushed back due to an elongated Planning consideration period. This affects the start and subsequent completion dates and may have an overall 3 effect on stakeholder expectations and project delivery. Management controls Comments
Capital Programme. Adam Srodzinski We review and compile our programmes on all future projects to allow suitable time for the planning approval process. The length of time required for Early conversations with the Planning October Capital Programme pre-application consultation and communication, meeting slots for Planning Committees and discharging pre-start conditions can take up to nine Department are always helpful to 2016 Manager months. understand the planning implications of a project. Monthly meetings between the Head of Capital Projects and Planning are undertaken to discuss key projects, issues that require urgent attention and to discuss future projects/resources.
Page 1 APPENDIX 3 PROPERTY SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Date / in Risk cause and context Overall Overall Overall Overall measures. Planned action(s) place
LBHF RBKC WCC 4 5 20 2 4 8 0 2 4 8 0 2 2 4
Delayed completion causing slippage to occupation dates. 4 Management controls Comments
Capital Programme. Adam Srodzinski We have established and documented handover protocols in place to ensure we allow sufficeint time between practical completion and occupation We conttinue to review the process as October Capital Programme date. Where possible we reschedule occupation to allow full completion so that the infrastructure is fully tested and commissioned. part of the regular review of the Project 2016 Manager Manager manual and are currently finalising a softlanding protocol which will look to instigate a much longer and
LBHF RBKC WCC 5 5 25 2 3 6 0 2 3 6 0 2 2 4
Not all parties potentially understand or interpret a contract in the same way, thus the contract does not work as intended, 5 particularly around both Amey and LINK restructures. Management controls Comments
Total Facilities Management. Debbie Morris, Head New structures in place both within Amey and LINK. Due to high turnover with Amey, contract specific induction pack being put in place. This will be a continual risk Clearly document contract October of Tri-borough due to high turnover of requirements and any changes. 2016 Facilities staff within Amey Induction training to form part of Management. routine for new starters.
LBHF RBKC WCC 4 5 20 2 4 8 0 2 4 8 0 2 2 4
Tasks may not be completed in compliance with the contract or 6 may be missed. Management controls Comments
Total Facilities Management. Debbie Morris, Head Complete contract review has been undertaken and any shortfalls recorded to ensure solutions are implemented. Amey and LINK views aligned. Programme for completion October of Tri-borough Programme to implement in place. being managed. This also 2016 Facilities now forms part of the new Management. KPI's to be implemented Jan 17
Page 2 APPENDIX 3 PROPERTY SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Date / in Risk cause and context Overall Overall Overall Overall measures. Planned action(s) place
LBHF RBKC WCC 5 5 25 3 4 12 -4 3 4 12 0 1 4 4
There is a risk that the estate may not be statutory compliant.
7 Management controls Comments
Total Facilities Management. Debbie Morris, Head New Amey system in place and, with LINK having access to this system, precise audits can be undertaken. Monthly audits also being completed at There is a risk that New monitoring regime in place from October of Tri-borough random sites. Amey acknowledged LINK socres in August and all statutory compliance not completed at this date will by undertaken by end Oct improved monitoring July 16, with Key Performance 2016 Facilities 2016. This has been raised to CEO level and via SSB. regime by LINK will reveal Indicators being reviewed generally for Management. reduced compliance that implementation in October 16 will then need to be rectified by Amey
LBHF RBKC WCC 5 5 25 5 5 25 -16 4 5 20 5 2 3 6
Perception of the service by customers is negative due to tasks not being completed in a timely fashion or communications not 8 being clear. Management controls Comments
Total Facilities Management. Debbie Morris, Head Improved Communications to be implemented both by LINK and Amey. LINK have recruited a Communications Manager on a fixed term basis who There is a requirement for Communications strategy currently October of Tri-borough will oversee a Customer Service Excellence programme which will ensure ALL LINK/Amey personnel are trained in customer service. This includes champions to be recruited being written which will be used by 2016 Facilities clearer and frequent communication to ensure the programme both Amey and LINK. Completion of Management. is not only rolled out but re- strategic element will be by October 16 inforced for roll out thereafter
Page 3 APPENDIX 3 PROPERTY SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Date / in Risk cause and context Overall Overall Overall Overall measures. Planned action(s) place
LBHF RBKC WCC 4 5 20 4 3 12 0 4 3 12 0 2 2 4
There is a risk that a lack of stakeholder engagement will impact reviews, causing issues during the review and in gaining 9 acceptance of recommendations. Management controls Comments
Asset Management. Paul McCarthy, Clear communications to stakeholders of the aims, objectives and findings of the review. Buy in is required for October Strategic Property strategy from the business 2016 Asset Manager. group and other stakeholders after findings.
