44% 31% 6% 19% Corporate Risk Register. Appendix F

Transcription

1 Appndix F Corporat Rgistr Th following diagram highlights whr thos risks as dtrmind in th workshop prsntly sit within th hadings of stratgic, oprational, hazard and financial. Wast Managmnt Growth in population Public Hath Intgration & Statutory Rsponsibility Partnrships dlivry Wlfar and Bnfit Rform Programm Failur Loss of citizn goodwill % 1% Stratgic Oprational % 1% Hazard Financial Popl and capacity Oprating controls and Fraud Supply chain and catgory managmnt Information managmnt Poor contract managmnt Financial Rsilinc Poor asst managmnt Trasury PROBABILITY IMPACT SCORE 1 5 Ngligibl Minor Modrat Catastrophic 5 Almost Crtain Likly Unlikly Rar Commntary th chang from quartr to quartr has sn on risk incras du to announcmnts of th prfrrd biddr for NSCSO and th acknowldgmnt that this may b an unsttling tim for staff, in addition trasury managmnt has dcrasd du to satisfactory assuranc around th opration of controls for th Trasury Managmnt Stratgy. Thr has bn no risks movd off th corporat risk rgistr and th majority rmain stratgic risks that ar considrd long trm.

2 Popl thr may not b in plac th capacity within th council to dlivr th chang agnda, businss as usual and manag th transition to th nw corporat structur. Caus: timings of th corporat rstructur may man that th right popl ar not in plac to lad through th priod of chang and transition. Announcmnt of prfrrd biddr for NSCSO will b unsttling for staff. Consqunc: Businss as usual may suffr and impact on th customr xprinc or ovrall financial managmnt or corporat govrnanc. Wlfar and Bnfit Rform thr is a risk that govrnmnt policy may hav unintndd consquncs st in th widr contxt of srvic rductions and social chang. Liklihood that thr will b dirct oprational incrass from implmnting a nw systm, potntial for cost prssurs from cntral govrnmnt to local govrnmnt, and thr may b a transfr of costs from on council to anothr. Currnt Assssmnt Likly 1 1 Prvntativ: Rstructur Projct. Transition plans for moving to nw providr: Dvlop Organisational Dvlopmnt Stratgy Dtctiv: Prformanc Managmnt Framwork to idntify aras of concrn, in particular managing th businss indics Rgular Snior Managmnt Tam mtings for ach Dirctorat On Barnt Programm managmnt of mobilisation/transition plans for scalation to th. Prvntativ: Wlfar Rform Programm in plac to dtrmin impact and to dtrmin th dsign of th nw schm in plac to dlivr wlfar and bnfit rform. Dvlopmnt of Council Tax support schm - partnrship working to dtrmin Barnt public sctor rspons building on xisting forms such as community coachs and NEETs Consultation with th public. Dtctiv: Prformanc indicators Assuranc Trat Quartrly Modrat Trat Quartrly Modrat Targt Assssmnt Mdium

3 Caus: Cntral Govrnmnt has committd to a programm of wlfar rform, aiming to simplify th bnfits systms, crat th right incntivs to gt mor popl into work, protct th most vulnrabl, and dlivr fairnss to tax payrs and to thos claiming bnfits Currnt Assssmnt in plac to dtrmin impact on housing and social car dmand, NEETs Dvlopmnt of an implmntation plan to monitor Assuranc Targt Assssmnt Consqunc: potntial to ngativly affct thos conomically disadvantagd within th community. Financial Rsilinc givn th slow rcovry of th conomy thr is a risk of ky concrns ovr dlivring savings ovr th nxt fw yars and managing to dlivr srvics at th highst standards ovr such uncrtainty. Caus: furthr cuts to local govrnmnt funding in 01/1 and thr hav bn discussions of an additional Spnding Rviw possibly in th Autumn of 01/1. Consqunc: Erosion of financial rsrv position or non dlivry of ky srvics to th vulnrabl. Mdium 1 Prvntativ: Financial and Businss Planning cycl including risk assssmnts of saving plans Dtctiv: Budgt monitoring and financial managmnt standards bing adhrd to. Rcovry plans and altrnativ options rviwd in aras with ovrspnds. Valu for mony indicators in us across th businss. Monitoring dlivry of Mdium Trm Financial Stratgy Tolrat Quartrly Mdium 1

