North Yorkshire Council

Audit Committee

29 September 2025

Assessment of Effectiveness of Governance Arrangements - Environment Directorate

Report of the Corporate Director – Environment

1.0       Purpose of the report

1.1 To inform members of the results of the annual review of governance completed by the Environment Directorate. The review has compared the governance arrangements which have operated within the Directorate over the last year to the Council’s expected principles of good governance as set out in the local code of governance.

1.2 To provide details of the updated Risk Register, and the management of key risks for the Environment Directorate.

2.0       Overall Assessment

2.1       The overall conclusion of the assessment of the effectiveness of governance arrangements for the Environment Directorate are that the governance arrangements operating in the Directorate in the last year, (including those core arrangements) have met the Council’s expected principles of good governance, as set out in the Council’s local code of governance. The evidence of this is as described in the sections below.

3.0 Background

3.1       The Accounts and Audit Regulations (2015) require the Council to conduct a review, at least annually, of the effectiveness of its internal control systems and to report the results as part of the Annual Governance Statement.

3.2       The Council has approved and adopted a local code of corporate governance which is consistent with the principles of the CIPFA/SOLACE Framework Delivering Good Governance in Local Government (2016). Annual reviews of the effectiveness of each Directorate’s governance arrangements are undertaken and reported in accordance with the Audit Committee’s agreed work programme

3.3 This is the first report in this format on the Directorate’s governance arrangements. It covers the period from August 2024 through to August 2025. The format and content will be refined in future years following engagement with the Audit Committee through this and other directorate reports. The intention in this report is to provide an assessment of the effectiveness of established governance arrangements in the Environment directorate.

3.4 To deliver effective and efficient services the directorate must have a solid foundation of good governance and sound financial management. The directorate has a broad range of governance arrangements in place as well as a strategic monitoring and oversight role to ensure good governance is in place within council owned trading companies, such as NY Highways and Yorwaste, which support the Directorate in the delivery of services.

3.5 The Directorate aims to ensure that governance arrangements are proportionate and focused to enable services to deliver value for money across all of our activity. We will continue to amend and improve our governance arrangements in that regard. For example, in recent years, the directorate has established additional governance arrangements for contract management, climate change and capital delivery to strengthen and co-ordinate our oversight and actions. These – and other governance arrangements - are not static, but evolve incrementally to respond to emerging requirements or gaps as well as other changes within the council or from external issues.

3.6 In carrying out an annual assessment of effectiveness of the directorate’s governance arrangements, we have considered:

· Outcomes and overall performance with regard to our statutory obligations and organisational objectives;

· Consideration of the directorate’s governance arrangements with regard to the principles, sub-principles, actions and evidence contained within the agreed North Yorkshire Council Local Code of Corporate Governance. The seven key principles include:

Principle A:   Behaving with integrity, demonstrating strong commitment to ethical values, and respecting the rule of law

Principle B:   Ensuring openness and comprehensive stakeholder engagement

Principle C:   Defining outcomes in terms of sustainable economic, social and environmental benefits

Principle D:   Determining the interventions necessary to optimise the achievement of the intended outcomes

Principle E:   Developing the entity’s capacity, including the capability of its leadership and the individuals within it

Principle F:   Managing risks and performance through robust internal control and strong public financial management;

Principle G:  Implementing good practices in transparency, reporting and audit to deliver effective accountability

· Assurance from external audit as well as from internal audit reports. An example of this is climate change where an audit has been carried out during the year demonstrating core governance arrangements have been working effectively;

· The strategic risks identified through the Directorate Risk Register and the internal control frameworks that the directorate has in place to manage those risks. This process highlights the risk management policy, strategy and arrangements for review.

3.7       The Council’s Annual Governance Statement for 2024/25 highlighted four areas of control weaknesses which are set out below along with the Directorates view on how these controls are being addressed.

· Information, Governance and Security – To ensure the council continues to comply with its data protection, information governance and information security legislative, regulatory and statutory obligations. This is inherent in all the Directorate does in terms of the data in holds from information fto allow for waste collection to the carrying out of regulatory services, the principles of good data governance and security are followed with no significant breaches throughout the year.

· Transformations and Savings Delivery – The Council has an established transformation programme to bring together services following unitarisation and deliver significant savings. However, increasing funding pressures mean there are further challenges ahead and more savings will be needed.  This area of control is being addressed through monthly Environment Directorate Transformation Governance Board meetings chaired by the Corporate Director and monthly savings meetings involving finance and transformation teams.

· Consistent good quality management of Capital Schemes – To ensure the council consistently and effectively manages the delivery of major capital programmes and projects. This area of control is being addressed through monthly Highways and Infrastructure Capital Board meetings chaired by the Corporate Director and joint meetings with regeneration teams to ensure cross cutting projects are discussed. Aspects of the Directorates capital programme, such as fleet and bereavement capital plans are reported to the Corporate Capital / Other Board. These capital boards demonstrate how budgets and resource strategies align to the delivery of objectives.

· Data and Systems – The new council inherited a large number of systems and processes. Further work is required so that the council has the reliable data and insights to consistently support decision making, track outcomes and drive improvement. The Environment Directorate has a number of transformation projects to rationale the number of systems and bring services together under one system for example work continues on the implementation of the Civica system for environmental health.

4.0       Assessment of Effectiveness

Highways & Transportation

4.1       Through the winter period (24/25) the highways service successfully dealt with named storms and the impacts that they have caused plus a period of heavy snowfall and sustained low temperatures in early January 2025.  The heavy snowfall was the most significant snow event since ‘Beast from the East’ back in 2018 and the first that the new council has responded to, and as a result we have carried out a review of the event which was reported to the Transport, Economy, Environment and Enterprise (TEEE) Overview and Scrutiny committee in July to ensure compliance with laws and regulations and internal policies and procedures.  The most significant impact from named storms was due to Storm Darragh in December 2024 which unfortunately saw some properties suffering internal flooding in Kirkbymoorside and the surrounding areas.  In accordance with our established procedures, to ensure actions are in line with an ethical culture, we are carrying out an investigation under the powers contained in Section 19 of the Flood and Water Management Act in our role as Lead Local Flood Authority and will be reporting the outcome in the coming months.  The highways team is also focusing on delivering a transformation plan that gets the best out of the move to a new unitary council which sees street scene, parks and grounds and highways activities now being delivered by one organisation. Key achievements to date being the approval of an invest to save business case that will see the upgrading of all parking machines and car park lighting and the awarding of powers to enforce Moving Traffic Offences to address issues of road safety and traffic management at sites to be identified across the county starting with a yellow box junction on Gowthorpe in Selby town centre. These key projects are monitored through the Transformation Board and reported through quarterly financial monitoring which ensures expenditure is lawful and that the authority achieves expected standards of openness and transparency, including a culture of internal challenge and self-assessment.

4.1.1    The highways service continues to give support to North Yorkshire Highways (NYH), as the front-line delivery agency and ensures appropriate arrangements are in place to cover the ethical behaviour of this organisation providing the highways service . We are delivering efficiency savings in our revenue activities that contribute to the Councils Transformation Plan savings through the increased use of permanent pot hole repair techniques which give a ‘right first time’ outcome thus saving money and improving customer service by reducing the need for repeat repairs and we are continuing to make good progress against the delivery of our capital programme by adopting  an even greater focus on scheme planning and delivery.  A new development for this year will be the production of a Joint Annual Performance Report with NYH which will be reported to the TEEE Overview and Scrutiny Committee later this year.  We continue to make good progress with our major scheme on A59 Kex Gill which is on track to open to traffic in June 2026 and whilst the cost has increased this has been due to Department for Transport delays, unforeseen ground conditions and necessary design changes. Our Transforming Cities Fund (TCF) schemes have all made progress during the last 12 months with Skipton well underway on site and Selby about to start on site shortly.  We successfully defended a legal challenge to the Harrogate TCF traffic regulation orders which now clears the way for us to seek final approval from the Executive ahead of a start on site later this financial year using our contractor NY Highways.  The TCF schemes have all benefited from the recently announced Local Transport Grant where the Combined Authority has received £15.372m grant out of which we have been awarded a total of £11.3m for schemes that include the delivery of descoped elements of the Skipton and Selby TCF.  After a long and complicated procurement process, we are ready to announce the appointment of an EV Charge Point Operator (CPO) to commence implementation of the council’s EV charging strategy using a combination of funding from the Local Electric Vehicle Charging Infrastructure fund and private sector investment from the CPO.

