INTERNAL AUDIT OUTSTANDING RECOMMENDATIONS Service …

INTERNAL AUDIT OUTSTANDING RECOMMENDATIONS

Service Prty Audit Area Year Assurance

level

Audit Recommendation Management Response Original

Deadline

Revised

Deadline

Executive

Director

Responsible officer's Update

Housing Management

1 Safeguarding 2016/17 Substantial Management information reports covering the safeguarding process, including performance measures and serious case reviews, should be produced on a periodic basis. The reports should be submitted to HfH Safeguarding Group and Haringey Council Safeguarding

The recommendation is accepted. A working group has been formed to develop a suite of management information and a reporting process.

01/06/2017 01/06/2020 Tracey Downie

A reporting mechanism has been put in place and the number and type of cases will be reported to monthly meetings of the Safeguarding Group from November 19. Further work will be carried out to improve the reporting process and information reported and it

Corporate Affairs

2 OHMS Application

Audit

2016/17 Substantial An exercise should be conducted to map / understand how the system permissions are configured in sufficient detail to demonstrate, which members of staff can carry out each key function within the organisation.

This is a significant piece of work due to the age of the system and the number of different roles that have existed throughout its time of use. The audit was able to evidence that critical data is managed by a controlled and limited group so the risk is low. When we move to a new system in the next 12- 18mths we will have the opportunity to review and rationalise the permissions so that they are clearer going forward.

01/03/2018 30/10/2020 Puneet Rajput

The project to replace OHMS with NPSH is now live and we have a resourced project plan in place to deliver it. The work in this recommendation will be part of the user access configuration prior to Go Live.

Property Services

2 Responsive Repairs

2018/19 Substantial Homes for Haringey should apply their text messaging feedback system to the obtaining of customer feedback with respect to out of- hours works.

A Customer service administrator role is being created as part of a current restructure. The post holder will be required to obtain feedback from OOH customers.

01/02/2019 30/06/2020 David Lewis This will be in place when CAPITA start using the IT system to log repairs (TBC)

Property Services

2 Gas Safety Checks

2018/19 Substantial As part of the new Gas Safety Contract that is being put in place, Homes for Haringey should consider the possibility of implementing Key Performance Indictors (KPIs) that are designed to encourage compliance with the 14 day notice period written into their policy.

The Gas Manager has already implemented monitoring of compliance with the notice periods. The Notice period will be reviewed and a KPI introduced with new gas contracts.

01/04/2019 01/09/2020 David Lewis This notice period will be introduced as part of the new gas contract but will be based on days numbering between 10-14 as discussed with the auditor at the time.

Property Services

3 Gas Safety Checks

2018/19 Substantial In the compilation of the new contract, Homes for Haringey should consider new KPIs to measure contractor performance such as the percentage of properties that are accessed before the minimum 42 day threshold or the percentage of properties per month that are referred back to the Compliance team.

As Part of the new gas contracts Homes for Haringey will consider the best KPI’s to ensure effective

management of the contractors.

01/04/2019 01/09/2020 David Lewis New KPI’s have been introduced into the specification of the

new gas contract to measure the contractor’s performance as

per the audit recommendation.

Housing Management

2 Housing Rents 2018/19 Substantial Periodic spot checks should be completed prior to the issue of an RA3 and RA4 letter to ensure the tenant has received an NOSP letter.

We accept the recommendation to introduce spot checks as this will help ensure the correct process is being followed. We will take a random sample of 20 cases on a quarterly basis and use the findings to improve our processes and approach to case management. However, we are confident that future spot checks will uncover fewer issues for the following reasons:• We have recently introduced a new escalation

process which moves away from bulk letters (bulkletters cannot be easily separated into individualcases and therefore not stored on SharePoint).• Individual Income Management Officers are

responsible for managing the rent account and arenow sending out individualised letters which will haveto be stored on SharePoint.• At the point of the case going to the Courts Team,

the Income Management Officer is required toproduce an information pack which provides evidencethat each stage of the recovery process has beenadhered to (this includes copies of the standardletters). This is in effect a spot checking exercise.

30/06/2019 31/07/2020 Tracey Downie

Further work is required to embed the system of periodic checks however, officers are aware of this requirement and confirm that they are checkign that the NOSP has been served before the RA3 & RA4 letter is sent out. There will be more rigourous monitoring of rent accounts in line with the new structure, key appointments to start by June 2020.

