NORTH YORKSHIRECOUNTY COUNCIL

 

 

CORPORATE & PARTNERSHIPS OVERVIEW AND SCRUTINY COMMITTEE

 

 

19 April 2021

 

NYCC CORPORATE RISK REGISTER

 

Report of the Corporate Director – Strategic Resources

 

 

1.0      PURPOSE OF THE REPORT

 

1.1      To receive details of the updated Corporate Risk Register.

 

 

 

2.0      BACKGROUND

 

2.1      The Corporate Risk Register (CRR) is fully reviewed every year and updated by the Chief Executive and Management Board in September/October. A six monthly review is thencarried out in March/May.

 

2.2      Following the updates, the Audit Committee receive an annual report in December to review the CRR and assess the effectiveness ofthe Authority’s risk management arrangements, and progress onthe implementation of risk management throughout the Authority.

 

3.0      CORPORATE RISK REGISTER

 

3.1      An annual update of the Corporate Risk Register was carried out in November last year – see attached at Appendix A.  This involved reviewing the risks, risk controls, risk reductions and risk rankings that had been identified for each of the risks and making amendments to the Register where necessary.

 

3.2      Since the last report to this Committee in March 2020, 2 reviews and updates of the Corporate Risk Register have been carried out. There have been changes made at bothreviews – see attached at Appendix A.  The updates involved reviewing the risks, risk controls, risk reductions and risk rankings that had been identified for each ofthe risks and making amendments to the Register where necessary.

 

3.3      At the annual review in November, we also reviewed and revised the corporate financial impact thresholds/risk appetite of the Council.  In the present financial climate and Council’s landscape of activities it seemed appropriate to increase them. The financial thresholds/risk appetite have/has changed as follows:

           

            Previously                    Current

            Low                                 up to £2m      →     up to £3m     

            Medium                          up to £5m      →     up to £6m     

            High                                over £5m       →     over £6m

 

3.4      Although there is a slight delay in presenting the report to this Committee this year, the significant amendments that were made to the Register since March 2020 are asfollows:

 

3.5       New Risks

 

·            Recovery from the impact of the Coronavirus – this risk reflects the need to lead an effective recovery from the outbreak of Coronavirus in North Yorkshire.  It alsoreflects how to mitigate the adverse impact on the health and wellbeing of residents and staff, long-term damage to thelocal economy and financial position of the County Council, and inadequate arrangements for the education of children and young people.

 

·            Local Government Reorganisation – this risk looks at the local government reorganisation for North Yorkshire

 

3.6       Deleted Risks

 

·            Schools Funding Challenges – this risk remains atDirectorate level with appropriate factors being incorporated into the corporate Funding Challenges risk.

 

3.7       Significantly Changed Risks

 

·            None……although the Committee may wish to note that the Significant Incidents risk reflects the County Council’s response to the Coronavirus.

 

3.8      With regard to the remaining risks, the EU Exit risk was reduced on its 2nd ranking and the Significant Incidents risk has gone up on its 1st ranking to reflect the response to the Coronavirus. The rankings of all the remaining risks stayed the same (as shown on the summary in the left hand column of Appendix A).  Please see the table at the bottom of Appendix A for an explanation of the left hand column.

 

3.9      To assist Members interpret AppendixA

·            Risks are identified by Management Board during a prep meeting and further discussion

·            Each risk has then to be ranked based on the following:

o   existing risk controls in place

o   probability of the risk occurring (based on existing controls)

o   impact of the risk occurring (based on existingcontrols)

o   further risk controls which may reduce current probability or impact

o   The prioritisation system follows a fairly traditional risk evaluation approach in that the probability and severity of risks is measured using High, Medium and Lowcategories

o   However, to facilitate the assessment of the risk appetite and severity of each risk this is done in relation to 4 distinct impact areas:-

§  failure to meet key service objectives and standards – reflecting current service plans


§  financial impact

§  service delivery

§  loss of image or reputation

 

3.10    As each risk is ranked with reference to current controls and then future controls, therisk prioritisation system can compute a “score” in the range of 1 to 5

·            1 and 2 being a ‘red’ risk

·            3 and 4 being an ‘amber’ risk and

·            5 being a ‘green’ risk

 

4.0      LINKS BETWEEN CORPORATE AND DIRECTORATE RISK REGISTERS

 

4.1      As indicated previously, the Corporate Risk Register is theculmination of the identification of key significant risks that are identified at Directorate and Service levels.  For information and out of interest, an exercise is carried out to identify the links between Directorate Risk Registers and the Corporate Risk Register.  Please find attached a diagram showing these links at AppendixB.

