Agenda Item Report to: Cabinet Date: 8 June 2010 By ......Cabinet . Date: 8 June 2010 . By: Deputy Chief Executive and Director of Corporate Resources . Title of report: Risk Management

Agenda Item Report to:

Cabinet

Date:

8 June 2010

By:

Deputy Chief Executive and Director of Corporate Resources

Title of report:

Risk Management Annual Report 2010

Purpose of report: To update the Cabinet of the developments in Risk Management in the past 12 months and proposed actions for the next 12 months.

The Cabinet is recommended to:

1. note the developments in risk management in the last 12 months; 2. note changes to the Strategic Risk Log; and

3. note the proposed actions set out in Section 6. 1. Financial Implications 1.1 There are no direct additional financial implications resulting from this report. However, there are significant financial implications that could arise from a failure to operate a sound system of risk management. 2 Introduction 2.1 The purpose of risk management is not to remove all risk, rather it is to ensure that risks are identified, analysed and managed in order to ensure that the council can successfully achieve its objectives and fulfil its obligations, while providing an appropriate level of service and leadership to the community. In 2009 the CAA introduced a more rigorous test, focusing on outcomes as opposed to processes. The council scored 3 out of 4 for the relevant section, relating to Risk Management. 3 Developments in Risk Management over the past 12 months 3.1 The Strategic Risk Log, which represents the Corporate Level Risks and key Departmental level risks, has been reported to COMT, Cabinet and Audit and Best Value Scrutiny Committee on a regular basis to ensure an awareness of the changing risk profile facing the council. COMT also consider risk issues when considering forward plans. 3.2 Risks faced by individual schools are unlikely to impact on the council’s Strategic Risk register, although they can have the potential to create a significant reputational and financial risk for the council or for an individual school. Therefore, a risk ranking exercise of all East Sussex schools was commenced in 2009. This involved a survey of all schools being undertaken by the council’s property insurer, Zurich Municipal, specifically relating to property damage, health and safety issues, security, visitor access, and information security. These surveys are intended to produce a standard dataset enabling the identification of areas of good practice and where improvement actions can be implemented. Each school survey will also receive a detailed, individual report. This process is on going, but all Secondary schools have been scheduled for survey in the first year. The cost of these surveys is met from the existing risk management budget. 3.3 A tendering exercise was undertaken in relation to the council’s non liability insurance portfolio, due to the expiry of the existing Long Term Agreement with service provider, Zurich Municipal. This included property, motor and personal accident insurances. The contract was retained by Zurich Municipal, with premium rates being maintained, despite the current unpredictable state of the insurance market.

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3.4 The risk management budget supported several risk improvement initiatives across various council services, including additional security fencing and lighting at several school locations, and wheel nut check equipment for the County Transport Division. 4 Strategic Risk 4.1 The Chief Officers Management Team have reviewed the Strategic Risks for 2010 / 2011. A copy of the Strategic Risk Log is attached (appendix 1). Alterations made since the Strategic Risk Log last appeared before the Committee in March 2010 are marked with a star (*). 4.2 The Strategic Risk Log contains four new identified risks. These are risks number 1, 4, 23 and 24. 5 Examples of Risks captured at Departmental level. 5.1 Appendices 2 to 6 show some examples of risks captured at Departmental and Divisional levels. These risks are appropriately mitigated and therefore not considered appropriate to escalate to the Corporate Risk level. 5.2 These risks are just a small sample chosen to illustrate the type of risk management activity being undertaken below the Corporate level, showing risks identified and mitigation actions taken. 6 Issues to be addressed and future improvements. 6.1 The schools risk ranking exercise commenced in 2009 (see 3.2 above) is scheduled to continue for a further year. Over 50 % of schools have been surveyed in the first year, with all secondary schools either surveyed or scheduled to be surveyed. A final report will be published to assist the reduction of risk across the schools portfolio. This survey will be funded from existing risk management budgets. 6.2 Risk management training is an essential tool to ensure that risk management practice and procedures are fully understood and embedded within the culture of the council. An e-learning package will be developed to support managers in relation to the identification and management of risks, both to reduce threat and to enhance opportunity in relation to service delivery. 6.3 The extreme weather conditions experience between December 2009 and February 2010 led to a huge increase in the number of Highways related vehicle damage claims, received by the council. This increase placed existing resources under extreme pressure. Therefore a systems review will be undertaken in relation to the full claims investigation process, including information gathering and exchange, to ensure that systems are in place that are better able to meet any similar situation in future. 6.4 The existing Risk Management Strategy will be reviewed and updated, with the new Strategy issued by the end of 2010. Sean Nolan Deputy Chief Executive and Director of Corporate Resources