Property Services

3 Voids 2019/20 Adequate The Homes for Haringey Letting Standard and Voids procedure documents should be reviewed on a regular basis as part of the Business Improvement Plan. Future scheduled review dates should be agreed and recorded on the documents.

This is being covered in the Service Excellence document, we have started reviewing the procedure documents. The plan to have this procedure documented within the next 3 months and will review every quarter

01/09/2019 30/05/2020 David Lewis The voids process and lettings standards are being reviewed again in May 2020.

1


level


Deadline

Revised

Deadline

Executive

Director


Property Services

2 Voids 2019/20 Adequate Homes for Haringey should determine whose responsibility it is to remove and dispose of waste left by vacating tenants, and this should be reflected in the relevant policy and procedure documents.

HRS has brought a new position into the voids process, a Voids Coordination Manager, this position will fundamentally be managing the front end and NTLO part of the process, where possible an NTLO will visit the property when HFH are given a notice period

01/09/2019 30/05/2020 David Lewis The responsibility for ensuring there are adequate arrangements in place for the removal of waste in voids is the Voids CIM. This will be included in the updated policy

Corporate Affairs

1 Bespoke Systems

2019/20 Limited A comprehensive record of all ad hoc records systems should be prepared. This should detail the purpose of all systems and the data held, who is responsible for maintenance of records. This information should be reported to senior management and should beupdated regularly (at least once a quarter)

A record of all ad hoc systems will be prepared and risk rated. This will be reported to, and monitored by, senior management

01/10/2019 31/05/2020 Puneet Rajput

Other actions will follow the completion of the information gathering exercise (as above)

Corporate Affairs

2 Bespoke Systems

2019/20 Limited HfH's bespoke systems should be reviewed to determine whether user access is appropriately restricted. User access should be subject to periodic review. Guidance should be provided to all managers on the organisations expectations in relation to control of access to information.

Guidance will be produced and disseminated in September 2019. Services will be expected to provide details of user access and instructed to introduce procedures for reviewing, updating and monitoring. Access lists will be held centrally on SharePoint as well as details of the last review.

01/10/2019 31/05/2020 Puneet Rajput


Property Services

2 Fire Safety 2017/18 Limited Fire safety signage should be implemented in all shared communal residential blocks, including low and midrise blocks.

Tower blocks have evacuation signage installed with other properties having evacuation signage installed via HRS on a rolling programme to be completed with 18 months. This has been challenging due to high levels of vandalism where signage has been removed requiring re-visits for new signage to be installed. Street conversions will have signage installed as part of the installation of Automatic Fire Detection programme.

01/11/2019 30/05/2020 David Lewis There is an extensive action plan in place for the installation of fire signage. The plan will commence delivery in May 2020. The scope, timeframes, cost and delivery methods are monitored by PS SMT and the Fire Strategy Board. Where previously installed signage has vandalised or lost, this will be identified in block inspections or fire risk assessments and reported as a repair for HRS to action.

Property Services

2 Disrepair 2019/20 Limited The disrepair process work flow should be reviewed by management to reflect the issues raised

Accepted and agreed. A new disrepair process work flow to be completed and implemented within the surveying team

30/11/2019 30/06/2020 David Lewis Expected to be in place in June

Property Services

2 Disrepair 2019/20 Limited A record of all reported potential claims should be kept with subsequent investigations arranged to determine the tenant’s opinion on the issues.

Noted and agreed. A central register of potential claims to be kept and managed by the surveying team administrator. A process for reporting such queries will be created and distributed to all relevant colleagues / teams within HfH. Departments to be included areTenancy Management , Customer Services, HRS, Income Collection,

30/11/2019 30/07/2020 David Lewis Not in place yet. Conversation with all departments with front line staff to colate incidents where resident is claiming they are not happy and will take things further, not all cases will lead to disrepair but we still have to put right what is perceived to be wrong

Property Services

2 Disrepair 2019/20 Limited The targeted turnaround time on potential claim investigations should be agreed across service lines.

Target dates to be set and agreed with relevant stakeholders as part of the process in recording potential claims noted in 5.4.