4 Trasury thr is a risk du to th potntial brak up of th Euro and associatd dfaults could lav banks around th world xposd to bad dbt. Th council will nd to nsur prudnt invstmnts ovr this priod to prvnt funds and associatd intrst bing at risk. Caus: Crditworthinss of banks continus to b a concrn du to global conomic uncrtainty and th Eurozon crisis Consqunc: Loss of funds if thr ar not adquat safguards in plac to rviw invstmnts. Failur to plan for population incras th borough is st to grow in population and thr is a risk that thr may not b nough social infrastructur (schools, oldr popl homs), physical and grn spacs, and affordabl housing availabl in lin with dmand. If th growth is not fd into sufficintly into plans thr is th risk that som dirctorats may not b abl to provid srvics to offst dmand prssurs in othr dirctorats. Caus: Population incras and Currnt Assssmnt Likly Mdium/ 1 1 Prvntativ: Approvd Trasury Managmnt Stratgy with appropriat sign off of dposits by snior managmnt. Dtctiv: Complianc chcks on application of stratgy, continual monitoring of dposits and proactiv assssmnt and amndmnt of lnding lists in light of changing circumstancs Annual intrnal audit rports gav satisfactory assuranc (Novmbr 01) Prvntativ: Dvlopmnt of Pupil Placd Planning Stratgy linkd ffctivly with th Rgnration Programm Dmand Managmnt, prvntion and intrvntion into troubld familis (Wav projcts) Dtctiv: Rgnration, prformanc indicators for nw homs, Invstmnt Appraisal for school xpansions Dvlopmnt of Programm Managmnt Capability within Rgnration. Tolrat Assuranc Quartrly Targt Assssmnt Trat Quartrly 1 1

5 popl living longr. Currnt Assssmnt Assuranc Targt Assssmnt Consqunc: Mor dmand for public srvics ovr a priod in dclining govrnmnt funding. Information Managmnt thr is a risk of non complianc with data protction lgislation and information scurity policis without practical rsponss to transfrring information btwn providrs and th council. Caus: Changs to th ways in which srvics ar providd rquir mor intrchang of information with xtrnal bodis. Consqunc: potntial information scurity or data protction brachs if policis ar not strictly complid with lading to rputational damag and potntial fins from ICO. Commrcial Rlationships thr is a risk that cntralisation and complianc work distracts focus from supply chain managmnt and catgory managmnt across th council for dlivry of ky savings Modrat Likly 1 Prvntativ: Information Managmnt Stratgy; E-larning packag on information managmnt Communication of policis and procdurs Dtctiv: Information Govrnanc providing ovrsight and dirction IM implmntation plan Dlivry Unit Govrnanc Groups in plac within srvics to monitor complianc within Adults and Childrn s Srvics (high risk aras) Effctiv programm managmnt in plac Data-flow analysis and rdfining standards by larning Prvntativ: mdium trm procurmnt stratgy Dlivry of Procurmnt Controls and Monitoring Action Plan to nsur complianc with basic procurmnt ruls satisfactory Trat Quartrly Modrat Trat Quartrly Modrat Unlikly Unlikly Mdiumlow

6 ovr th short to mdium trm. Caus: As th focus of procurmnt has bn complianc rsourcs hav not bn balancd in trms of dlivry of catgory managmnt and nsuring undrstanding of contract managmnt aftr th procurmnt xrcis. Consqunc: Failur to undrstand th data and to mak futur savings from bttr commrcial rlationships. Asst Managmnt thr is a risk that thr is not a common undrstanding of th currnt stat and siz of council and community ownd assts. Caus: thr has bn a lack of an intgratd Asst managmnt Systm du to a lack of data on proprly hld. Consqunc: Asst managmnt planning may not b wll intgratd within businss planning procsss lading to poor us of rsourcs. Currnt Assssmnt Modrat assuranc rcivd from intrnal audit in Novmbr 01 Dtctiv: Data for catgory spnd pr Dirctorat rviwd and actd upon Cntralisation of procurmnt spcialists to act as ky supplir rlationship managrs (SRMs) across th businss and mbdding of controls. Dvlopmnt of Commrcial Assuranc in nw organisational structur for April 01 Prvntativ: Asst Managmnt Stratgy dvlopmnt Dtctiv: Dvloping a list of council and community basd assts, including any complianc issus. Implmntation of Estats Stratgy Action Plan Establish corporat asst managmnt systm Assuranc Trat Quartrly Minor Targt Assssmnt