 

5.0      RECOMMENDATIONS

 

5.1       That the Committee note:

 

(i)    The updated Corporate Risk Register (Appendix A) and;

 

(ii)   The links between the Corporate and Directorate risk registers (Appendix B).

 

 

GARY FIELDING

Corporate Director – Strategic Resources

 

County Hall, Northallerton

April 2021

 

Report Author:  

Fiona Sowerby, Head of Insurance and Risk Management

Tel 01609 532400

 

Background papers: None

 

 

 

 

 

 

 

 

 

 

 

 

 

 


 

Identity

Person

Classification

   Fallback Plan                               

 

Change

 

Risk Title

 

Risk Description

 

Risk

Owner

 

Risk

Manager

Pre

RR

Post

 

FBPlan

 

Action

Manager

 

Prob

 

Obj

 

Fin

 

Serv

 

Rep

 

Cat

 

RRs

Next

Action

 

Prob

 

Obj

 

Fin

 

Serv

 

Rep

 

Cat

 

 

tu

 

 

20/187 - Information

Governance

Ineffective information governance arrangements lead to unacceptable levels of unauthorised disclosure of personal and sensitive data, poor quality or delayed responses to FoI requests, and inability to locate key data upon which the Council relies resulting in loss of reputation, poor decision making, fine, etc

 

 

Chief

Exec

 

 

CD SR

 

 

H

 

 

M

 

 

M

 

 

M

 

 

H

 

 

1

 

 

11

 

 

30/06/2021

 

 

H

 

 

L

 

 

M

 

 

L

 

 

M

 

 

2

 

 

Y

 

 

CD SR

 

tu

 

20/207 - Beyond 2020

Change Programme

Failure to implement a coherent transformation and savings programme Beyond 2020which delivers the improvements and forecast funding shortfall resulting in short term and sub optimal savings decisions ie service cuts

 

Chief

Exec

 

 

CD SR

 

 

H

 

 

H

 

 

H

 

 

H

 

 

H

 

1

 

 

11

 

 

31/03/2021

 

 

M

 

 

H

 

 

H

 

 

H

 

 

H

 

2

 

 

Y

 

All Mgt

Board

 

tu

 

20/1 - Funding

Challenges

Inadequate funding available to the County Council to discharge its statutory responsibilities and to meet public expectation for the medium term resulting in legal challenge, unbalanced budget and public dissatisfaction

 

Chief

Exec

 

 

CD SR

 

 

H

 

 

H

 

 

H

 

 

H

 

 

H

 

1

 

 

9

 

 

31/01/2021

 

 

M

 

 

H

 

 

H

 

 

M

 

 

M

 

2

 

 

Y

 

All Mgt

Board

 

 

 

 

 

 

q

 

 

 

 

 

20/235 - Ending of EU Exit Transition Arrangements

At the end of the EU Exit transition period (31 December 2020) and/or the phased introduction of border checks (30 June 2021) the UK has sub-optimal trade deals and other arrangements resulting in difficulties (which impacts on residents and local businesses), in price uncertainty and supply chain difficulties, price pressures from contractors, increased demands on services from customers and businesses; adverse impacts upon the local economy and infrastructure and environmental standards; data protection; some EU citizens living in the county who do not have settled or pre-settled status will be unable to work, study, rent housing or have recourse to public funds causing an impact on recruitment, damaging community cohesion, and necessitating additional expenditure to support the most vulnerable.