30/11/2019 30/07/2020 David Lewis Not in place yet. As above, once notified we should make an appointment or at least contact resident to determine their cause for concern.

Corporate Affairs

2 Bespoke Systems

2019/20 Limited Bespoke systems utilised by HfH's services should be reviewed to determine whether the designs can promote data integrity such as the use of drop-down menus, user prompts and restrictions on the use of free text. Spot checks should be undertaken of the datato help ensure accuracy and completeness. Areas of good practice should be shared between service areas.

Once the information gathering exercise has been completed, we will review and impose a higher degree of control of the data processed and the manner of recording, storing and reviewing the data in accordance with our current polices.

01/12/2019 31/05/2020 Puneet Rajput

Some services are still gathering information and an extended deadline has therefore had to be set to complete this

Corporate Affairs

2 Bespoke Systems

2019/20 Limited Bespoke systems utilised by HfH's services should be reviewed on a regular basis (at least annual) to help ensure that the data held is sufficient to meet business operations and that the system is operating effectively and is fit for purpose. The outcomes following review should be reported centrally and escalated accordingly when required.

Further meetings to scrutinise the collation, necessity and compliance of data held within our bespoke systems are due to take place by the end of 2019. Priority will be given to teams currently using access databases and/or processing personal data.

01/12/2019 31/05/2020 Puneet Rajput


2


level


Deadline

Revised

Deadline

Executive

Director


Property Services

2 Disrepair 2019/20 Limited Policies and procedures governing disrepair claims should be reviewed to include management actions that will be taken should performance fall below the expected standard.

Noted and agreed. Team and individual performance will be monitored and managed considering new KPIs. 121s are being completed monthly within the new team structure and will be used to include performance management as required.

31/01/2020 30/07/2020 David Lewis Ongoing 121's happening on a regular basis, new KPI's not in place at moment. Performance management in place for surveyors.

Property Services

2 Vehicle Management

2019/20 Limted The HfH Drivers Policy should be updated according to the policy terms and the policy control section should be updated accordingly.

The driver policy was reviewed but will need a further review and implementation by January 2020 to accommodate the new fleet and enhancements

31/01/2020 30/05/2020 David Lewis The policy is now being revised and will be completed and implemented in advance of the new vehicles being delivered in May 2020.

Property Services


2019/20 Limited Vehicles should be inspected on a regular basis (at least weekly) and records should be maintained in terms of what and when checks were completed. Faults should be noted for management trail and reference and passed to the Transport Manager for action.

We are looking at putting this on the pda so the vehicle inspection can be carried out each morning and mileage monitored more closely, this can also be stored electronically

31/01/2020 30/08/2020 David Lewis A dedicated app will be implemented (known as the Northgate app) to record all required inspections and faults. The Transport Manager will oversee all repair and damage issues and take appropriate action, once appointed.

Property Services

2 Disrepair 2019/20 Limited Key Performance Indicators should be established to help ensure the service is compliant with the legislative 20 day turnaround time.

Agreed. Key performance indicators will be created, implemented and monitored as part of the service improvement plan.

31/01/2020 30/07/2020 David Lewis Not in place yet. We have a sprea sheet which we can draw on re performance and other KPI information. KPI's on system to be implemented by July

Property Services

2 Bonus Scheme 2019/20 Adequate The outstanding post inspection should be reviewed regularly to ensure information included in the planned post inspections are undertaken prior to bonus payment being made.

Agreed. This should be part of the daily duties of the Continuous Improvement Managers. The interim Head of Service will reiterate and ensure this takes place. Post inspection KPIs will be incorporated into the suite of KPIs monitored by the Executive.

28/02/2020 30/05/2020 David Lewis The post-inspection KPIs will be reviewed in May 2020 and targets re-agreed. This will be used to inform the bonus review and resulting payments in the new scheme.

Property Services

3 Bonus Scheme 2019/20 Adequate Procedure guide for staff that is in place should be periodically reviewed and contain approval and version control to help ensure that these are up to date and relevant for the staff and service.

Agreed. The procedure will initially be reviewed an updated and then at least annually thereafter.

31/03/2020 01/10/2020 David Lewis The procedure guide will be updated to reflect changes in the bonus system following its overhaul and review, due to be conducted in the 20/21 financial year. It is planned that this review will take place in time for the budget to be set for 21/22.