Contact Officer Rawdon Phillips 01273 481593

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New and Revised Strategic Risk Log for 2010/11 Appendix 1

KEY THEME AREAS

INHERENT RISK

1 = Low 4 = High

IMPACT

1 = Low 4 = High

LEAD COORDINATING

OFFICER ON BEHALF OF

COMT

NEW or Revised

‘*’ 1. Potential for transition to new Chief Executive, Chief Officer and senior

management posts to have a negative impact on the effectiveness of the County Council

1 4 Becky Shaw and all Chief Officers *

Mitigating Actions • Effective handover arrangements between past and current post

holders • Effective mentoring and support to post holders • Effective communication of changes between COMT, staff and

partners • Appointment of Interim Director of Governance and Community

Services

2. Failure to recruit and retain key staff, and manage capacity pressures and staff moral and motivation effectively

2

4

Bill Murphy

Mitigating Actions • Consider findings of 2009/10 Staff Survey and develop action plan. • Improved corporate identity/branding • E-Recruitment underway to improve our appointment procedures • Workforce planning • Increased use of flexible approaches to contract terms and

conditions to encourage retention of key employees • Use of Management Capacity Reserve • Reconciling Policy and Resources

W:\Andy\Cabinet\2010\8-06-10\C8Jun2010Item10Appendix1AnnualRisk.doc

INHERENT RISK

1 = Low 4 = High

IMPACT

1 = Low 4 = High

LEAD COORDINATING


COMT

NEW or Revised

‘*’ KEY THEME AREAS

• Robust internal Communications Strategy 3. Failure to implement effectively key departmental restructuring exercises (as

well as ensuring a sound response to ‘single status’, and equal pay issues).

2

3

Bill Murphy(relevant department lead)

Mitigating Actions • Implement options to achieve completion of Single Status.

Negotiations with Unions now underway. • Provide appropriate training for personnel case workers on current

legal requirements • Provide briefing sessions and training programmes for managers,

headteachers and governors • Mediation now successfully implemented as a first step to resolve

workplace disputes

4. Failure to put in place effective Medium Term financial planning linked to service priorities to deliver sustainable outcomes and deliverable savings plans – in the context of the severe funding constraints now expected allied to existing spending pressures and other risks.

3 4 Sean Nolan *

Mitigating Actions • Operation of Reconciling Policy and Resources • Realistic Medium Term Resource assumptions • Links to Risk Management Protocols • Operation of capital planning methodologies


KEY THEME AREAS

INHERENT RISK

1 = Low 4 = High

IMPACT

1 = Low 4 = High

LEAD COORDINATING


COMT

NEW or Revised

‘*’

5. Failure to meet the ongoing challenge of improving performance in the context of rising expectations, uncertain resources, efficiency expectations and the tension between vulnerable and universal services.