LBHF RBKC WCC 4 5 20 4 3 12 0 4 3 12 0 2 2 4
There is a risk in implementing actions and outcomes from asset reviews when they have not been approved. 10 Management controls Comments
Asset Management. Paul McCarthy, We continue to work closely with the business groups to develop and agree scope and briefs, where necessary. We continue to drive approved October Strategic Property options forward to ensure implementation. 2016 Asset Manager.
Page 4 APPENDIX 3 PROPERTY SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Date / in Risk cause and context Overall Overall Overall Overall measures. Planned action(s) place
LBHF RBKC WCC 4 5 20 4 3 12 0 4 3 12 0 2 2 4
There is a risk in implementing actions and outcomes from asset reviews when they have not been approved. 11 Management controls Comments
Investment and Development Team. Mark Grant, Head of We are seeking copies of all relevant compliance documents and follow up any shortfalls. We have started preparing information on existing October Investment and documentation and putting in place plans to collect the remainder. This is ongoing. 2016 Development.
LBHF RBKC WCC 4 5 20 4 3 12 0 4 3 12 0 2 2 4
Risk of staff resources being diverted to manage and monitor services provided by Managed Services 12 Management controls Comments
Staff resources reduced for areas related Sue Seal, Executive Individual staff monitoring payments and income manually on behalf of departmental teams. Some risk reduction From November 2016, working with October specifically to service delivery Support Working with RBKC Finance to address financial issues. associated with in house Mary Lamont, RBKC/BT Business 2016 All issues being reported to BT with urgent issues being escalated to supervisors. arrangements in place Partner to improve service delivery
Page 5 APPENDIX 3 PROPERTY SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Management comments on Date / in Risk cause and context Overall Overall Overall Overall measures. Planned action(s) place
LBHF RBKC WCC 4 5 20 1 1 1 11 1 1 1 0 2 2 4
Risk of service delivery if Council's decision-making process not 13 followed Management controls Comments
Not following the decision-making process as Sue Seal, Executive In-house governance team (which meets weekly) manages the Council’s decision-making process on behalf of the department Risk effectively managed Carry out Service Impact Risk October set out in The Constitution resulting in lack of Support Monthly in-house audit of all decisions through current controls Assessment 2016 transparency availability and format of certain Decision making process induction for all new staff. and real-time adjustments data will prevent original and new opportunities All decisions include legal and finance consultation. as required to analyse public spending and management of Weekly Cabinet Member Property Policy Board reviews draft Key and Cabinet decisions. public assets
Key to Risk Rating Score 16-25 RED - High risk - immediate management action required. Score 11-15 AMBER - Medium risk, review controls. Score 1-10 GREEN- Low risk, monitor and if the risk escalates check controls.
Page 6 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 3 PUBLIC HEALTH SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Residual risk assessment: Quarter 3 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Impact Management comments on Date / in Risk cause and context Overall Overall Overall Overall Overall measures. Planned action(s) place
PUBLIC HEALTH
LBHF RBKC WCC 4 5 20 3 4 12 0 3 3 9 3 3 3 9 0 3 3 9
Public Health Grant reductions and removal of the ring-fence. 1 Management controls Comments
Health outcomes will be impaired by the Dr Mike Robinson, PH Finance Business partners continue to undertake scenario planning and prepare various budget proposals about future reductions that the Public Heath Grant will be subject to an average A task and finish group Review of commissioning, contracts October reduction of the Public Health Grant reductions Director of Public 3.0% reduction (in real terms) over the next 5 years. has been set up to review and procurement programmes to 2016 and Public Health's ability to deliver against the Health The announced in-year reduction to the grant of 6.2% has been met. current and future years identify where efficiencies can be Councils medium term plans. potential grant allocation achieved for future year. Senior and budget commitments Leadership Team to review the risk in in reducing grant context, the next Quarter. with a view to aligning spend to the Public Health vision for the Councils.
LBHF RBKC WCC 3 5 15 3 4 12 0 3 4 12 0 3 4 12 0 3 3 9
Consequences of reprocurement and the procurement process. 2 Management controls Comments
Limited competition in the marketplace may Dr Mike Robinson, Stimulate the market through stakeholder and market development events. Could destabilise service Senior Leadership Team to review the October adversely affect PH procurement outcomes Director of Public Develop service contingency plans. delivery. This has wider risk in the next Quarter. 2016 Health Horizon scanning. implications to across the Councils and wider unrelated services.