Property Services


2019/20 Limited Preparation for the renewal of agreements and contracts with the vehicle leaseholder should be commenced.

Work has started on the fleet renewal programme we are currently at the tender stage, we have brought in an external fleet specialist to assist and we are working closely with procurement to ensure the costings are competitive and vehicles are delivered on time to suit the business needs

30/04/2020 30/05/2020 David Lewis The tender was won by Northgate, the contract has been signed and it is now beng mobilised. A temporary Prjoect Manager (Dan Thurlow) is overseeing this process. An update report will be tabled to Propert Services SMT in May 2020.

Property Services


2019/20 Limited Permit forms for each driver should be retained at all times

Borough Wide Permit forms are required for all HfH fleet vehicles to obtain a permit this is obtained by completing the form and by me submitting a copy of the v5 form and a copy of our fleet insurance. The licence check is carried out independently of permit applications the driver of the vehicle LP64XGE has had this undertaken. A process will be put in place with the new fleet and new annual permits will be issues and signed for with a register of these being kept

30/04/2020 30/08/2020 David Lewis The permits for all vans will follow the Council's rules and a register will be kept by the new Transport Manager (to be recruited).

Property Services


2019/20 Limited A vehicle tracker system should be implemented such as through the RAC telematics system, where information can be collated in the form of reports and mileage can be monitored.

The RAC telematics currently used as stated records the vehicles movement as observed these reports are supplied to team leaders / Continuous Improvement Managers for specific time frames as requested. Wider access to be given to team leaders to allowcloser monitoring of the tracker system. With the new fleet the tracker system is a lot more user friendly with better reporting

30/04/2020 30/08/2020 David Lewis A full telematics system will be in place for the new fleet and the it will be the Transport Manager's respnsibility to monitor and action all issues arising from this data. S/he will also use this data to inform day to day and future planning for the fleet, including training, compliance and financial costs.

Property Services


2019/20 Limited Vehicle faults should be reported to management such as through a monthly report or annual report which keeps tracks of the number of faults having occurred. This should make reference to the resulting expenditure for management to identify trends. A reporting framework should be implemented for drivers to use when reporting any faults.

A new process and guidelines will need to be put in place for this, I have tasked our external fleet specialist to put in place to coincide with the new fleet for April

30/04/2020 30/08/2020 David Lewis Northgate app will be the reporting tool, and this will be monitored by HRS SMT. Issues of concern will be reported to PS SMT as required, with a summary on a quarterly basis or as otherwise required.

3


level


Deadline

Revised

Deadline

Executive

Director


Property Services


2019/20 Limited In cases of poor driving, actions should be taken to address these cases. These should be recorded and efforts should be made to decrease the cases of poor driving such as through the implementation of an incentive for drivers.


30/04/2020 30/06/2020 David Lewis All cases of misues or incorrect use of a vehicle will be subject to management action and reporting. This will link with the H&S accident reporting procedures. The current Transport Policy will be revised to reflect current and modern requirements. Compliance will be monitored through 1:1s and appraisals.

Property Services


2019/20 Limited A framework should be implemented which can track and monitor the time off the road of vehicles. This framework should encompass a record which details how long it has taken vehicles to be repaired for example, as well as any communication having taken place to monitor this.


30/04/2020 30/08/2020 David Lewis This will be the Transport Manager's responsiblity to introduce appropriate systems, based on the data and costs arising from the Northgate app, Telematics and any other systems requred to be implemented.

Housing Management

3 Safeguarding 2019/20 Substantial Policies and procedures should be reviewed at least annually and updated accordingly with any necessary changes. Updated policies should be approved and circulated to all relevant staff.

Accepted and achieved. Will ensure the Policies continue to be promoted among staff: Review of the key Policies and Procedures; Safeguarding (Adults) Policy Feb 2020 and due for another review in 2022; Safeguarding (Children and Young People) Policy. Feb 2020 and due another review in 2022; New Domestic Violence Policy - Residents. October 2019 and due another review in 2021; New Domestic Violence Policy - Staff. As above; and Revised Vulnerable Tenants Procedure. March 2020.

30/04/2020 Denise Gandy

Housing Management

2 Estate Management

2019/20 Limited Managers and staff working within Estate Services and Neighbourhood Improvement should agree on annual SMART targets that are monitored in regular one to one meetings over the year.