7 Wast Managmnt and Sustainability without considration of altrnativ ways of improving rcycling and changing bhaviours around sustainability thr is a risk that costs will scalat in th futur and dlivry of srvics at th currnt quality will not b possibl lading to dclining customr satisfaction. Caus: Growth and changs in govrnmnt rgulations and law rquir chang to wast managmnt and sustainability. Currnt Assssmnt Likly 1 Prvntativ: Stratgic Outlin Businss Cas for Strt Scn considring altrnativ ways of dlivry, progrssing for in-hous dlivry NWLA partnrship Dtctiv: Prformanc Indicators for rcycling and customr satisfaction. Wast Projct for ovrsight of dlivry of plan On Barnt Programm Managmnt Assuranc Trat Quartrly Targt Assssmnt 1 Consqunc: Incrasd costs du to pnaltis attractd whr minimum rcycling rats not achivd and whr rubbish snt to landfill. Without appropriat ownrship of rsponsibility for nvironmntal mattrs and asy accss to mthods of rcycling thr may b an advrs affct on th nvironmnt and standards of living. Halth Intgration local halth organisations and social car hav agrd to work on a singl intgration programm for commissioning and srvic chang Modrat Prvntativ: Stratgic Outlin Businss Cas for Halth and Social Car Intgration and invstmnt prioritis outlining commitmnt of NHS organisations Trat Quartrly Modrat Unlikly

8 from Octobr 01. Without clar vidnc that dmonstrats th masurabl rturn on invstmnt for intgration with social car and th timscal for bnfit ralisation, thr is a risk that partnr organisations may b unwilling to commit to support and invst in intgration projcts whr thy do not s a rapid and/or proportionat rturn on thir invstmnt for thir own organisation. Caus: Rsourcing constraints and ar xpctd to impact local NHS organisations that ar undrgoing major transitions now and during th nxt 1 months. Consqunc: Without appropriat partnrship commitmnt th opportunitis from intgration of halth and social car may not b ralisd such as th ability to improv th halth and wllbing of th Barnt community; and appropriat car and support to support and facilitat good outcoms; & improvd managmnt of dmographic chang Currnt Assssmnt and Barnt Council to provid rsourcs to support th dlivry of social car and halth intgration initiativs and th invstmnt of Sction 5 monis. NHS and Social Car intgration summit agrd th bnfits of a singl programm approach to intgration in th borough, July 01. Programm initiation Octobr 01 Dtctiv: Halth and Wll-Bing ovrsight Building local insight through th piloting and valuation of intgration initiativs prior to a larg scal commitmnt or longtrm invstmnt dcision. Also dfinition of bnfits masurmnt will b an ssntial componnt of intgration projct dvlopmnt and dlivry. Cration of concordat dtailing principls of ngagmnt, invstmnt and bnfits ralisation to b signd by all NHS and social car organisations in th programm. Programm managmnt approach through On Barnt to nsur that th mix of bnfits Assuranc Targt Assssmnt

9 Nw Public Halth Statutory Rsponsibilitis - Local Authoritis will hav a nw statutory rsponsibilitis for halth improvmnt, halth protction and th provision of public halth advic and information to local NHS Commissionrs from April 01 as part of th changs to th halth and social car systm nactd in th nw Halth and Social Car Act. Th nw rsponsibilitis will b fundd by a ring-fncd grant which will basd on historical actual outturn spnd and will not b confirmd by th Dpartmnt of Halth until Dcmbr 01. A projct is bing implmntd jointly with NHS NCL to prpar for th transfr of dsignatd public halth functions, contracts and staff to th Local Authority. Caus - Thr is a risk of insufficint funding and spcialist public halth staff rsourcs for th Currnt Assssmnt Likly 1 across th portfolio of projcts ar fairly distributd at programm lvl. Engagmnt and Communications workstram HR ngagmnt Prvntativ Barnt Council is sking to incras th capacity and capability of public halth staff and rsourcs, sprad financial and oprational risk and achiv conomis of scal through th stablishmnt of a shard spcialist Public Halth Srvic and singl Dirctor of Public Halth with Harrow Council. This will also opn up opportunitis for gratr public halth contract fficincis and scop for th joint commissioning of public halth providr srvics. Barnt Council has rprsntation on th London Councils forum and is lobbying for a fair funding sttlmnt through a rang of formal and informal channls including Dpartmnt of Halth, NCL Clustr, NHS London Public Halth Programm and th Local Govrnmnt Association. Dtctiv Joint NCL and Barnt Council Public Halth Transition Assuranc Trat Quartrly Modrat Targt Assssmnt Likly 1