Waste Management

4.2       On the establishment of North Yorkshire Council, the new council took on responsibility for both the collection and disposal of household waste. The new Council became the waste collection authority, a role previously carried out by the district and borough councils, along with the waste disposal authority which, prior to LGR, was the responsibility of the county council. North Yorkshire Council continues to harmonise the waste service in line with its service plan which demonstrates how the authority has established a vision, target outcomes, and associated long-term plans to deliver sustainable outcomes. To date the Council has addressed different practices and fees and charges across the garden and bulky waste services, so that now a single approach makes it easier and more convenient for residents to access collections. Following a public consultation exercise. ‘Let’s talk rubbish’, which demonstrates a way in which the authority communicates with the community and stakeholders, an Executive decision last November agreed to roll out a standard waste collection service model – the model previously used by Selby District Council. The first area that went live with this service change was the ex-Ryedale area on 23 June 2025; a plan is being developed to roll out this service change to the rest of the county. Alongside that change, the service has been standardising the working arrangements for refuse staff; throughout 2025, on a rolling basis, each area is moving to a standard four-day week pattern (five day’s work over four longer days). The first area to change was the ex-Harrogate area in April 2025, the final area to change will be the ex-Scarborough area in September 2025.

4.2.1    On behalf of North Yorkshire Council, Yorwaste continue to be contracted to provide Household Waste Recycling Centre (HWRC) services and as well as the waste transfer operations which the company was previously contracted to carry out for the county council. In September 2024, the Council gave notice on the current contract with Yorwaste with a stated aim of reviewing and renewing the arrangement with Yorwaste in light of LGR. A new contract with Yorwaste is scheduled to be in place by September 2025.

4.2.2    The first two quarters of 2025 have been more challenging for the performance of Allerton Waste Recovery Park. A planned shutdown period was extended twice due to finding additional faults in the process. Transport, Economy, Environment & Enterprise Overview & Scrutiny Committee continue to provide political oversight of the performance.

Environment & Climate Change

4.3       North Yorkshire Council has an agreed ambition to become operationally net zero by 2030. Significant work has taken place to develop detailed plans by service area to help achieve this target. Alongside that work, the Council gained a “B” score from the Carbon Disclosure Project in May 2025 – this is an externally recognised metric for progress to net zero. It is the Council’s first score since LGR and marks good progress so far, although with room to improve. The main area for improvement is developing of an ‘adaptation’ plan which will help inform the Council of risks of continued climate change, the impact it will have in the county and how its effects can be protected against. The Council has recognised Climate Change as one of its key corporate risks and has in place plans to help develop and further improve arrangements. It is also highlighted in the risk register at risk ENV 13 setting out how this is being developed.

4.3.1    Alongside the Council’s operational net zero ambition and work, the York & North Yorkshire Combined Authority continue to develop a regional ‘route map’ to carbon negative. The Mayor, David Skaithe, has reconfirmed his commitment to become the country’s first net negative region. The role North Yorkshire Council will play in that vision will emerge over the course of 2025.

Integrated Passenger Transport (IPT)

4.4       The main local change in passenger transport is the recent announcements by the York & North Yorkshire Combined Authority to review the potential for bus franchising within the region. In June 2025, government announced the region would form part of a pilot project looking at how bus franchising could work within a rural context. Alongside that overall review, the three authorities continue to work with each other developing bus priorities ahead of creating a shared Bus Service Improvement Plan. That work will inform future bus funding distribution. In the meantime, the delegation agreement transferring operational responsibility for local bus services to the two constituent local authorities (City of York Council and North Yorkshire Council) has been agreed until end of March 2026. Establishing arrangements continued to work as designed and helped to deliver local bus services across the area.

Fleet and Operations

4.5       The Fleet service is undergoing a period of transition, following the departure of the previous Head of Service, the service is being restructured to be more fit for purpose. The primary focus of this change is to give greater visibility on vehicle compliance (Operator Compliance Risk Score) and also help ensure overall value from money from fleet assets. The continued operation of the electronic system and finalising bringing together things post LGR gives comfort the annual review has considered the fundamentals and they are generally operating well.

Harbours

4.6       A future harbour strategy is now in draft and being proofread prior to circulation to stakeholders. The document has been co-designed with stakeholders and will set out how the harbour will develop over the next 20 years prioritising protection of the fishing industry and maximising the opportunity from the offshore wind and leisure sectors.   The Harbour Executive continues to receive updates on work related to the UK Port Marine Safety Code following the 2024 audit and governance arrangements through the Harbour User Groups are also under review. Internal Audit have carried out work in relation to harbours over the year and those areas where improvements were highlighted and agreed, these are being taken forward by officers.

Licensing

4.7       North Yorkshire Council implemented a new consolidated taxi licensing policy on 1 April 2023.  This policy is now under full review and a draft Inclusive Service Plan is being developed alongside to increase the provision of wheelchair accessible vehicles and to ensure that taxi provision is accessible to all.  The review consultation has now been completed and discussions are underway with Exec Members prior to taking the revised policy back to Council for approval.

4.7.1    The Licensing Act 2003 and Gambling 2005 policies have been reviewed and the newly updated policies were implemented in June 2025.

4.7.2    The restructure of the Licensing Team, bringing seven former district teams together, was completed in February 2024. To fully implement the new structure it will be necessary to harmonise the Licensing operating software across the County, bringing seven former systems into one. Work is ongoing with Regulatory Services and Trading Standards colleagues to implement one solution for all services. The Post Implementation Review of the Regulatory Services restructure is underway with three staff feedback sessions about to commence prior to the final assessment being completed. An internal Review of the licensing service is scheduled for the second half of 25/26.

Regulatory Services

4.8       The Regulatory Services teams have been fully restructured during 23/24 and new teams have been established to cover the range of Environmental Health and Trading Standards services related to Environmental Protection and Farming Food and Health. In addition the Trading Standards team have taken on management of the Safety Advisory Group (SAG) and the wider service has also brought teams together to deliver the Pest Control and Environmental Enforcement services.  A business-as-usual service was delivered throughout that period of time and recruitment to the new teams is now complete.  The restructure will put us in a stronger position to deliver all of the reactive investigatory work relating to noise nuisance, and consumer complaints in addition to the planned inspection regimes undertaken in respect of food hygiene and safety, animal welfare and private water supplies. The Post Implementation Review of the Regulatory Services restructure is underway with three staff feedback sessions about to commence prior to the final assessment being completed.

Registrars, Bereavement and Coroners Service

4.9       The Registrars and bereavement service have continued to deliver their statutory functions as well as delivering wedding ceremonies across North Yorkshire. The Registrars Service have undergone a restructure with A PIR to follow in the Autumn. A restructure of the bereavement service is due to start in September and cross service discussions are ongoing with Parks and Grounds to ensure that we have an efficient maintenance regime in place to manage the Council’s cemeteries.

4.9.1    The support service to the Coroner has been improved through a secondment with North Yorkshire Police whereby the Senior Coroner’s Officer is now based at NYC. This is the first stage in evaluating whether NYC could oversee the entire Coroner’s support service including the North Yorkshire Police function. This takes into account the directions from the Chief Coroner about developing closer and more effective working relationships. This is all designed to allow the Coroner to focus on the judicial role to which they are appointed rather than the investigative and administrative tasks that are associated with the inquest process. A draft restructure proposal is being considered by senior management prior to being taken to Management Board.

Post Local Government Reorganisation (LGR)

4.10 It’s been over 2 years since North Yorkshire Council was established on 1 April 2023 and capacity and prioritisation continue to be significant issues in the Environment Directorate. The Directorate has played a key role in bringing services from the previous county, district and borough councils together to work in a cohesive way, working through the harmonisation and transformation of services.

4.10.1 Throughout the year, the Directorate has continued the work to bring together services and ensure appropriate governance arrangements are embedded and operate effectively. In addition to this, a significant focus of the Directorate continues to be on transformation of services and the savings agenda. The Directorate is working within the corporate governance framework which has been established for the Transformation agenda.