The action plan mentioned above is based on SMART targets and will form the basis of the services targets.

30/05/2020 Tracey Downie

Smart targets will be discussed and agreed through the annual performance conversations and in line with new grading.

Housing Management

3 Estate Management

2019/20 Limited A Work Instruction review schedule should be prepared that outlines the deadlines for policy and procedure review, and that is updated on an annual basis.

A schedule will be implemented that splits the work instructions into quarters to ensure they are all thoroughly reviewed annually and signed off.


Housing Management

1 Resident Engagement

2019/20 Adequate Customer satisfaction with regards to resident engagement should be determined via the use of quantifiable results that are reported in the monthly highlight reports against again SMART (Specific, Measurable, Achievable, Realistic Timely) targets. The metrics should: • Define agreed customer

satisfaction metrics. • Define a level of expected

activity. They should report monthly on where performance is against the agreed level and what is the trend.

We use evaluation sheets that measure satisfaction and gather feedback on: • Events • Training •

Conferences/large meetings We also use the star survey tomeasure satisfaction with involvement and benchmark it against data from the sector. The last BMG satisfaction report measured this and identified improvement areas. Going forward, we will publish quarterly data summarising customer satisfaction with engagement activities starting April 2020


On target to have system to measure satisfaction. Due to reduced engagement activities at the moment reporting may be delayed.

Housing Management


2019/20 Adequate Homes for Haringey should mail and also publish all Leaseholder Improvement Forum newsletters on their website.

Information on this will be included in the next e-newsletter for leaseholders


This can be found on our website.

Housing Management

1 Estate Management

2019/20 Limited Inventory and stores procedures should be developed and a single central inventory produced. The inventory should be audited on an annual basis.

We are currently in the process of identifying a central store location; in conjunction with this we will introducing stock control measures that will include up to date stock levels and triggers for reordering and access will be restricted to team managers only. The above will be formalised into a working procedure/manual.


Housing Management

1 Estate Management

2019/20 Limited A procedure for making additions to and drawings from inventories should be established and records should be maintained of all inventory transactions.

As above 31/07/2020 Tracey Downie

Housing Management


2019/20 Adequate The next scheduled Leaseholder Improvement Forums should be confirmed and communicated on the Homes for Haringey website and published in the next newsletter. Dates should be planned and communicated for at least the next 12 months

We are currently reviewing the forum structure and we are working with a group of leaseholders to co-design the new structure for engagement. Progress and outcome of this review will be communicated to Leaseholders. This process has started in January 2020 and will take 6 months to complete.


Initial discussions with the leasehold team have taken place, we are starting the leasehold team review and will consult with leaseholders through this forum.

4


level


Deadline

Revised

Deadline

Executive

Director


Property Services

1 Disrepair 2019/20 Limited The causes for disrepair claims are analysed to determine the key drivers for claims. Once the key drivers are determined an action plan should be established to minimise claims due to these causes.

Accepted. Early prevention is a key area we will be focusing on which will be addressed within a review and implementation of a new service improvement plan for the disrepair surveying / management process. All surveys are now being completed with the view of summarising the primary causes of the claim providing data for future analysis. This process will be included in the new workflow.

31/07/2020 30/06/2020 David Lewis Expected to be in place in June

Housing Management

1 Housing Rents 2019/20 Limited A Report to Senior Management should be made detailing the current position and balances on Current and FTAs. Senior Management should then make the decision based on risk and staff availability if the current position on current and FTA collections should continue or whether additional resources should be allocated to recovering FTAs. Regular management reporting should then take place detailing the current position on current and former tenant arrears including current balances, movement over time, age of debt, inter alia.

Currently the FTA process is separated into two. The former, former accounts are currently being completed by one Former Tenants Officer. The accounts which are former but are linked to a current account are currently being looked at by the Income Collection Officers. The work currently being completed by the FTA officer is looking at cases which are coming into the statue barred status. A search is completed for these cases but if no contact can be made or a suitable rrangement made then cases are prepared for W/O and are submitted through the Council. Moving on HFH are to have a new system hopefully by December. This system unfortunately does not link cases how they currently are so it will not be possible for Officers to see the debt which is linked to current accounts nor previous formers. Currently we have gone through a restructure whereby it was confirmed that the FTA process would be being dealt with by one Team Support Officer. This is quite technical and will require a review of the work conducted after Q1.