 

 

 

 

 

Chief

Exec

 

 

 

 

 

All Mgt

Board

 

 

 

 

 

 

H

 

 

 

 

 

 

M

 

 

 

 

 

 

H

 

 

 

 

 

 

M

 

 

 

 

 

 

M

 

 

 

 

 

 

1

 

 

 

 

 

 

26

 

 

 

 

 

 

31/01/2021

 

 

 

 

 

 

M

 

 

 

 

 

 

M

 

 

 

 

 

 

H

 

 

 

 

 

 

M

 

 

 

 

 

 

M

 

 

 

 

 

 

2

 

 

 

 

 

 

Y

 

 

 

 

 

 

Chief Exec

 

 

tu

 

20/194 - Major Failure due to Quality and/or Economic Issues in the Care Market

Major failure of provider/key providers results in the Directorate being unable to meet service user needs. This could be caused by economic performance or resource capabilities including recruitment and retention. The impact could include loss of trust in the Care Market, increased budgetary implications and issues of service user safety.

 

 

Chief

Exec

 

 

CD HAS

 

 

H

 

 

M

 

 

H

 

 

M

 

 

H

 

 

1

 

 

14

 

 

31/12/2020

 

 

H

 

 

M

 

 

M

 

 

M

 

 

M

 

 

2

 

 

Y

 

 

CD HAS

 

 

tu

 

 

20/245 - Recovery from Coronavirus

Failure to lead an effective recovery from the outbreak of Coronavirus in North Yorkshire resulting in adverse impact on the health and wellbeing of residents and staff, long term damage to the local economy and financial position of the council, and inadequate arrangements for the education of children and young people

 

 

Chief

Exec

 

 

CSD AD PPC

 

 

H

 

 

M

 

 

H

 

 

M

 

 

H

 

 

1

 

 

11

 

 

31/08/2021

 

 

M

 

 

M

 

 

H

 

 

M

 

 

H

 

 

2

 

 

Y

 

 

Chief Exec

tu

20/236 - Opportunities for Devolution and

Failure to take advantage of Devolution opportunities and to deliver the ambition of Sustainable Economic Growth, through

Chief

Exec

 

CD BES

 

H

 

M

 

H

 

H

 

H

1

 

15

 

31/12/2020

 

M

 

M

 

M

 

M

 

M

4

 

Y

CD BES Chief Exec

 


 

Identity

Person

Classification

   Fallback Plan                               

 

Change

 

Risk Title

 

Risk Description

 

Risk

Owner

 

Risk

Manager

Pre

RR

Post

 

FBPlan

 

Action

Manager

 

Prob

 

Obj

 

Fin

 

Serv

 

Rep

 

Cat

 

RRs

Next

Action

 

Prob

 

Obj

 

Fin

 

Serv

 

Rep

 

Cat

 

Growth in North

Yorkshire

for example the delivery of the right housing and transport whilst protecting the outstanding environment and heritage, resulting in reduced investment and impact on the growth and jobs, inability to recover from the impact of the Virus, attract, retain and grow businesses and raise living standards across North Yorkshire

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

tu

 

 

20/47 - Partnership and

Integration with Health

Failure to achieve the best outcomes from working jointly with the Commissioner and Provider resulting in suboptimal maximisation of integration across the NYCC footprint, a negative impact on the customer experience and the possibility of fragmented care and poor outcomes

 

 

Chief

Exec

 

 

CD HAS

 

 

M

 

 

M

 

 

H

 

 

M

 

 

M

 

 

2

 

 

20

 

 

31/01/2020

 

 

M

 

 

M

 

 

H

 

 

M

 

 

M

 

 

2

 

 

Y

 

 

CD HAS

 

p

 

20/244 - Significant

Incidents

Failure to plan, respond to and recover effectively from significant incidents in the community resulting in risk to life and limb, impact on statutory responsibilities, impact on financial stability and reputation

 

Chief

Exec

 

Chief Exec

 

M

 

L

 

H

 

L

 

H

 

2

 

5

 

31/01/2021

 

L

 

L

 

H

 

L

 

M

 

3

 

Y

 

Chief Exec

 

tu

 

20/189 - Safeguarding

Arrangements

Failure to have a robust Safeguarding service in place results in risk to vulnerable children, adults and families and not protecting them from harm.