North Yorkshire Highways

4.11     The Company is now in year 5 of operation and processes and procedures are now well established and being enhanced to ensure the most cost-effective delivery. Governance and internal control processes have been updated and refined where appropriate to ensure they are robust and fit for purpose. The Company Secretary is from fellow Brierley Group Company First North Law, to advise, monitor and maintain governance in respect of investment, operational and financial decisions. Each of the directors have undergone Director training run by First North Law to ensure they are aware of their responsibilities as defined within the Companies Act.   

4.11.1 The Company has been set up to ensure it has appropriate legal status: a Board of Directors with balanced composition, including an independent Non- Executive Director as Chair of the Board; Articles of Association established and approved to ensure the governance around decision making of the Company and its shareholder, NYC are understood; Contract management in respect of the contract between NYH and NYC; Policies and Procedures including Finance and Procurement rules and Scheme of Delegation signed off. A range of “Reserved Matters” which are decision making requirements that require NYC shareholder sign off are reviewed annually and are audited by First North Law.

4.11.2  Each year, an updated Business Plan has been signed off by both the company Board and the Shareholder setting out the direction for the future and long-term business commitments. This business plan is subject to an annual refresh, vital given current market forces and the wider transformation and efficiency plans of NYC, of which NYH plays a part. The plan is based around managing the risks as defined and set out in the risk management plan. The plan is updated monthly by NYH Senior Leadership Team, and any issues are addressed through mitigation measures. NYH is also working on the production of a Joint Annual Performance Report with the NYC Highways team which will be reported to the TEEE Overview and Scrutiny Committee later this year. 

4.11.3  It is recognised that people are an integral part of how the service operates and so there has been a focus on ensuring staff feel engaged. The management team hold regular engagement sessions across North Yorkshire and the operational team. Employees are provided with an update on their specific area performance and an overview of the business objectives for that year. Any requests made by the operational teams are logged and fed back in “what you said and what we did” communications. In additional annual staff surveys provide additional feedback. Training and development is being proactively managed each year. This ensures NYH has a competent and engaged workforce.

4.11.4  Support services provided by NYC for finance, procurement, IT, Human Resources, Health and Safety and many other services ensures a consistency of approach between NYC and NYH but also recognises there are differences between the organisations and not every process and procedure can be mirrored. The relationship between the Council, Highway Maintenance team and NYH is structured with clear responsibilities and reporting to ensure both parties are contributing to the successful delivery of the highways budget. Strict controls and processes for design, procurement and delivery ensure that blockages to progress are identified early and mitigation measures can be implemented. The business obtained third party certification to ISO 9000, 14000, 45000 for their quality, environmental and health and safety systems in 23/24. This provides the business and the Council with the confidence that operational controls are consistent and compliant with internationally recognised standards. It also allows services to be marketed to the commercial sector.

Capital Programme

4.12     Whilst this is identified separately within the Directorate Risk Register there are key items of note:

4.12.1  Projects continue to be carefully monitored to assess the potential for increased costs. Particular areas of note are risks of price increases due to changes in projects which have commenced, inflation and other pressures in the construction market that may impact on the delivery of the Capital Programme although construction cost inflation is not as significant a risk as it was in previous years.

4.12.2  In line with the Corporate Capital Governance process which has been developed following LGR, the Highways and Infrastructure Capital Board is now well established and continues to oversee and provide governance and challenge to capital projects within the Highways and Infrastructure areas of the Directorate. This Board has now been running for 2 years with the governance processes now embedded within the Directorate. Environment Directorate Services which are not covered by the remit of this Capital Board, such as fleet, bereavement and depots are reported through the equivalent Board for Corporate and other Projects to ensure all capital projects are subject to robust governance arrangements. These Capital Boards then report issues up to the Corporate Capital Programme Board to ensure corporate oversight of key risks and challenge.

4.12.3  In addition, during 24/25 a joint capital group has been established to enable discussion of projects that cut across several capital boards to ensure a joined up approach to delivery of capital schemes.

4.12.4  As previously reported, best practice for capital management is to utilise a method called “overprogramming”. Whilst this could be considered ‘business as usual’ for the service, Audit Committee should be aware of the associated risks and what governance is in place to help mitigate them. In short, the service programme to spend more than the capital budget allocated in the financial year on the basis that typically some schemes are delayed for a variety of reasons, overprogramming therefore improves the likelihood of spending on budget but at the risk of overspending. The Highways and Infrastructure Capital Board monitor this practice on a monthly basis taking intervention decisions as appropriate. The position is then reported to Executive through the Capital Plan and quarterly forecast updates.

5.0 Directorate Risk Register

5.1       The Directorate Risk Register (DRR) is the end product of a systematic process that identifies risks at Service level, and then aggregates these via a sieving process to Directorate level. A similar process sieves Directorate level risks into the Corporate Risk Register.

5.2       The process and reports that are provided continue to be similar for ease of understanding, the Council now uses a 5x5 risk assessment ranging from very low to very high in terms of both likelihood and impact: Once the likelihood and impact for a risk have been assessed, the risk scoring is calculated. The following table shows the scoring, assessment and suggested required actions:

Colour	Score	Assessment	Required Action
	1 - 2	Very Low (tolerate)	Risk should not appear in risk register.
	3 - 4	Low (tolerate)	Regular monitoring, action plan not essential, acceptable just to maintain current controls.
	5 - 9	Medium (treat)	Frequent monitoring, action plan required.
	10-12	Medium High (treat)	Frequent monitoring, action plan required to prevent from becoming a red risk.
	15 - 16	High (treat)	Constant monitoring, action plan required and escalation to next level for consideration / inclusion.
	20 - 25	Very High (treat / terminate)	Constant monitoring, action plan required and escalation to next level with request for inclusion. Consider terminating activity (if an option) where score cannot be reduced by risk mitigation.

5.3       The DRR represents the principal risks that may materially impact on the performance and financial outcomes of the Directorate. The Environment DRR has been reviewed since it was presented to this Committee and was last reviewed in August 2025 and represents the risks of the Directorate.

5.4       A summary of the DRR is attached at Appendix B. As well as providing a quick overview of the risks and their ranking, it also provides details of the change or movement in the ranking of the risk since the last review in the left-hand column.

5.5       The latest detailed DRR is shown at Appendix A. This shows the key risks and the risk reduction actions designed to minimise them, together with a ranking of the risks both at the present time and after mitigating actions.

5.6       The key amendments that have been made to the DRR since October 2024 are as follows:

5.6.1    Deleted risks

· The risk relating to North Yorkshire Highways (NYH) has been deleted. The risk initially covered the establishment of NYH and then the embedding of practice and monitoring of performance. It is felt that as operation, processes and procedures are now well established this risk can be removed from the Directorate register, aspects of the risk will continue to be monitored within the service.

5.6.2    New risks

· The Harbours risk has been added to the register in light of risks around key infrastructure projects and dredging.

5.6.3    Key changes to risks

· Major Schemes – this risk remains the highest risk for the Directorate. Risk mitigating actions relating to key schemes in Catterick and the West of Harrogate have been added.

· Brierley Homes – the ranking of this risk has been increased to reflect ongoing funding challenges, with mitigating actions added.

· Statutory Duties – the large amount of work carried out across all services harmonising and improving health and safety arrangements post LGR has enabled the ranking to be reduced at this review

· Long Term Waste Service Strategy – the ranking of this risk has been reduced to reflect the progress made in harmonising waste operations across the County. Actions have been added to embed arrangements and prepare for production of the next Long Term Waste Strategy.  

6.0       FINANCIAL IMPLICATIONS

6.1       There are no direct financial implications as a result of this report.

7.0       LEGAL IMPLICATIONS

7.1       There are no direct legal implications as a result of this report.

8.0       EQUALITIES IMPLICATIONS

8.1       There are no direct equalities implications as a result of this report.

9.0       CLIMATE CHANGE IMPLICATIONS

9.1       There are no direct climate change implications as a result of this report.

10.0     REASONS FOR RECOMMENDATIONS

10.1     This report has highlighted a number of existing sources of assurance that help to determine the effectiveness of governance arrangements in practical terms. The review concludes that:

· the directorate has not experienced any major governance failures during the last year.