3

4

Becky Shaw *

Mitigating Actions • Continued operation of Reconciling Policy and Resources • Active involvement of Scrutiny • Continued focus on robust data quality and performance

management (especially on low performing indicators) • Establishment of future cash limits and 4 year service planning • Communications and lobbying strategy • Focus on benchmarking efficiency and comparative value for money • Strong partnership arrangements (inc the voluntary and community

sector) • Consultation and strong evidence base of residents’ views and needs

used to influence policy decisions

6. Failure to manage adequately volatile budget areas (e.g. social care, special needs, home to school transport etc) to the extent they impact sufficiently on other priorities.

3

4

Sean Nolan

Mitigating Actions • Formal monthly monitoring and reporting • Enhanced budget monitoring processes • Risk management arrangements


KEY THEME AREAS

INHERENT RISK

1 = Low 4 = High

IMPACT

1 = Low 4 = High

LEAD COORDINATING


COMT

NEW or Revised

‘*’ Medium Term planning

7. Reputational damage and lack of confidence from failure to maintain or deliver increased service standards (including inspection or assessment scores in Comprehensive Area Assessment).

2

3

Becky Shaw

*

Mitigating Actions • Robust performance management and risk regimes in place • Continued strengthening of customer focus and equalities work • Strong partnership arrangements • Clear communications and consultation strategy and infrastructure • Actions arising from CAA feedback incorporated into business plans • Delivering effective partnership responses to CAA regime.

8. Negative impact of the Recession on East Sussex residents, businesses and communities.

3

4

Becky Shaw *

Mitigating Actions

• Implementation of agreed evidence and partnership based action plan

supporting: o Businesses; o Residents o Voluntary and Community Sector and local communities.

• Through RP&R monitoring and the impact of the Recession on County Council finances, services, performance and suppliers and amending plans and strategies accordingly.


KEY THEME AREAS

INHERENT RISK

1 = Low 4 = High

IMPACT

1 = Low 4 = High

LEAD COORDINATING


COMT

NEW or Revised

‘*’

9. Failure to manage successfully the quality, relationships and outcomes from the increasingly complex partnership agenda including the various aspects of locality working.

3

3

Becky Shaw

Mitigating Actions • Clear partnership governance arrangements • Successful delivery of LAA2 linked to Reconciling Policy and

Resources • Robust LAA / NIS monitoring arrangements in place and integrated

into Reconciling Policy and Resources • Strong relationships with local partners • Integrated sustainable community strategy showing joint priorities • East Sussex in Figures providing robust evidence base. • Planned strengthening of communication with local Members.

10. Failure to manage effectively the key strategic relationships with, and performance of, key commercial partners (e.g. BT, Serco, Veolia, key care providers etc).

2

4

All Chief Officers


KEY THEME AREAS

INHERENT RISK

1 = Low 4 = High

IMPACT

1 = Low 4 = High

LEAD COORDINATING


COMT

NEW or Revised

‘*’

Mitigating Actions • Relationship strategies in place • Review of contract management arrangements

11. Failure to secure an effective ‘Agewell’ Scheme in line with business objectives. 2

4

Keith Hinkley Mitigating Actions

• All detailed planning consents achieved on the four acquired sites. • Full link to corporate capital planning. • Care needs linked with Commissioning Strategies. • Preparation of contingency plans.

12. Failure to put in place an effective medium term service plan consistent with commissioning strategies, “Putting People First”, whole system challenges, and drivers with maximum efficiencies and resources available.

2

4

Keith Hinkley

Mitigating Actions • Three year plan, including objectives for Putting People First agreed

and integrated into the Council Plan and Adult Social Care Business Plan. Joint commissioning strategies for older people, mental health and learning disabled completed. Implementation monitored through core performance management processes within the County Council.


INHERENT RISK

1 = Low 4 = High

IMPACT

1 = Low 4 = High

LEAD COORDINATING


COMT

NEW or Revised


• Implementing the change agenda through robust programme and project management arrangements.

13. Risks from changes within the NHS including delivery of World Class

Commissioning application of provider Trusts for Foundation status and impact of PCT achieving efficiency savings.