 

Chief

Exec

 

CD HAS CD CYPS

 

M

 

H

 

M

 

M

 

H

 

2

 

18

 

31/03/2021

 

L

 

H

 

M

 

M

 

H

 

3

 

Y

 

CD CYPS CD HAS

 

 

- new -

 

20/247 - Local Government Reorganisation

Failure to achieve the most effective local government reorganisation for North Yorkshire leading to suboptimal savings, inferior local government arrangements, potential delay in a Devolution deal and an impact on work commitments such as the Beyond 2020 Savings Programme and other projects.

 

 

Chief

Exec

 

 

Chief Exec

 

 

M

 

 

H

 

 

H

 

 

H

 

 

H

 

 

2

 

 

7

 

 

09/12/2020

 

 

L

 

 

H

 

 

H

 

 

H

 

 

H

 

 

3

 

 

Y

 

 

Chief Exec

 

 

 

Key

 

p

Risk Ranking has worsened since last review.

q

Risk Ranking has improved since last review

tu

Risk Ranking is same as last review

- new -

New or significantly altered risk

 

 

 

 

 

 

 


 

Phase 1 - Identification                                                                                                                                                                                                                                                                                                                            

Risk

Number

 

20/187

 

Risk Title

 

20/187 - Information Governance

Risk

Owner

 

Chief Exec

 

Manager

 

CD SR

 

Description

Ineffective information governance arrangements lead to unacceptable levels of unauthorised disclosure of personal and sensitive data, poor quality or delayed responses to FoI requests, and inability to locate key data upon which the Council relies resulting in loss of reputation, poor decision making, fine, etc

Risk

Group

 

Legislative

 

Risk Type

 

CS

15/161

 

Phase 2 - Current Assessment                                                                                                                                                                                                                                                                                                                            

 

 

 

 

 

Current Control Measures

Information Governance Strategy including the associated Policy and Procedure Framework; CIGG Action Plan; data breach process; messages from senior management; on-line training; staff induction; Information Asset Owners identified; information asset registers regularly updated; Internal Data Governance team with an identified representative for each Directorate (replacing DIGCs); Veritau appointed as DPO; posters; intranet information; regular monitoring of electronic communication by T&C; series of unannounced security compliance visits by internal audit; application of all the features of the Information Security Management System (ISMS);

FoI – controls include central monitoring of receipt and progress, regular review by Veritau and review of outstanding cases by the Chief Exec on a monthly basis; proactive monitoring of all data; terms of reference reviewed; Veritau investigate significant data breaches; CIGG consider reasons for data breaches and cascade lessons learned; secure physical storage and internal info transfer issues resolved; Non NYCC Network Access Policy produced; e learning training packages refreshed; targeted phishing campaign; Information Sharing Protocol in place;

SAR - controls include central monitoring of receipt and progress; refreshed Information Governance page on intranet; Information Governance risk register completed; Data Quality Improvement Action Plan agreed; Directorates’ discussion on the potential outcome of a cyber-attack carried out; DPIAs in place;

Probability

H

Objectives

M

Financial

M

Services

M

Reputation

H

Category

1

 

Phase 3 - Risk Reduction Actions                                                                                                                                                                                                                                                                                                                            

 

Action Manager

Action by

        Completed        

 

Reduction

15/423 - Continue to emphasise personal responsibility of staff for all information in this area and consider disciplinary action in cases of data breaches

CD SR

CSD ACE BS

Tue-31- Aug-21

 

Reduction

 

15/424 - Continue to review information asset registers and target training where appropriate (ongoing)

CSD SR AD T&C Ho Int Audit

Tue-31- Aug-21

 

Reduction

 

15/426 - Continue to ensure individual information sharing agreements completed for each data sharing activity - (ongoing)

 

Ho Int Audit

Tue-31- Aug-21

 