· the Risk Register has been working well and senior managers have actively engaged with the detailed review.

· Internal Audit have undertaken a number of reviews to provide assurance. Although improvements have been identified in some areas, these are not regarded as significant.

· There are no major gaps or weaknesses identified when considering the outcomes and practical implementation of the North Yorkshire Local Code of Corporate Governance

10.2     This high-level review concludes that the governance arrangements operating in the Directorate over the last year have met the Council’s expected principles of good governance, as set out in the Council’s local code of governance.

11.0 RECOMMENDATIONS

11.1     That the Committee:

i) Note the review of the effectiveness of governance arrangements in the Environment Directorate.

ii) Note the Directorate Risk Register for the Environment Directorate; and

iii) Provide feedback and comments on the Environment Directorate Risk Register and any other related internal control issues.

APPENDICES:

Appendix A – Directorate Risk Register – Detailed

Appendix B – Directorate Risk Register – Summary

BACKGROUND DOCUMENTS:

None

KARL BATTERSBY

Corporate Director – Environment

September 2025

Report Author – Vicki Dixon, Assistant Director – Resources

Presenter of Report – Karl Battersby – Corporate Director - Environment

Phase 1 - Identification
Ref.	ENV_8	Title	Major schemes		Risk Owner	CD ENV	Risk Manager	ENV AD H&I
Risk Description	Failure to deliver the programme of major transport and coastal engineering schemes resulting in impact on the council’s growth plan, negative impact on national and regional partner relations, increased coastal erosion and loss of coastal assets.				Risk Group	Strategic	Linked Risk(s)	CRR_15; EHT_5; ERG_10; ERG_15; ERG_17
Phase 2 - Current Assessment
Current Control Measures
Programme in place for delivery of NYC Council promoted schemes; support being provided to the third party scheme promoters; risk analysis for each scheme undertaken; effective engagement with nominated H&T rep(s)and NYC in delivery of SEP funded schemes; necessary local contributions secured for the schemes in the LEP programme that are being delivered (August 2021); detailed list of coastal plans and schemes; shoreline management plan (with discrete coastal strategies for specific areas); LEVI delivery team in place
Current Probability	VH	Current Impact	VH	Current Risk Score	25	Current Risk Category		Very High
Phase 3 - Risk Mitigation Plan
Reduction Action						Action Manager	Due Date and status		Date Completed
RR_EHT_101	Develop technical solutions to enable grid supply for EVI to rural communities and consider the emerging renewable energy source market where necessary;					ENV H&I HoMP&I	31-Jan-2026
RR_EHT_102	Develop on street EV charging strategy and technical solution; strategy and project boards in place, Charge Point Operator (CPO) partner appointed					ENV H&I HoMP&I	31-May-2026
RR_EHT_103	Ongoing management of the Kex Gill project in live delivery and maintain progress on site dealing with technical and financial challenges, progress updates to be provided throughout the works via the agreed governance arrangements and use of the central portal					ENV H&I HoMP&I	30-Jun-2026
RR_EHT_108	Continue to monitor and manage risks around harbours, including implementation of the approved list of harbour infrastructure projects					ENV R&H HoH&CI	31-May-2026
RR_EHT_111	Carry out open market tender for provision of LEVI; CPO appointed					ENV H&I HoMP&I	30-Nov-2024		30-Jun-2025
RR_EHT_131	Ongoing monitoring of Catterick Garrison construction contract; entry complete, works are ongoing					ENV H&I HoMP&I	31-Oct-2026
RR_EHT_132	Ongoing monitoring of Jackson's Lane; developing a tender contract for a consultant to enable a Design and Build document to be created					ENV H&I HoMP&I	30-Apr-2026
RR_EHT_20	Continue to engage with the wider strategic partnership and support them to manage risks associated with specific scheme programmes (ongoing)					CD ENV	31-May-2026
RR_EHT_21	Continue to ensure sufficient resources to effectively deliver schemes (ongoing)					ENV AD H&I	31-May-2026
RR_EHT_23	Continue to work closely with APS (and where appropriate, WSP) to ensure that resources match the programme of transport scheme requirements (ongoing)					ENV AD H&I	31-May-2026
RR_EHT_24	Understand pipeline opportunities medium to long term in order to maximise LG changes in respect of Devolution and combined authority status					ENV AD H&I	31-May-2026
RR_ENV_46	Ongoing monitoring of the West of Harrogate scheme which is currently in the live design process					ENV H&I HoMP&I	30-Apr-2026
RR_ERG_26	Obtain approval for the Capital plan to replace the Scarborough cremator; mandate approved, plan being worked up by Property and APP, will then go to Corp Capital Board					ENV R&H HoRC&B	31-Dec-2025
RR_ERG_49	Implement this year’s Environment Agency approved coastal programme (permission to apply for grant going for Exec approval)					ENV R&H HoH&CI	31-May-2026
RR_ERG_50	Continue the regional coastal monitoring programme					ENV R&H HoH&CI	31-May-2026
RR_ETR_41	Develop long term strategy for harbours (includes infrastructure and economic aspects); draft being consulted on internally, will then go for public consultation					ENV R&H HoH&CI	31-Dec-2025
Phase 4 - Target Risk Assessment
Target Probability	M	Target Impact	H	Target Risk Score	12	Target Risk Category		Medium High
Phase 5 - Fallback Plan
Fallback Plan
Work with partners on collaborative approach to ensure risk is captured at an early stage and responsibilities are understood