3

4

Keith Hinkley

Mitigating Actions • Robust and formal partnership working including the development of

joint commissioning strategies, Risk Share Agreement, Section 31 Agreements and Service Level Agreement.

• Improved engagement with the local health economy including the setting up of an Executive Group (Director of Adult Social Care and Health Chief Executive) to manage the development of social care and health services in East Sussex.

• Development of Implementation Plan between County Council and Primary Care Trusts, specifying priority areas for integrated working, investment decisions and performance targets.

14. Failure to sustain current improved performance on our priority performance indicators within Adult Social Care

2

4

Keith Hinkley

Mitigating Actions • Continue with the DMT led Performance Board. • Develop our benchmarking for the National Indicator Set. • Enhance performance through programme arrangements for Putting

People First.


KEY THEME AREAS

INHERENT RISK

1 = Low 4 = High

IMPACT

1 = Low 4 = High

LEAD COORDINATING


COMT

NEW or Revised

‘*’ 15. Failure to deliver ASC Transformation Agenda.

2 4

Keith Hinkley *

Mitigating Actions

• Review of current commissioning strategies in a structured programme of work to ensure compliance with Putting People First.

16. Transfer from NHS to ESCC of responsibility and fund for commissioning Learning Disability Services for adults.

3

3

Keith Hinkley

*

Mitigating Actions • Joint project group with PCT’s including Legal Services and Audit,

with draft agreement reached on revenue and capital transfer. • Governance arrangements requiring Cabinet agreement, including risk

management arrangements. • Joint work with other local authorities to ensure consistent approach

to management of risk. • Referral to arbitration for outstanding pensions issue.

17. Implementation by PCT of Continuing Health Care (CHC) criteria. 2

2

Keith Hinkley *

Mitigating Actions • New systems introduced to manage process, with monitoring through

Joint CHC Leadership Group.


INHERENT RISK

1 = Low 4 = High

IMPACT

1 = Low 4 = High

LEAD COORDINATING


COMT

NEW or Revised


• Joint assessment reams to be established for CHC.

18. Probable introduction of free personal care for Older People and adults receiving community services in April 2011.

4

4 Keith Hinkley *

Mitigating Actions

• Contribute to ongoing lobbying of Government to address the additional financial pressures being placed on Local Authorities.

• Project to be initiated to manage implementation, with reports to Chief Officer Management Team.

• Impact of implementation in 2011/12 to be addressed through Reconciling Policy and Resources process.

19. Failure to secure appropriate approval for the Link Road and expected external funding support and to ensure that the same remains affordable and deliverable.

4

4

Rupert Clubb *

Mitigating Actions • Continue governance through project board • Continue to influence Regional Transport Board and local

development frameworks. • Submit final MSBC by 28 February 2010 • Maintain closer links with DfT to resolve any queries arising from

MSBC submission • Consider and implement recommendations from 4Ps peer review • Work closely with newly appointed ECI contractor – co-locate

teams • Ensure target cost is within budget.


INHERENT RISK

1 = Low 4 = High

IMPACT

1 = Low 4 = High

LEAD COORDINATING


COMT

NEW or Revised


• Continue to use expert legal advice and lobby for ministerial decision as quickly as possible.

20. Failure in key waste delivery plan and milestones (including recycling with Districts).

3

4

Rupert Clubb

Mitigating Actions • Contract governance through Joint Project Board • Work with OGC to minimise risk of infraction proceedings over

extension of contract • Affordable interim arrangements secured through contract re-

negotiation • Waste reserve based on modeled prudential scenarios • Continuous development and scrutiny of modeling • Develop partnership approach with BHCC and Veolia

21. Failure to deliver benefits of a joint waste authority with Districts. 3 3 Rupert Clubb *

Mitigating Actions • Identify benefits of and options for joint working and continue to

develop business case(s) • Continue officer, Chief Officer and mentor level meetings. • Align collection contracts • Completion of legal agreement with districts and gain clarity of

future recycling plans • Develop the role of the East Sussex Waste Resources Strategy

Group

22 Failure to reduce numbers of Killed and Seriously Injured on East Sussex 3 3 Rupert Clubb W:\Andy\Cabinet\2010\8-06-10\C8Jun2010Item10Appendix1AnnualRisk.doc

KEY THEME AREAS

INHERENT RISK

1 = Low 4 = High

IMPACT

1 = Low 4 = High

LEAD COORDINATING


COMT

NEW or Revised

‘*’ roads.