Reduction

15/431 - Continue to work within services in a prioritised order to ensure information (electronic and physical) is secure and transferred securely (ongoing) (linked to Microsoft 365 roll out)

 

CSD SR AD T&C

Tue-31- Aug-21

 

Reduction

15/433 - Continue communications to staff to ensure good Information Governance including messages from Management Board and associated campaigns (ongoing)

CSD SR AD T&C Ho Int Audit

Tue-31- Aug-21

 

Reduction

 

15/611 - Ensure Data Protection risks are managed to comply with GDPR (ongoing)

 

CSD SR AD T&C

Tue-31- Aug-21

 

Reduction

15/612 - Data Quality Improvement - implement an action plan to address the Data Quality issues that are impacting on the accuracy of operational management information, performance reports, transparency publications and statutory returns

 

CSD SR AD T&C

Thu-30- Sep-21

 

Reduction

15/613 - Documents and Record Management - implement the approach to document and records management and storage with the Council that encompasses both physical and electronic information (linked to Microsoft 365 roll out)

 

CSD SR AD T&C

Tue-31- Aug-21

 

Reduction

15/636 - Review existing training and continue to develop and implement appropriate training relating to quality and security of information

CSD SR AD T&C Ho Int Audit

Tue-31- Aug-21

 

 

 


 

 

Reduction

15/793 - Review impact on Veritau and audit days required and implement actions required (ongoing)

CD SR

Tue-31- Aug-21

 

Reduction

 

15/844 - Review and revise Business Continuity Plans with Directorates to take into account actions required following a cyber-attack

 

CSD SR AD T&C

Wed-30- Jun-21

 

 

Phase 4 - Post Risk Reduction Assessment                                                                                                                                                                                                                                                                                                                           

Probability

H

Objectives

L

Financial

M

Services

L

Reputation

M

Category

2

 

Phase 5 - Fallback Plan                                                                                                                                                                                                                                                                                                                           

 

  Action Manager                              

Fallback

Plan

 

15/514 - Review Action Plan and new technology and continue to raise awareness. Invite ICO to carry out an audit of NYCC IG systems

 

CD SR

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 


 

Phase 1 - Identification                                                                                                                                                                                                                                                                                                                            

Risk

Number

 

20/207

 

Risk Title

 

20/207 - Beyond 2020 Change Programme

Risk

Owner

 

Chief Exec

 

Manager

 

CD SR

 

Description

Failure to implement a coherent transformation and savings programme Beyond 2020which delivers the improvements and

forecast funding shortfall resulting in short term and sub optimal savings decisions ie service cuts

Risk

Group

 

Strategic

 

Risk Type

CS

15/11

 

Phase 2 - Current Assessment                                                                                                                                                                                                                                                                                                                            

 

 

 

 

Current Control Measures

Transformation programme; alignment with Council Plan and corporate priorities; Members workshops & political group sessions completed; briefings of Cabinet; regular Mgt Board/Programme Board meetings; staff communication constantly reviewed and cross cutting themes programme board continue to meet and follow the governance structure; quarterly meetings with finance ADs and programme managers to align savings against programme budgets; review carried out of governance and areas of future focus for Programme Board; all major change programmes are captured within this Programme to better manage dependencies and resources; Enhanced Strategic Support service to ensure high quality and robust service and team planning; action plan following peer review monitored; intensive review of areas of overspend and actions to mitigate; review (deep dives) into specific high-risk base budgets such as HAS Care and Support, SEN Transport and School Improvement carried out; fundamental review of the organisations design and development programme carried out; BEST approach embedded into service planning;

Probability

H

Objectives

H

Financial

H

Services

H

Reputation

H

Category

1

 

Phase 3 - Risk Reduction Actions                                                                                                                                                                                                                                                                                                                            

 

Action Manager

Action by

Completed

 

Reduction

15/634 - Further shape the emerging Beyond 2020 Programme (taking into account Covid-19 and LGR) to lead to identifying new areas of cross cutting programmes for implementation going forward

 

CSD SR AD T&C

Wed-31-Mar-

21

 