Phase 1 - Identification
Ref.	ENV_13	Title	Climate Change		Risk Owner	CD ENV	Risk Manager	ENV AD E&T
Risk Description	Failure to support the Council’s aim to achieve carbon neutrality of its own operations by 2030, carbon neutrality of the region by 2034 and a carbon negative region by 2040, and also ensure that appropriate mitigations and adaptations are progressed, failure would result in continued / increasing damaging events (eg. floods, heat waves), unmet public expectation and missed opportunities for energy spend reduction				Risk Group	Environmental	Linked Risk(s)	CRR_12; ECC_5
Phase 2 - Current Assessment
Current Control Measures
Leadership commitment; Executive member with portfolio responsibilities; Climate Change Champion post; reports to Scrutiny cttee Corporate Building and Asset energy efficiency schemes; LGA guidance for councillors; Climate Change awareness training programme for officers and members; Beyond Carbon board and programme management established; climate change impact assessment tool enables decision makers to better understand the impact of the decisions that they are being asked to make; £1m pump-priming fund established in MTFS to support implementation of carbon reduction plan; Climate Change Strategy integrated into Council Plan with annual report on KPIs into Q performance reports; agreement of carbon neutral by 2030 aim for council operations; NYC Climate Change Strategy adopted Jul 23; Climate Change Delivery Pathway
Current Probability	H	Current Impact	H	Current Risk Score	16	Current Risk Category		High
Phase 3 - Risk Mitigation Plan
Reduction Action						Action Manager	Due Date and status		Date Completed
RR_ECC_16	Continue utilisation of £1m pump-priming fund established in MTFS to support implementation of NYC Climate Change Strategy					ENV AD E&T	31-May-2026
RR_ECC_17	Ongoing review of the effectiveness of the climate change impact assessment tool to reflect new climate change strategy and ensure that it is efficient in enabling decision makers to better understand the impact of the decisions that they are being asked to make, alternative governance opportunities are also being explored to better strengthen climate change impact on decision making					ENV AD E&T	31-May-2026
RR_ECC_18	Work through the detailed property related considerations; proposals to be developed through the property service once fully restructured including a property decarbonisation plan.					ENV AD E&T; RES CP&P HoPC&FM	31-May-2026
RR_ECC_19	Monitor progress on the detailed motor related issues (eg. fleet decarbonisation plan and grey fleet reduction) and raise concerns where appropriate; Fleet are working with Cenex to look at fleet decarbonisation potential, with a report due in September 2025					ENV AD E&T	30-Sep-2025
RR_ECC_31	Create a North Yorkshire Council Climate Adaptation Plan (alongside the Regional Climate Risk and Vulnerability Assessment) to support services and residents, communities and businesses to prepare for our climate to change. This will assess our risks and identify options for adaptation.					ENV AD E&T	31-Dec-2025
RR_ECC_32	Work with partners, communities, suppliers and businesses to develop climate change awareness, encourage climate responsible choices and implement actions such as scaling up building retrofit projects and increasing low carbon heating, including for NYC’s social housing stock, supported through the climate change business partners					ENV AD E&T	31-May-2026
RR_ECC_33	Work to ensure that the Council's Local Plan and Local Transport Plan (now the responsibility of YNYCA) include appropriate responses to climate change; officers continue to be involved in the relevant service teams					ENV AD E&T	31-May-2026
RR_ECC_34	Investigate how NYC assets such as land and buildings can best be used to generate low carbon energy (including opportunities at the jointly owned assets Energy from Waste (EfW) plant and closed landfill sites) and highlight potential for carbon capture and storage opportunities, funding secured from DESNZ to develop a strategic energy partnership (green finance model - 2yr programme will report on options) in support of this (linked to RR_ECC_18); carbon capture at EfW site explored and deemed technically possibly but not commercially viable					ENV AD E&T	31-May-2026
RR_ECC_35	Measure and report on our emissions and plan how and when we will hit our target using a nationally recognised formula to calculate carbon emissions from delivering the services which are under our direct control. Ongoing work to quantify our carbon footprint and utilise available/limited data sources. Undertaking work to submit to the external carbon reporting framework (CDP) in addition to climate emergency scorecards. Working with Strategy and Policy colleagues to incorporate climate change reporting into future Q reports; project to improve performance mgt around climate change, to better benchmark and track our progress					ENV AD E&T	30-Sep-2025
RR_ECC_36	Embed climate change across the council via production of service and directorate level climate change action plans and ongoing awareness raising with Officers and Members; Directorate action plans developed in collaboration with each directorate, ongoing work to support the delivery of this through climate change business partners; plans have been created and are now in their delivery phases					ENV AD E&T	31-May-2026
RR_ECC_49	Create a NY Council carbon credit / offsetting strategy linked to our defined carbon footprint and trajectory which helps identify options for utilising carbon credits or offsetting future carbon emissions; linked to RR_ECC_35 which will enable a better understanding of the scale					ENV AD E&T	31-May-2026
RR_ECC_50	Continue to work and strengthen our relationship with YNYCA on the York and North Yorkshire Routemap to Carbon Negative, regional decarbonisation projects and future opportunities for net zero funding.					ENV AD E&T	31-May-2026
RR_ECC_55	Continue the work around Supporting Nature to Thrive (3rd pillar of the CC strategy) (see Risk ECC_9)					ENV AD E&T	31-May-2026
RR_ECC_56	Continue to apply for external funding to implement our prepared business cases which deliver the strategy					ENV AD E&T	31-May-2026
RR_ENV_42	Agree and deliver an annual programme of flood risk management schemes					ENV AD H&I	31-May-2026
Phase 4 - Target Risk Assessment
Target Probability	H	Target Impact	H	Target Risk Score	16	Target Risk Category		High
Phase 5 - Fallback Plan
Fallback Plan
Review strategy and implementation methods

Phase 1 - Identification
Ref.	ENV_2	Title	Passenger transport market resilience		Risk Owner	CD ENV	Risk Manager	ENV AD E&T
Risk Description	Failure to support improved transport contractor resilience (incl Home to School transport) in the face of lower subsidies, reduced commerciality of routes and current market pressures resulting in significant loss of services and pressure to find additional funding to maintain/takeover services				Risk Group	Strategic	Linked Risk(s)	ECC_10
Phase 2 - Current Assessment
Current Control Measures
Effective liaison; support if required; financial checks on key suppliers; Transport board to ensure directorate awareness of issues; use of market intelligence and increased commerciality to monitor and resolve contractor issues; Annual review of operator processes and procedures as part of compliance team visits; liaison meetings with key contractors regarding viability and commerciality when necessary
Current Probability	H	Current Impact	H	Current Risk Score	16	Current Risk Category		High
Phase 3 - Risk Mitigation Plan
Reduction Action						Action Manager	Due Date and status		Date Completed
RR_ECC_57	Work with CYPS on transformation projects including review of solo travellers (done), driver and PA training (approach agreed), HTS transport application process (which we feed into), and end-to-end transport reviews for Mainstream and SEND					ENV E&T HoTS	31-May-2026
RR_ECC_60	Continue to reprocure transport network for HAS, CYPS and LBS through a programme of annual reviews					ENV E&T HoTS	31-May-2026
RR_ENV_43	Public Transport: agreement in place, we will develop an MoU between NYC, YNYCA and CoY and then work with all parties to agree responsibility for funding and approach to delivery of public transport for future years (including full service review and bus franchise pilot)					ENV E&T HoTS	31-Mar-2026
RR_ENV_44	Support the delivery of the new HTS transport policy changes					ENV E&T HoTS	31-May-2026
RR_ETR_5	Complete continuity plan re key contractor loss; ongoing part of service BCP docs (ensure adequate resilience in the OPS team to respond to market failure); plans will need a 2025 review in light of transfer of minibus operations					ENV E&T HoTS	31-Dec-2025
RR_ETR_52	Maximise funding opportunities through production of a joint Bus Service Improvement Plan (BSIP) with CoY and YNYCA					ENV E&T HoTS	31-Jul-2026
RR_ETR_53	Implement an open framework for procurement of services					ENV E&T HoTS	31-Dec-2025
RR_ETR_7	Continue to administer DfT Local Transport Fund grants in liaison with YNYCA					ENV E&T HoTS	31-May-2026
Phase 4 - Target Risk Assessment
Target Probability	H	Target Impact	H	Target Risk Score	16	Target Risk Category		High
Phase 5 - Fallback Plan
Fallback Plan
Alternative operators known; consider in-house provision; bid for funding as and when available