Mitigating Actions • Appoint dedicated Road Casualty Reduction Specialist • Work closely with partners through East Sussex Casualty

Reduction Steering Group (ESCRSG) • Work up strategy and action plan through ESCRSG • Identify measures where there is evidence of success • Pilot these measures in East Sussex • Roll out successful pilots more widely

23 Failure to achieve the required improvement in highway condition after the additional investment of £8.5m

3 3 Rupert Clubb * Mitigating Actions

• Detailed risk log managed by AD operations in T&E • Two-year road improvement programme drawn up • Reporting & Governance Regime Established • Laser Surveys arranged for the Autumn to check progress • Consultation with Utility Companies to Co-ordinate Works

24. Failure to plan effectively for the disposal of the county’s waste 3 3 Rupert Clubb * Mitigating Actions

• Agree revised timetable for completion of Minerals and Waste LDF • Develop and implement communications plan, tying in with waste

disposal activity • Review options in light of responses to consultation • Review alternatives to land disposal • Agree revised Core Strategy

25. Failure to deliver major property projects – on cost, to specification and to time 3 4 Sean Nolan * W:\Andy\Cabinet\2010\8-06-10\C8Jun2010Item10Appendix1AnnualRisk.doc

KEY THEME AREAS

INHERENT RISK

1 = Low 4 = High

IMPACT

1 = Low 4 = High

LEAD COORDINATING


COMT

NEW or Revised

‘*’ – but including failure to deliver effective client or sponsor role.

Mitigating Actions • New model in place • Involvement of Scrutiny • Implementation of PID approach • Challenge / training for project sponsors • Partnering arrangements with specialist project management • More structured work on key client roles • Review of forward planning skills and capabilities with key

departments (eg Children’s)

26. Failure to deliver economic regeneration aspirational progress in key areas, (including Hastings, Bexhill, Newhaven and Eastbourne Hailsham Triangle) and to fail to maximize benefit of any new Sub-Regional economic governance structures.

3 4 Becky Shaw

Mitigating Actions • Analysis of indices of multiple deprivation commissioned. • Robust planning processes and partnerships in place • East Sussex Economic Strategy • Annual economic study and business survey

27. Failure to deliver improved standards at Key Stage 3 and 4 in Hastings as Filsham valley refused to agree to a ‘hard federation’.

2 4 Matt Dunkley

Mitigating Actions • Quarterly monitoring of the implementations of Ninestiles Plus

contract by the Deputy Director, L&SE.


INHERENT RISK

1 = Low 4 = High

IMPACT

1 = Low 4 = High

LEAD COORDINATING


COMT

NEW or Revised


• Regular contact between the Executive Headteacher and the Joint Committee.

• Significant investment of resources from the County Council and the Standards Fund grant to facilitate a range of strategies to improve core subjects.

• Joint Committee established following Filsham Valley against Hard Federation.

28. Failure to respond effectively to the growing number of young people being classed as vulnerable and potentially requiring support and services.

3 4 Matt Dunkley *

Mitigating Actions • Ensure appropriately qualified staff mix within Youth Support teams

and redefine role and function of the staff.

29 Failure to articulate effectively and commission major school re configurations requirement over the short and long term – including Academy Programme in Hastings, BSF in Bexhill, further BSF rounds and primary capital programme.