LBHF RBKC WCC 3 5 15 3 4 12 0 3 4 12 0 3 4 12 0 3 3 9
Clinical Governance 3 Management controls Comments
Adequate assurances are required of our Gaynor Driscoll A Public Health Clinical Governance Statement for Providers is being developed. A consequence of this risk Senior Leadership Team to review the October providers and their clinical governance (Head of Substance Staff to be provided with clinical governance guidelines. is that there could be a risk in the next Quarter. 2016 processes. Misuse Service) Clinical Governance monitoring mechanisms being put in place. lack of focus on clinical Cynthia Folarin Lydie safety and quality. Dalton (Interim Public Health
Page 1 APPENDIX 3 PUBLIC HEALTH SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Residual risk assessment: Quarter 3 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Impact Management comments on Date / in Risk cause and context Overall Overall Overall Overall Overall measures. Planned action(s) place
LBHF RBKC WCC 3 4 12 3 3 9 NEW 3 4 12 -3 3 4 12 0 3 3 9
Public Health Restructure 4 Management controls Comments
The uncertainty about the direction of Public Dr Mike Robinson, The Public Health operating model is currently being reviewed by the Director of Public Health, with a view to a revised model being announced in July. Previous risk, recruitment Senior Leadership Team to review the October Health and the instability in Public Health Director of Public Team events have been planned to engage staff and take them through the next steps for the service. and retention deleted and risk in the next Quarter. 2016 Teams affects the delivery of key outputs. Health Preliminary consultation with staff; Managers are attending Leadership workshops; one to one discussions with staff as part of annual appraisal. replaced with this new Agency staff being used to help with recruitment/retention and to cover gaps in the workforce. risk.
LBHF RBKC WCC 3 4 12 3 3 9 NEW 3 4 12 -3 3 4 12 0 3 3 9
Information Governance 5 Management controls Comments
Weaknesses in or Information Governance Radhike Dube, Head Information governance Infrastructure to be strengthened. Loss of personal Senior Leadership Team to review the October structures could result in data breaches or of Operations, Public Public Health staff to work with Shared Service Information Governance and Caldicott Support Manager to develop and implement and Information Governance Action Plan for Public Health. information could result in risk in the next Quarter. 2016 accidental loss of key information. Health Staff guidance to be developed and circulated. reputational damage for Completion of Information Governance induction training by new starters and Information Governance refresher training by other staff to be monitored. Public Health and possibly Public Health to co-ordinate its Information Governance activities and assessment reporting with Corporate Westminster City Council and Shared Services Information Governance Steering financial penalties being Groups. imposed by the Information Commissioner.
LBHF RBKC WCC 3 4 12 3 3 9 NEW 3 4 12 -3 3 4 12 0 3 3 9
Corporate Procurement support to Public Health 6 Management controls Comments
The loss, since June 2016, of an embedded Dr Mike Robinson, Public Health procurement skills gap to be documented and reported to the Senior Management Team. Some limited corporate Senior Leadership Team to review the October corporate procurement resource could have an Director of Public Public Health procurement expertise to be considered as part of the forthcoming Public Health Restucture. procurement support may risk in the next Quarter. 2016 adverse effect on Public Health's procurement Health Consequences of the loss of Public Health procurement expertise to be established and kept under review by the Senior Management Team. be available to Substance and contract development activities going Misuse/Offender Health forward. Public Health Service area.
LBHF RBKC WCC 3 4 12 3 3 9 NEW 3 4 12 -3 3 4 12 0 3 3 9
Public Health Investment in other Council departments 7 Management controls Comments
Use of the Public Health Grant to fund activities Dr Mike Robinson, Senior Managers or their delegates from each of the directorates receiving the funding are required to attend regular meetings to review progress and discuss other opportunities for council Regular project review Senior Leadership Team to review the October not traditionally considered as Public Health Director of Public services to collaborate to improve Public Health outcomes for residents. meetings are being held. risk in the next Quarter. 2016 services could result in outcomes not being Health achieved cost-effectively These meetings to be chaired by the Cabinet Member for Adult Social Care and Health (or their delegate), attended by other Cabinet leads as appropriate, and will be informed by a simple reportoutlining activities, outputs and any evidence on outcomes.
Public Health to work with receiving directorates to agree performance metrics and evaluation measures for these meetings.
Page 2 APPENDIX 3 PUBLIC HEALTH SERVICES RISK REGISTER DASHBOARD Review date 27/01/2017 Residual risk assessment: Quarter 1 Residual risk assessment: Quarter 2 Residual risk assessment: Quarter 3 Reducing the risk RISK Inherent risk assessment: Target risk: 2016 2017 2016 2017 2016 2017
Score Key RED - High and very high risk - immediate 16-25 management action required AMBER - Medium risk - review of controls 11-15
GREEN - Low risk - monitor and if 6-10 escalates quickly check controls YELLOW - Very low 1-5 risk - monitor periodically
Ref Assigned To Likelihood Likelihood DOT Likelihood DOT Likelihood DOT Likelihood Impact Impact Impact Impact Impact Management comments on Date / in Risk cause and context Overall Overall Overall Overall Overall measures. Planned action(s) place
Key to Risk Rating Score 16-25 RED - High risk - immediate management action required. Score 11-15 AMBER - Medium risk, review controls. Score 1-10 GREEN- Low risk, monitor and if the risk escalates check controls.
Page 3