Phase 1 - Identification
Ref.	ENV_5	Title	Capital Programme		Risk Owner	CD ENV	Risk Manager	ENV AD H&I; RES AD (VD)
Risk Description	Ineffective management of capital programme including any major project and LTP capital programme leads to significant overspend/underspend, weak use of resources, loss of reputation and non-achievement of the desired outcomes re delivery of the programme and effective management of asset.				Risk Group	Financial	Linked Risk(s)	EHT_4; ERG_15
Phase 2 - Current Assessment
Current Control Measures
Project management - regular financial and project planning, monitoring and reporting of the projects; risk assessment for major schemes; project management training for key ENV staff; PIR of major projects; lessons learnt/implemented; Programme management - operational and strategic programme management/monitoring and reporting through NYH, H&T and ENV management structures and Executive Members, reporting through NYH; risk assessment carried out in Capital Plan reports feed into MTFS; highways capital programme resource / manager to drive delivery of the programme implemented; Schemes portal; 3 year rolling works programme with realistic targets and alignment of internal and external delivery resources; specific monitoring of separately funded capital works; LEAN review of Capital Programme completed; introduction of efficiency measures for capital projects and programmes where relevant; lessons learnt/implemented; Highways Maintenance Investment tool being used; Governance - Gateway training carried out; Capital Projects Board (CPB) in operation; sub group of Capital Projects Board in place when required; regular Capital Update Group (CUG) meetings in place supporting Capital Board; Full Capital Plan meetings at appropriate times; NYH Board; Finance Officer support to Capital; risk register for major schemes and schemes in the capital works programme; project board for major schemes; Infrastructure Delivery Working Group; Development Management Working Group; contract management health measurement and reporting in place; effective engagement with Veritau; implementation of forward programme of planned maintenance, three year rolling delivery programme in place; 360 degree visibility and regular constructive challenge of processes across NYC/NYH/APS; Capital Assurance OMG which includes reps from NY Highways, APS and NYC operational teams including county-wide teams, to monitor existing programme and look forward to the coming year, feeding into SMG, CPB and CUG;
Current Probability	H	Current Impact	H	Current Risk Score	16	Current Risk Category		High
Phase 3 - Risk Mitigation Plan
Reduction Action						Action Manager	Due Date and status		Date Completed
RR_EHT_10	Ensure effective delivery of the Transforming Cities Fund (TCF) projects in Skipton (work has begun), Harrogate (now to progress following successful resolution of legal challenge) and Selby (contract awarded) working with the MCAs on governance arrangements and ATP					ENV AD H&I	31-May-2026
RR_EHT_103	Ongoing management of the Kex Gill project in live delivery and maintain progress on site dealing with technical and financial challenges, progress updates to be provided throughout the works via the agreed governance arrangements and use of the central portal					ENV H&I HoMP&I	30-Jun-2026
RR_EHT_108	Continue to monitor and manage risks around harbours, including implementation of the approved list of harbour infrastructure projects					ENV R&H HoH&CI	31-May-2026
RR_EHT_12	Active involvement in monitoring of NYH performance to ensure processes and procedures are working properly and are fit for purpose					ENV AD H&I; RES AD (VD)	31-May-2026
RR_EHT_129	Creation of capital works efficiency indicators monitored by SMG on scheme estimate and final outturn cost, design on time, procurement on time, comparison against NSoR, on site on time, scheme duration, delivery on time					ENV H&I HoNS	31-Oct-2025
RR_EHT_13	Active forward planning by the service to ensure it is agile and has the ability to respond to funding announcements quickly and appropriately that arise at short notice and / or late in the financial year; with three-year delivery programme; as evidenced by ability to programme in the £11.3M of LTG for NYC for 25/26					ENV AD H&I	31-May-2026
RR_EHT_141	Carry out Capital year-end review (with support from NYH)					ENV H&I HoHO; ENV H&I HoNS	31-Mar-2026
RR_EHT_15	Monitoring of the national environment re price and delivery times to ensure the service can react in a timely manner to changes; the collaborative arrangement with NYH allows us to look at internally and externally at NYH and wider costs; incl NYH lunch and learn					ENV AD H&I	31-May-2026
RR_EHT_16	Need for LTP capital programme process mapping session, followed later by a LEAN review; has commenced, led by NYH comm servs team					ENV AD H&I	31-Jul-2025		30-Jun-2025
RR_ERG_26	Obtain approval for the Capital plan to replace the Scarborough cremator; mandate approved, plan being worked up by Property and APP, will then go to Corp Capital Board					ENV R&H HoRC&B	31-Dec-2025
RR_ERG_49	Implement this year’s Environment Agency approved coastal programme (permission to apply for grant going for Exec approval)					ENV R&H HoH&CI	31-May-2026
RR_ETR_41	Develop long term strategy for harbours (includes infrastructure and economic aspects); draft being consulted on internally, will then go for public consultation					ENV R&H HoH&CI	31-Dec-2025
Phase 4 - Target Risk Assessment
Target Probability	M	Target Impact	H	Target Risk Score	12	Target Risk Category		Medium High
Phase 5 - Fallback Plan
Fallback Plan
Review of all resources and procedures; media management; member engagement; intervention by Capital Projects Board

Phase 1 - Identification
Ref.	ENV_7	Title	Brierley Homes Ltd		Risk Owner	CD ENV	Risk Manager	BHL Ops Mgr
Risk Description	Failure to maintain or increase business development and maintain a steady pipeline of building quality homes in sufficient numbers through an appropriate delivery model resulting in inability for BHL compete effectively in an open market.				Risk Group	Commercial	Linked Risk(s)	BHL_9
Phase 2 - Current Assessment
Current Control Measures
Operation manager, Office Manager and Project teams in place (under development); Business strategy for various routes of delivery in place; Council services available; compliance with H&S policy and procedures; evaluation of contractors performance; evaluation of market values and influences for the direct supply chain; evaluation of market values and influences for land acquisition; Evaluation of economical changes and; information governance service from Veritau; regular reports provided to NYC; direct supply chain of sub contractors to deliver chosen delivery route in place; business plan developed; contracting model options are assessed for each site; independent external review of the company carried out
Current Probability	H	Current Impact	H	Current Risk Score	16	Current Risk Category		High
Phase 3 - Risk Mitigation Plan
Reduction Action						Action Manager	Due Date and status		Date Completed
RR_ENV_25	Continue to monitor contractor performance through regular reporting and discussion to resolve issues and provide immediate response to issues (ongoing)					BHL Ops Mgr	31-May-2026
RR_ENV_26	Ongoing review of internal labour resource, to ensure resilience and increase skills to better inform future delivery models and business cases					BHL Ops Mgr	31-May-2026
RR_ENV_30	Continue to work with partners and a wider, developing supply chain to develop solutions to mitigate cost pressure issues					BHL Ops Mgr	31-May-2026
RR_ENV_31	Continue to evaluate market values and influences for land acquisition					BHL Ops Mgr	31-May-2026
RR_ENV_32	Ensure compliance with statutory requirements including H&S, Finance, insurance, HR					BHL Ops Mgr	31-May-2026
RR_ENV_33	Continue to evaluate housing market conditions of demand and supply and residual sales values (ongoing)					BHL Ops Mgr	31-May-2026
RR_ENV_34	Continue to monitor the economic climate when considering business cases					BHL Ops Mgr	31-May-2026
RR_ENV_49	Work to manage the impact of sales delivery falling behind programme, resulting in the need for additional borrowing					BHL Ops Mgr	31-May-2026
RR_ENV_50	Work to ensure that Member support is maintained					BHL Ops Mgr	31-May-2026
Phase 4 - Target Risk Assessment
Target Probability	M	Target Impact	H	Target Risk Score	12	Target Risk Category		Medium High
Phase 5 - Fallback Plan
Fallback Plan
Further review and revise business model and escalate

Phase 1 - Identification
Ref.	ENV_10	Title	Statutory duties		Risk Owner	CD ENV	Risk Manager	ENV MT
Risk Description	Failure to carry out statutory duties or meet statutory deadlines (e.g. Health and Safety, safeguarding, information governance, prevention of waste pollution, planning responsibilities, statutory property related issues, driver/vehicle guidance) resulting in Corporate Manslaughter, increased cost/claims, fines/prosecution and criticism.				Risk Group	Legislative	Linked Risk(s)	ECC_7; EHT_11; ERG_5
Phase 2 - Current Assessment
Current Control Measures
Service plans; service unit risk registers; allocation of responsibility training for key staff; prof. bodies incl. HSE; CPD; CDM; RMWGs; routine inspecs; contractor selection proc; NYC legal and safety advisers; annual contractor training; Designated Directorate H&S Manager and support; regular item on ENVMT; SMTs; Partnership and contract managers group; Directorate H&S working group; risk assessment; incident feedback; previous risk assessment on most sites; landfill gas perimeter controls; annual review of all sites (monitoring results); regular monitoring; use of consultants; agency staff; documented proc; record of dec. actions; audit and review of proc/compliance, inspecs, actions and training; corporate policies, procedures and champions; services to employ sufficient numbers of professionally trained/qualified officers; prioritisation matrix for resources in place in Trad Stds; training relating to new CDM Regulations for construction work; Incident plan for former landfill sites; new Dealing with Violence & Aggression training packages available (online and in-person)
Current Probability	M	Current Impact	H	Current Risk Score	12	Current Risk Category		Medium High
Phase 3 - Risk Mitigation Plan
Reduction Action						Action Manager	Due Date and status		Date Completed
RR_ECC_54	NYC H&S to carry out independent review of H&S in waste					ENV E&T HoWO&SS	31-May-2026
RR_EHT_133	Work with managers, H&S and Occupational Health to ensure a robust programme of health surveillance is in place.					ENV MT	31-May-2026
RR_ENV_12	Work with H&S to harmonise the risk assessments and safe systems of work across the services; Corporate Health and Safety policy reviewed in April 2025; H&S software system including accident/incident investigation (B-Safe) in place and SharePoint being used for risk assessment storage					CD ENV	31-Aug-2026
RR_ENV_13	Review/monitor the H&S arrangements of Contractors and Partner organisations (ongoing)					ENV MT	31-Aug-2026
RR_ENV_14	Monitor all service plans and risk registers and ensure they are checked on a regular basis (ongoing)					ENV MT	31-Aug-2026
RR_ENV_15	Review incidents and claims statistics including large losses and develop action plans (ongoing)					ENV MT	31-Aug-2026
RR_ENV_16	Work closely with the Data Governance team in Strategic Support to review and update local information governance arrangements (ongoing)					ENV MT	31-Aug-2026
RR_ENV_17	Continue to implement awareness raising campaign for information governance (ongoing)					ENV MT	31-Aug-2026
Phase 4 - Target Risk Assessment
Target Probability	M	Target Impact	H	Target Risk Score	12	Target Risk Category		Medium High
Phase 5 - Fallback Plan
Fallback Plan
Implement appropriate management and contingency plans; review priorities and reprioritise service delivery; media management