3 4 Matt Dunkley * Mitigating Actions

• Children’s Services Capital Strategy Team restructured. • Additional investment in feasibility studies. • Readiness to Deliver for BSF submitted to DCSF. • Capital Strategy Board and PCP Board established. • Consultation on primary reorganisation in Bexhill and Eastbourne • Academies Board Established

30. Failure to respond appropriately to the increasing number of referrals to children’s social services and to the increasing number of children with Child

4 4 Matt Dunkley *


KEY THEME AREAS

INHERENT RISK

1 = Low 4 = High

IMPACT

1 = Low 4 = High

LEAD COORDINATING


COMT

NEW or Revised

‘*’ Protection Plans and Looked After Children.

Mitigating actions • Refreshed social worker recruitment and retention strategy,

including recruitment from abroad. • Revision of record management systems to promote effective use

within children’s social care. • Additional funding made available for children’s social care

services. • Management capacity within the Safeguarding Unit strengthened. • Proactive recruitment of new foster carers and support lodgings

providers.


TRANSPORT & ENVIRONMENTObjective Risk Level

Management level at which risk is monitored

To minimise the risk of unforseen costs for Transport Strategy and Road Safety schemes under the May Gurney contract.

Divisional

To maintain the road network condition

Divisional

To maintain street lighting at an acceptable level

Divisional

Ensure value for money in key contracts

Divisional

Departmental

Risk Description of threat and potential consequence on service delivery

Risk Control Mitigation measures

Final costs for Transport Strategy and Road Safety schemes under the May Gurney contract are higher than agreed estimate due to compensation events, resulting from changes on site or unforeseen conditions. Final costs exceed available budget.

Develop improved gateway process, early team involvement, risk management, contract management etc. Currently being addressed as part of pathway process.

Severe weather situations occur (ie flooding, extended icy conditions), causing widespread damage to the highway network. Long term impacts of climate change.

Network offices placed on emergency footing. Regular press releases issued and reviewed. Funding bid formulated for GOSE and Cabinet to consider. Use Local Climate Impact Profile (LCLIP) to help assess likely impacts as part of the ongoing adapting to climate change work.

Life expired lighting columns cannot be replaced due to lack of Capital funding. Resulting lack of investment will increase maintenance backlog and increase risk to public safety. Political and reputational risk as well as public safety risk

Ensure that a column testing programme is in place so that any dangerous life-expired columns can be removed before they collapse.

Extension/re-tendering of the highways maintenance contract, which if not properly managed may lead to less investment. May require more Enforcement of Contract which could mar the contract relationship.

Highlight issues to ESCC Senior Management. Project team in place to manage process.

Failure to secure service improvements • Develop clear action plans, responsibilities and timelines to deliver improvements;• Engagement with partners and stakeholders on who we will rely;• Appropriate consultation to ensure vision is shared.

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Carl Valentine

3 3 9 = H

Dale Foden

3 3 9 = H

Roger Williams

2 3 6 = MDale Foden

4 2 8=H

Andy Robertson, Karl Taylor and Mo Hemsley

ADULT SOCIAL CARE Objective Risk Level




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Employment is considered within the care plan for working age adults

Divisional Scarcity of appropriate employment services and training for operational staff

Work with commissioners to develop appropriate employment services 3 2 6=M

To provide support to enable people with MH problems gain and retain employment

Divisional Lack of opportunity due to economic climate

1.Provision of support to retain employment2.Build relationships with employers

3 3 9=H

Dedicated ACM to all DPS short-term rehab services

Department No dedicated assessment identified possible severe impact on throughput and efficiency in DPS

Existing ACM staff and processes would be used to maintain throughput. 3 2 6=M

Improve the outcome of joint performance assessment and joint inspection by developing clearer and more robust relationships with partner organisations (health) regarding performance information and performance improvement.

Department Gaps in data provided by Sussex Partnership Trust, East Sussex Hospitals Trust and Primary Care Trusts. Impact on performance and inspection if data not provided or there are gaps in data provided.