Reduction

 

15/635 - Continue to carry out fundamental review of projects, reassessment of priority and agree outcomes

CD SR

CSD SR AD T&C

Tue-31-Aug-

21

 

Reduction

 

15/639 - Continue to carry out focussed reviews on areas of overspend, poor performance and/or opportunities for improvement

CD SR

CSD SR AD T&C

Tue-31-Aug-

21

 

Reduction

 

15/831 - Continue to monitor delay of Programmes and the effect on benefits (ongoing)

 

CSD SR AD T&C

Tue-31-Aug-

21

 

Reduction

20/52 - Refresh and carry out a revised plan for reviewing base budgets in 2020/21 on a risk based assessment and linked to focussed reviews

 

CD SR

Wed-31-Mar-

21

 

Reduction

20/386 - Approve detailed business plans for all businesses within the Brierley Group. by Shareholder Committee and Brierley Board and report progress to those bodies

 

CD SR

Thu-30-Sep-

21

 

Reduction

 

20/403 - Carry out monthly monitoring of communications and engagement plan including key messages and themes (ongoing)

 

CSD HoC

Tue-31-Aug-

21

 

Reduction

 

20/491 - Identify and target additional savings through corporate Procurement Strategy (ongoing)

 

CD SR

Thu-30-Sep-

21

 

Reduction

 

20/526 - Continue to develop effective Commercial operations where appropriate (ongoing)

All Mgt Board

Chief Exec

Tue-31-Aug-

21

 

Reduction

20/595 - Develop transformational themes and produce outline business cases for Assess and Decide; Resilience and Wellbeing; Modern Council +; Environment

 

All Mgt Board

Wed-31-Mar-

21

 

Reduction

 

20/729 - Fundamental review of Change Programme in light of Covid 19 issues and Local Government Reorganisation

All Mgt Board

CSD SR AD T&C

Wed-31-Mar-

21

 

 

 

 


 

Phase 4 - Post Risk Reduction Assessment                                                                                                                                                                                                                                                                                                                           

Probability

M

Objectives

H

Financial

H

Services

H

Reputation

H

Category

2

 

Phase 5 - Fallback Plan                                                                                                                                                                                                                                                                                                                           

 

   Action Manager                                

Fallback

Plan

 

15/561 - Carry out service cuts

 

All Mgt Board

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 


 

Phase 1 - Identification                                                                                                                                                                                                                                                                                                                            

Risk

Number

 

20/1

 

Risk Title

 

20/1 - Funding Challenges

 

Risk Owner

 

Chief Exec

 

Manager

CD SR

 

Description

Inadequate funding available to the County Council to discharge its statutory responsibilities and to meet public expectation for the medium term resulting in legal challenge, unbalanced budget and public dissatisfaction

 

Risk Group

 

Resources

 

Risk Type

 

 

Phase 2 - Current Assessment                                                                                                                                                                                                                                                                                                                            

 

 

Current Control Measures

Existing MTFS; Members Budget seminars; 2020 North Yorkshire Programme & constituent elements including service reviews; review of 2020NY in Members seminars, Cabinet, and Overview and Scrutiny Committees where Directorate based; 2020NY Programme Governance; modelling on implications of external funding levels (eg Spending Review Settlement); next phase of savings ideas generated; meetings with traded services’ managers completed; interim NYES business plan in place; sustainable additional social care funding; advocacy work including with MPs, CCN and professional networks; initial review of the impact of the 1 year spending round (linked to action20/617);

Probability

H

Objectives

H

Financial

H

Services

H

Reputation

H

Category

1

 

Phase 3 - Risk Reduction Actions                                                                                                                                                                                                                                                                                                                            

 

Action Manager

Action by

Completed

 

Reduction

 

15/721 - Ensure the Council takes advantage of available central government incentives such as grants and any potential funding is monitored, together with engagement in relevant consultations (eg job support scheme)

CD SR

CSD ACE BS CSD AD SR (ML)

 

Wed-31-Mar-

21

 