Phase 1 - Identification
Ref.	ENV_14	Title	Harbours		Risk Owner	CD ENV	Risk Manager	ENV AD R&H
Risk Description	Failure to operate the harbours in such a manner that we manage and maintain the infrastructure, comply with relevant harbour legislation and the Port and Marine Facilities Safety Code and cope with fluctuating economic conditions resulting in interruption to operations, impact on third parties, risk of injury to staff and members of the public and financial impact				Risk Group	Strategic	Linked Risk(s)	ERG_15
Phase 2 - Current Assessment
Current Control Measures
Marine safety management system; Audits of Port and Marine Facilities Safety Code compliance
Current Probability	M	Current Impact	H	Current Risk Score	12	Current Risk Category		Medium High
Phase 3 - Risk Mitigation Plan
Reduction Action						Action Manager	Due Date and status		Date Completed
RR_EHT_108	Continue to monitor and manage risks around harbours, including implementation of the approved list of harbour infrastructure projects					ENV R&H HoH&CI	31-May-2026
RR_ERG_56	Work on plan to repair Scarborough West Pier sheet piling; obtain exec agreement on all aspects					ENV R&H HoH&CI	31-Dec-2025
RR_ERG_57	Complete provision of new fuel tank and fuel supplier to Scarborough harbour					ENV R&H HoH&CI	31-Dec-2025
RR_ETR_40	Work on plan to repair Whitby Esk-side wharf; obtain exec agreement on all aspects					ENV R&H HoH&CI	31-Dec-2025
RR_ETR_41	Develop long term strategy for harbours (includes infrastructure and economic aspects); draft being consulted on internally, will then go for public consultation					ENV R&H HoH&CI	31-Dec-2025
RR_ETR_51	Progress the issues around dredging within the Scarborough (complete) and Whitby harbour mouths; licence obtained for Whitby dredging will start in July 2025					ENV R&H HoH&CI	31-Dec-2025
Phase 4 - Target Risk Assessment
Target Probability	M	Target Impact	H	Target Risk Score	12	Target Risk Category		Medium High
Phase 5 - Fallback Plan
Fallback Plan
Invoke BCP, consider use of reserves

Phase 1 - Identification
Ref.	ENV_4	Title	Long Term Waste Service Strategy		Risk Owner	CD ENV	Risk Manager	ENV AD E&T
Risk Description	Failure to design and implement a new waste service strategy which includes a harmonised waste collection service, responding to any relevant change in govt legislation, or commercial benefits from AWRP in support of NY’s climate change strategy resulting in lost efficiencies, inflexibility, reputational damage, poor value for money and ineffectiveness of AWRP				Risk Group	Strategic	Linked Risk(s)	ECC_2; ECC_3
Phase 2 - Current Assessment
Current Control Measures
Existing NYCC Waste Strategy in place; NYC/CoY/Yorwaste working group in place; AWRP and associated governance; networking intelligence and dialogue with Govt;
Current Probability	M	Current Impact	H	Current Risk Score	12	Current Risk Category		Medium High
Phase 3 - Risk Mitigation Plan
Reduction Action						Action Manager	Due Date and status		Date Completed
RR_ECC_1	Continue to review Government Resources and Waste Strategy including food waste collections and continue to engage with Government through network groups to help shape the next level of legislation. Continue to assess impacts and opportunities including climate change. ongoing					ENV E&T HoW(Cont)	31-May-2026
RR_ECC_23	Consider implications of the new Emission trading scheme as it applies to AWRP; consultations ongoing linked to ECC_3; awaiting further detail from central government					ENV E&T HoW(Cont)	31-May-2026
RR_ECC_3	Continue to monitor the performance aspects relating to Extended Producer Responsibilities that may impact on payment					ENV E&T HoW(Cont)	31-May-2026
RR_ECC_58	Implement three bin collection structure across the county					ENV E&T HoW(Cont); ENV E&T HoWO&SS	31-Mar-2028
RR_ECC_6	Explore opportunities for heat offtake, hydrogen fuel production and bids to the Net Zero Fund for feasibility study for carbon reduction options linked to AWRP, and ensure these activities continue to be documented and reported on; consultants currently assessing options for AWRP Net Zero; options assessed					ENV E&T CMW	31-Jul-2025		31-Mar-2025
RR_ECC_64	Carry out route optimisation in tandem with the system procurement, aiming to appoint consultants to complete this by Dec 26					ENV E&T HoW(Cont); ENV E&T HoWO&SS	31-Dec-2026
RR_ECC_65	Ensure that the new NYC Long Term Waste Strategy includes requirements of R&WS (particularly around food waste collection) and Infrastructure needs of the service					ENV E&T HoW(Cont)	31-Mar-2026
RR_ECC_8	Continue to monitor Thalia’s progress against their improvement plan and contract targets and understand the expectation management required in this area - ongoing					ENV E&T WCM	31-May-2026
Phase 4 - Target Risk Assessment
Target Probability	M	Target Impact	H	Target Risk Score	12	Target Risk Category		Medium High
Phase 5 - Fallback Plan
Fallback Plan
Rely short term on procured arrangements, review strategy, media management

Phase 1 - Identification
Ref.	ENV_3	Title	Delivering Transformation and Change Programmes within ENV		Risk Owner	CD ENV	Risk Manager	ENV MT
Risk Description	Failure to embed a strong change culture, processes and supporting capacity to deliver ongoing improvement and savings programmes of change in ENV e.g. Transformation Programme and savings, implications for Transport of the establishment of a Mayoral Combined Authority, more efficient ways of working with NY Highways and Yorwaste and the ENV Service Plans. This could result in adverse impact on service delivery, customer experience, inability to fully meet current and future financial requirements, internal and external criticism.				Risk Group	Change Mgt	Linked Risk(s)
Phase 2 - Current Assessment
Current Control Measures
Chief Executive webinars on the new NYC Council; new Environment Directorate staff events; Corporate Transformation challenge sessions; staff involvement in transformation project groups; corporate communications on Devolution; staff events with NY Highways; CD ENV Staff Updates; reps on Transformation theme; key messages; cascade of Transformation vision and approach; regular AD updates provided on Transformation themes; quarterly performance monitoring at ENV MT; quarterly MTFS savings monitoring at ENV MT; political agreement and acknowledgement of risks; ENV MT engagement on budget; quarterly financial monitoring to ENV MT; regular reporting on Transformation Infrastructure theme at ENV MT; staff survey outcomes implemented as and when necessary; ideas generation and review process established; regular reporting on customer based theme on change at ENV MT; AD surgeries and staff engagement sessions; quarterly ENV Heads of Service Forum;
Current Probability	M	Current Impact	H	Current Risk Score	12	Current Risk Category		Medium High
Phase 3 - Risk Mitigation Plan
Reduction Action						Action Manager	Due Date and status		Date Completed
RR_ENV_1	Continue communication/engagement arrangements with staff on Transformation and Savings Programme (ongoing)					ENV MT	31-Aug-2026
RR_ENV_2	Continue to monitor impacts and savings arising from the Transformation Programme (ongoing)					ENV MT	31-Aug-2026
RR_ENV_3	Promote and embed cultural change through key messages, KITs, manager and non-manager objectives, regular reporting on progress of change projects and impacts of daily operations on delivery of aims (ongoing)					ENV MT	31-Aug-2026
RR_ENV_35	Ensure appropriate structures are embedded across the Directorate in a timely way with a key focus on recruitment and retention					ENV MT	31-Aug-2026
RR_ENV_36	Continue to ensure appropriate support is in place to enable staff to contribute to transformation and savings such as training, encouragement of innovation and use of peer networking					ENV MT; RES AD (VD)	31-Aug-2026
RR_ENV_45	Ensure delivery of the existing agreed savings and establish and deliver the additional savings required for 26/27; regular reporting to transformation board on savings via the new ENV savings reporting template					ENV MT; RES AD (VD)	28-Feb-2026
RR_ENV_5	Ensure appropriate allocation of resources to deliver change projects (ongoing)					RES AD (VD)	31-Aug-2026
RR_ENV_52	Ensure closer working with the Corporate Transformation team and processes					ENV MT; RES AD (VD)	31-Aug-2026
RR_ENV_6	Ensure effective engagement in the NYC arrangements including Chief Executive webinars, Directorate Communication events and wider briefings to staff					ENV MT	31-Aug-2026
RR_ENV_7	Ensure effective communications and joint approach to delivery in relation to the embedding of the Mayoral Combined Authority					ENV MT	31-Aug-2026
Phase 4 - Target Risk Assessment
Target Probability	L	Target Impact	H	Target Risk Score	8	Target Risk Category		Medium
Phase 5 - Fallback Plan
Fallback Plan
Review approach to the delivery of the Transformation change programmes and cultural change management within ENV