10 Local Authority to discharg its statutory Public Halth rsponsibilitis. Thr is an idntifid 1.m shortfall btwn th xpctd funding rquirmnt and th likly public halth ringfncd grant allocation sttlmnt. Th historical lvl of invstmnt public halth in Barnt is substantially lowr than othr parts of London and is wll blow th national avrag. Consqunc Th Local Authority will b unabl to discharg its nw statutory public halth commitmnts and will hav insufficint rsourcs to fulfil its corporat local stratgic prioritis for public halth improvmnt and halth protction. Fraud thr is a risk that monis or assts may b fraudulntly gaind by individuals intrnal or xtrnal to th council ovr th priod of chang or austrity. Caus: In priods of austrity it is inhrnt in any organisation, particularly within govrnmnt agncis, that thy ar targtd by fraudstrs ithr xtrnal or intrnal. Currnt Assssmnt Minor including rprsntation from NCL Financ, Public Halth, Barnt CCG and th rgional Halth Protction Unit. Th Projct mts monthly. Dirct input into th prparation and validation of NCL Public Halth financial information. Rviw of monthly NCL public halth financial rporting during th transition yar (01/1).Mmorandum of Undrstanding with NCL Clustr to support th saf transfr of public halth functions to th Local Authority. Prvntativ work: fraud awarnss training dlivrd through -larning, appropriat dsign of control by managmnt to prvnt fraud. Dtrrnt: publication of any fraudstrs convictd and proscutd by th Council Dtctiv: Proactiv fraud plan in plac for 01-1 to idntify Tolrat Assuranc Quartrly Targt Assssmnt Minor

11 Consqunc: funds may fraudulntly lav th council and in th vnt that th fraud is not dtctd may not b rcovrd. Currnt Assssmnt waknsss in control to mitigat th risk of fraud; controls dsignd by managmnt to dtct fraud or rror within thir ky systms. Rgular rviw of fraud cass and considration of th application of controls. Assuranc Targt Assssmnt Failur to ngag proprly with Rsidnts. Caus: A full undrstanding of rsidnt s and thir involvmnt in thir communitis may not b rflctd in srvics approach to businss planning; or on building how rsidnts would lik to b involvd furthr in thir communitis. Consquncs: rputational damag and th potntial to mak policy that dos not rflct th nds of rsidnts Modrat Prvntativ: Financ and Businss Planning fding consultations into srvic dsign. Govrnanc: Constitutional Rviw will look at Public Participation and improvmnts. Social mdia altrnativ mthods of ngaging with rsidnts to b xplord through futur updats to th wbsit includd in phas. Dtctiv: Common undrstanding of th citizn ngagmnt within th Council through rviw of complaints data analysis and prior consultations. Prformanc indicators for customr satisfaction and customr car. Trat Quartrly Modrat Unlikly

12 Partnrships thr is a risk that our rlationships with ky partnrs with schools, NHS, polic may not work ffctivly to achiv joint outcoms for local popl. Caus: Immatur partnrship framwork that is yt to ndur a tst of th strngth of th rlationships. Currnt Assssmnt Modrat Prvntativ: Ovrarching Partnrship Stratgy. Partnrship Framwork Dtctiv: Partnrship Dlivry s monitoring dlivry of partnrship outcoms. Assuranc Trat Quartrly Modrat Targt Assssmnt Unlikly Mdiumlow Consqunc: without clar focus on outcoms partnrships want to achiv th bnfits of working collaborativly will not b ralisd and thr could b duplication of fforts or gaps in discharging statutory rsponsibilitis. As DRS movs towards final valuation and NSCSO prfrrd biddr mmbr dcision and mobilsation thr ar risks around th mobilisation priod with potntial for dlay and businss continuity ovr that tim. Caus: Th stag in th procurmnt procss rquirs capacity and ladrship to nsur smooth transition. 1 Prvntativ: Evaluation panls in plac for th assssmnt of final bids for DRS. Transition & Mobilisation plans in plac to mov to nw providrfor NSCSO and movmnt to nw organisational structur. Dtctiv: Transition in plac monitoring dlivry of plans, scalating issus as appropriat. Trat Wkly Modrat Consqunc: Businss as usual

13 may suffr or dlays occur if th procss is not controlld wll ovr th slction and mobilisation procss. Currnt Assssmnt Assuranc Targt Assssmnt Thr is a risk in th nw organisational structur that th Council may not hav th capacity to manag contracts ffctivly. Caus: chang in th modl for managmnt contracts post finalisation of major outsourcing of DRS and NSCSO srvics within scop. Consqunc: contract managrs may not b in plac and with sufficint knowldg of th nw working arrangmnts to nsur dlivry of Ky Prformanc Indicators from April onwards. Modrat Mdium Prvntativ: Appointmnt of contract managrs. Embdding cntral/dvolvd approach to contract managmnt Sufficint lad in priod until goliv of April 1. Dtctiv: Transition and Projct in plac monitoring rquirmnts of th nw organisation Nw Had of Commrcial in plac. Trat Monthly Minor Mdium