Meetings held with Heads of Performance in partner organisations.

3 3 9=H

Promote independence and well being through achieving modernisation of day opportunities by providing a broad range of services which fulfil current and future needs and expectations.

Divisional The savings required compromise the re-commissioning of new services, or resources do not move from expensive to preventative services.

Establish notional savings and resource shifts at the outset of project management and planning

2 3 6=M

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CHILDRENS SERVICESOBJECTIVE RISK LEVEL Management

level at which risk is monitored

RISK Description of threat and potential consequence on service delivery

RISK CONTROL

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Development & Planning. Management of CSD Capital Programme

Department / Cross Depts Capital projects over run in terms of time & budget resulting in reduced quality, financial implications and poorer outcomes for children.

Adequate & effective resourcing & project control by CRD including effective monitoring & reporting of programme change by CRD.,via;• Mid term review• implementing CRD Capital Monitoring report proposals• implementing Change Control process.

3 4 12=H

Melanie Griffin John Morris CRD Prop

Access & Disability Team: Pupil places are allocated at primary and secondary schools

Divisional Failure to meet legal requirement related to secondary school allocation date and locally determined primary date, resulting in; 1). Parents anschools not aware of school allocations leading to stress for parents/children 2 Schools unable to plan for new intake 3. Reputation of council suffers

Preferences are entered onto database. Database is preparefor auto-allocation. Letters produced.

1 4 4=M

Sheila Locke Trevor Dann

Development Planning Team : Achieve strategic objectives of BuildinSchools for the Future programme.

Divisional Bexhill High School BSF OSP project overruns on time & budget

Additional staff resource engaged, to be supported by re-prioritising work streams internally.

1 4 4=M

Penny Gaunt Matt Eade

Schools Application Support: Monitor and help produce schools SLA documentation

Divisional Schools not buying into the service, due to external offerings, therefore not generating the income required for the budget of the team resulting in potential reduced service of team and possible redundancies.

Develop the schools SLA to include the new and improved service offerings.

Gain agreement for Core and Comprehensive offerings for 2009/10, which will allow for more flexibility for the service.

School ICT consultancy reviewing range of services offered to assess future need. Report due Oct 08

The Oct 08 report will inform production of core offerings for Dec 08.

1 3 3=L

Hazel Cunningham John Moore Mark Wilson

EYEE Funding Reform - Proposals for new EY funding reform successfully apporved by CSD.

Departmental Failure of ESCC to obtain agreement through consultation with schools, private, voluntary and independent schools resulting in inability to deliver due to funding constraints and poorer outcomes for children (Insufficient funding could lead to a loss of childcare places.)

Re-run of consultation in progress on PVI costs (developed from funding formula), using a more user friendly CD-Rom to obtain the information from a selective group of PVI providers. Use information obtained to inform and make recommendations to ESCC Financial team on true costs in relation to the delivery of a core flexible offer. Work with other EYCESS teams to ensure childcare market remains sufficient

2 4 8=H

Melanie Shires Ruth Szulecki

1

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ICER(S)

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CORPORATE RESOURCES DIRECTORATE

Objective Risk Level Management level at which risk is monitored



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Develop and deliver a risk based Internal Audit Strategy for schools, incorporating the programme of Financial Management Standard in Schools assessments.

Divisional Loss of external income from internal audit contracts / FMSiS externalassessments leading to compensating savings being needed.

• Ensure quality of Richard Seager• Effective audit management of external contract activity and client liaison.