Phase 1 - Identification
Ref.	ENV_9	Title	Major Incident and Business Continuity		Risk Owner	CD ENV	Risk Manager	ENV MT
Risk Description	Failure to plan for and respond effectively to a major incident without major impact upon routine service performance or longer-term impact on service delivery. Such incidents may include animal health disease, flooding and other severe weather, service breakdown including cyber-attack, loss of critical resources (eg property, people and ICT) resulting in the need to deliver additional service in order to ensure effective enforcement/containment and minimal disruption to critical services.				Risk Group	Business Continuity	Linked Risk(s)
Phase 2 - Current Assessment
Current Control Measures
Leadership of ENV Management Team and appropriate lead manager; work with other appropriate partners; appropriate major incident and emergency plans; inspection monitoring programmes; systems resilience & back up arrangements in place; business impact analyses and incident management plans are in place; disaster recovery plan; NYC silver command exercises carried out; implementation of solutions based upon lessons learned from previous major incidents; ENV RMRG; biannual multi-agency training events; command structure / information flow for business continuity incidents finalised; emergency protocol agreed with Kier and Yorwaste in the event that sites to be open on days when they may otherwise be shut; critical infrastructure network in line with HMEP recommendations in place;
Current Probability	L	Current Impact	H	Current Risk Score	8	Current Risk Category		Medium
Phase 3 - Risk Mitigation Plan
Reduction Action						Action Manager	Due Date and status		Date Completed
RR_ENV_20	Ensure that resources are flexible enough to manage unexpected major and business continuity incidents (ongoing)					ENV MT	31-Aug-2026
RR_ENV_21	Continually review procedures, plans and training in relation to major incidents (ongoing)					ENV MT	31-Aug-2026
RR_ENV_22	Annual live or desk top exercises to test plans, and including the incident and response and continuity plan with NY Highways (ongoing)					ENV MT	31-Aug-2026
RR_ENV_23	Ensure sufficient capacity is present to be able to manage a major incident; working with RET including establishment of forward liaison officers					ENV MT	31-Aug-2026
RR_ENV_24	Consider recent significant natural events relative to the impact of climate change and plan accordingly					ENV MT	31-Aug-2026
RR_ENV_51	Ensure that business continuity arrangements include service response to localised or council wide cyber-attack					ENV MT	31-Aug-2026
Phase 4 - Target Risk Assessment
Target Probability	L	Target Impact	H	Target Risk Score	8	Target Risk Category		Medium
Phase 5 - Fallback Plan
Fallback Plan
Review the plans, media management, advise Members

Risk Reduction Action Status Key
Symbol	Meaning
	The risk reduction action is overdue for completion or review.
	The risk reduction action is approaching its expected completion or review date.
	The risk reduction action is on target.
	The risk reduction action has been completed.

Risk Trend	Risk	Description	Risk Owner	Risk Manager	Curr Prob	Curr Imp	Current Risk Score	Current Category	Targ Prob	Targ Imp	Target Risk Score	Target Category	FB Plan?
	ENV_8 Major schemes	Failure to deliver the programme of major transport and coastal engineering schemes resulting in impact on the council’s growth plan, negative impact on national and regional partner relations, increased coastal erosion and loss of coastal assets.	CD ENV	ENV AD H&I	VH	VH	25	Very High	M	H	12	Medium High
	ENV_13 Climate Change	Failure to support the Council’s aim to achieve carbon neutrality of its own operations by 2030, carbon neutrality of the region by 2034 and a carbon negative region by 2040, and also ensure that appropriate mitigations and adaptations are progressed, failure would result in continued / increasing damaging events (eg. floods, heat waves), unmet public expectation and missed opportunities for energy spend reduction	CD ENV	ENV AD E&T	H	H	16	High	H	H	16	High
	ENV_2 Passenger transport market resilience	Failure to support improved transport contractor resilience (incl Home to School transport) in the face of lower subsidies, reduced commerciality of routes and current market pressures resulting in significant loss of services and pressure to find additional funding to maintain/takeover services	CD ENV	ENV AD TLPH	H	H	16	High	H	H	16	High
	ENV_5 Capital Programme	Ineffective management of capital programme including any major project and LTP capital programme leads to significant overspend/underspend, weak use of resources, loss of reputation and non-achievement of the desired outcomes re delivery of the programme and effective management of asset.	CD ENV	ENV AD H&I; RES AD (VD)	H	H	16	High	M	H	12	Medium High
	ENV_7 Brierley Homes Ltd	Failure to maintain or increase business development and maintain a steady pipeline of building quality homes in sufficient numbers through an appropriate delivery model resulting in inability for BHL compete effectively in an open market.	CD ENV	BHL Ops Mgr	H	H	16	High	M	H	12	Medium High
	ENV_10 Statutory duties	Failure to carry out statutory duties or meet statutory deadlines (e.g. Health and Safety, safeguarding, information governance, prevention of waste pollution, planning responsibilities, statutory property related issues, driver/vehicle guidance) resulting in Corporate Manslaughter, increased cost/claims, fines/prosecution and criticism.	CD ENV	ENV MT	M	H	12	Medium High	M	H	12	Medium High
new	ENV_14 Harbours	Failure to operate the harbours in such a manner that we manage and maintain the infrastructure, comply with relevant harbour legislation and the Port and Marine Facilities Safety Code and cope with fluctuating economic conditions resulting in interruption to operations, impact on third parties, risk of injury to staff and members of the public and financial impact	CD ENV	ENV AD R&H	M	H	12	Medium High	M	H	12	Medium High
	ENV_4 Long Term Waste Service Strategy	Failure to design and implement a new waste service strategy which includes a harmonised waste collection service, responding to any relevant change in govt legislation, or commercial benefits from AWRP in support of NY’s climate change strategy resulting in lost efficiencies, inflexibility, reputational damage, poor value for money and ineffectiveness of AWRP	CD ENV	ENV AD E&T	M	H	12	Medium High	M	H	12	Medium High
	ENV_3 Delivering Transformation and Change Programmes within ENV	Failure to embed a strong change culture, processes and supporting capacity to deliver ongoing improvement and savings programmes of change in ENV e.g. Transformation Programme and savings, implications for Transport of the establishment of a Mayoral Combined Authority, more efficient ways of working with NY Highways and Yorwaste and the ENV Service Plans. This could result in adverse impact on service delivery, customer experience, inability to fully meet current and future financial requirements, internal and external criticism.	CD ENV	ENV MT	M	H	12	Medium High	L	H	8	Medium
	ENV_9 Major Incident and Business Continuity	Failure to plan for and respond effectively to a major incident without major impact upon routine service performance or longer-term impact on service delivery. Such incidents may include animal health disease, flooding and other severe weather, service breakdown including cyber-attack, loss of critical resources (eg property, people and ICT) resulting in the need to deliver additional service in order to ensure effective enforcement/containment and minimal disruption to critical services.	CD ENV	ENV MT	L	H	8	Medium	L	H	8	Medium

Risk Trend Key
Symbol	Meaning
	Risk ranking has worsened since the last review.
	Risk ranking is the same as at last review.
	Risk ranking has improved since the last review.
new	Risk is new or has been significantly altered since the last review.