 Reduction

20/46 - Ensure effective consultation/communication with staff, public and Members about ongoing savings requirements

All Mgt Board

Sun-31-Jan-21

 

Reduction

20/616 - Ensure active participation in professional networks and LG pressure groups (for example CCN and LGA) to shape activity in relation to advocacy (ongoing)

 

All Mgt Board

 

Sun-31-Jan-21

 

Reduction

20/617 - Continue to lobby MPs and Govt for additional funding particularly in relation to adults and childrens social care, High

Needs, Schools Capital and rural costs (ongoing)

 

CD HASCD SR

Wed-31-Mar-

21

 

Reduction

 

20/618 - Implement Beyond 2020 Change Programme to address ongoing savings for the new MTFS (on hold).

 

All Mgt Board

Wed-31-Mar-

21

 

Reduction

20/750 - Ensure regular monitoring at management board and CYPS Overview and scrutiny committee of financial challenges for schools to highlight the present financial position to ensure immediate and emerging challenges are addressed. (ongoing)

CD CYPS

CSD AD SR (HE)

 

Sat-31-Jul-21

 

 Reduction

20/751 - Further develop and implement a robust programme for high needs/SEN to identify cost reduction measures (ongoing )

CSD AD SR (HE)

Sat-31-Jul-21

 

Reduction

20/796 - Lobby for fairer funding review, abolition of business rates retention, new funding for Covid pressures and part of longer term spending review

 

CD SR

Wed-31-Mar-

21

 

Reduction

20/797 - Implement urgent additional measures in light of Covid – 19 pressures to restrict spending(hard nose review of reserves, no new spending initiatives)

 

All Mgt Board

Wed-31-Mar-

21

 

 

Phase 4 - Post Risk Reduction Assessment                                                                                                                                                                                                                                                                                                                            

Probability

M

Objectives

H

Financial

H

Services

M

Reputation

M

Category

2

 

 

 

 

 

 

 


Report  Date:  2•d December 2020 (pw)

 

Phase 5-Fallback Plan

 

Action Manager

Fallback         po/504- Further fundamental review in order  to discharge statutory responsibilities

Plan

 

All Mgt Board

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 


 

Phase 1 - Identification                                                                                                                                                                                                                                                                                                                            

Risk

Number

 

20/235

 

Risk Title

 

20/235 - Ending of EU Exit Transition Arrangements

Risk

Owner

 

Chief Exec

 

Manager

All Mgt

Board

 

 

Description

At the end of the EU Exit transition period (31 December 2020) and/or the phased introduction of border checks (30 June 2021) the UK has

sub-optimal trade deals and other arrangements resulting in difficulties (which impacts on residents and local businesses), in price uncertainty and supply chain difficulties, price pressures from contractors, increased demands on services from customers and businesses; adverse impacts upon the local economy and infrastructure and environmental standards; data protection; some EU citizens living in the county who

do not have settled or pre-settled status will be unable to work, study, rent housing or have recourse to public funds causing an impact on

recruitment, damaging community cohesion, and necessitating additional expenditure to support the most vulnerable.

 

 

Risk Group

 

 

 

Strategic

 

 

Risk Type

 

 

Phase 2 - Current Assessment                                                                                                                                                                                                                                                                                                                            

 

Current Control Measures

Work that was carried out in preparation for the potential of a hard Brexit on or before 31 December 2019; continual monitoring of developments including discussions between the UK, EU and other nations and legislation going through Parliament; awareness of changes in Employment, Procurement, State Aid and Trading Standards legislation;

Probability

H

Objectives

M

Financial

H

Services

M

Reputation

M

Category

1

 

Phase 3 - Risk Reduction Actions                                                                                                                                                                                                                                                                                                                            

 

 

Action Manager

Action by

 

Completed

 

Reduction

20/250 - Workforce: Monitor the potential impact on recruitment including the care sector in particular and put together an appropriate action plan if required

 

CSD ACE BS

Sun-31- Jan-21

 

Reduction

 

20/400 - Business support funding programmes – monitor likely changes and ensure that changes are well communicated

 

CD BES