• Use of flexible staffing options – e.g. fixed term contracts, agency staff.· Regular review of resources.· Close working with CS Finance to ensure prompt completion of FMSiS self assessments. Participation and input to national working FMSiS working groups

2 2 4

Provide better tools for front line ICT staff with emphasis on data security and network resilience

Divisional Resilience to power and facilities issues for the network could result in service outage

A capital bid has been agreed to fund work to improve resilience. This will

3 2 6=M

Pete Lulham

Continuous scrutiny of network design looking for single points of failure

A year-on-year action plan for enhanced resilience

Continue the pursuit of excellence in financial management based round an improvement plan and targeted increases in elements of CPA Use of Resources score whilst at least maintaining overall 3 / 4

Divisional The reputation of the council suffers as the result of a poor audit report and/or CAA score, due to errors and missed deadlines

Close liaison with external auditors.

4 2 8=H

Amanda Walker

Achievable service delivery plans in place.Recruitment of staff to new / vacant posts to maintain standards of service delivery. Appropriate training and support for staff.Ensure compliance with specific KLOE to achieve higher score / maintain score.Target an unqualified audit opinion on Governance arrangements and Year End Accounts via robust and deliverable business plans.

of capital projects

Co ordinate service delivery plans and maintain close liaison with Auditors

Develop a strong regime of self assessment

Maintain and improve high standards of resource management through reconciling policy and resources, high quality financial management and control, maximising income generating opportunities; intergrated and effective medium term financial

Divisional Lack of internal SAP knowledge and single person specialisms acting as a limit on service development or on day to day delivery.

Appropriate training of staff across different functions within the Finance division.

3 3 9=H

FUMT Janyce Danielczyk,Wendy Neller,Ann Stagg

‘Up skilling’ of SAP users.Reduce reliance on individual professionals.Flourishing trainee schemes and appropriate support for professional training schemes.Introduce ‘back up’ arrangements.

planning proacti eMaximise the efficiency of the Property portfolio on behalf of the Council through effective asset management; County wide capital planning; effective energy management and efficient delivery

Divisional Insufficient quality of external consultants

Renewed framework agreement with better definition of duties and separation of roles

4 3 12=H

John Morris

Performance management of consultants and appointment based on quality assessment

GOVERNANCE & COMMUNITY SERVICES Objective Risk Level




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Improve the Councils reputation by explaining our policies and decisions clearly and consisitently through delivery of an improved media profile for ESCC and its priorities.

Departmental Potential damage to reputation of adverse publicity as a result of possible actions to mitigate the effects of the Council's difficult financial position over the next 4 years.

Successful delivery of CountyCouncil communications strategy, including planned increase of positive media coverage to balance negative publicity, as well as advancedmedia planning for any expected negative news.

3 3 9=H

Lyn Evans

Improve community safety by working with partners to achieve Safer Communities LAA targets

Departmental Possible impact of the Recession on crime levels especially acquisitive crimes

Continue to work with partners through the East Sussex Safer Communities Group to consider the impact the Recession has on crime and the fear of crime.

1 3 3=L

Marcus Gomm

Implement, in partnership with the ESSP, the LAA and the community strategy for East Sussex which reflect the priorities of ESCC, residents and partners.

Divisional Challenges of handling successfully an increasingly complex partnership agenda

Work ongoing to integrate therequirements of Government (GOSE) with local requirement of partners and ensure appropriate monitoring mechanisms are in place

2 3 6=M

Jane Mackney

Coroners: To investigate causes of death

Divisional Loss of available mortuary facilities.

Business Continuity Plans requested from Health Trusts. Health Trust currently updating their Plan. Temporary mortuary facilities available in the event of an emergency and officers appointed to manage implementation.

2 2 4=M

Mary Clarke

Emergency Response - Emergency Centre; Humanitarian Assistance Centres; Temporary Mortuary Provision

Departmental Insufficient ICT provision to enable County Emergency Centre at St Mary's House to function

A proposal for the enhancement of ICT provision has been approved by COMT. ICT Project has been initiated.

2 2 4=M

David Broadley

Documents

Agenda Item Report to: Cabinet Date: 8 June 2010 By ......Cabinet . Date: 8 June 2010 . By: Deputy Chief Executive and Director of Corporate Resources . Title of report: Risk Management