This is currently being managed by Lesley Bott, I am reviewing the work required for FTA collection and arrears management.

Housing Management

2 Housing Rents 2019/20 Limited The Homes for Haringey Financial Regulations should be subject to regular review (e.g. annually). Inclusion on the Board and Audit and Risk Committee Forward Planners should be considered.

Three yearly reviews of the Financial regulations will be conducted. The last review was carried out in June 2019


5

HfH Risk Register Q1 2020/21 - Corporate (Organisation Wide) Risks

Ref Description Risk Lead Gross

Prob.

Gross

Impact

Gross

Severity

Description of Controls Control

Rating

Net Prob. Net

Impact

Net

Severity

Move-

ment

Comments/ Actions to Improve

Controls

CO1 Low levels of satisfaction across different tenures

resulting in a failure to achieve a key Council objective

and Management Agreement requirement.

Managing

Director

5 3 15 Dedicated task and finish group 4 3 12

Some programmes overseen by

this group have been put on hold

due to COVID-19.

Resident Scrutiny Panel

Learning from customer and councillor

feedback

Regular satisfaction surveys

External assessment (HQN) and

improvement programme in place

Customer care training for all staff

CO2 Failure to manage budgets effectively impacting the

ability for timely planning for the use of a projected

underspend or mitigation of a projected overspend.

Director of

Corporate Affairs

5 4 20 Board and ELT monitoring and

oversight.

4 3 12

Strengthened Board with additional

financial expertise

Budget holders ability to manage and

project budgets effectively.

LBH financial service under SLA.

CO3 Adverse impact of Universal Credit resulting in

increased rent arrears, poor tenancy sustainment and

liklihood of increasing homelessness

Executive

Director of

Housing

Management

5 3 15 Additional staffing resource is in place

(3 fixed term UC Advisors).

4 3 12

Restructure conducted, all staff

are getting upskilled with UC and

using the Landlord portal. The

team are getting more UC

verifications and tenants applying

for UC as a result of Covid-19

UC preparedness - LL and tenant packs

for ASTs and amended conversations.

3 2 6

This is still in hand, most sign ups

are virtual at the moment, but

we have an UC sign up process

which is being tested through the

CBS sign ups

UC preparedness - amended pre

tenancy training and learning from

impact studies

3 2 6

This is still in hand, most sign ups

are virtual at the moment, but

we have an UC sign up process

which is being tested through the

CBS sign ups

Multi agency/cross organisational 2 2 4

Most organisations are affected

by the increase in UC claims and

we are working with partner

agencies to help our mutual

customers. Meeting scheduled

with CAB.

6


Prob.

Gross

Impact

Gross

Severity


Rating

Net Prob. Net

Impact

Net

Severity

Move-

ment


Controls

CO4 Poor people management resulting in average

performance, low productivity, unnecessary costs and

poor talent development.

Director of

Corporate Affairs

5 3 15 Management training and

development

3 3 9

FirstCare absence management

support service and Employee

Assistance Programme

Competency and performance

management frameworks

HR Strategy

Accreditation

CO5 Failure of staff to follow policies, procedures and

business terms and conditions resulting in serious

injury, reputational damage, external challenge or

financial irregularity such as bribery or fraud

Director of

Corporate Affairs

4 3 12 Up to date and robust policies and

procedures

3 3 9

Competent persons available to advise

and guide HfH

Quality management systems

CO6 Poor ability to recruit to, or retain, staff in key

positions due to uncompetitive salary levels or current

recruitment processes impacting on the ability to

function and deliver services.

Director of

Corporate Affairs

5 3 15 Market review of key positions 3 3 9

Competitve benefits and wider terms

and conditions of employment

Efficient and effective recruitment and

advisory service

HfH culture and appeal as an employer

of choice

CO7 Poor performing services under SLA from the Council

impacting HfH's ability to function effectively and

demonstrate value for money

Managing

Director

4 3 12 Service Level Agreements in place 2 3 6

Management Agreement with

provisions to address SLA performance

concerns

Influence with Council to shape and

change services and charges

CO8 Poor procurement practices resulting in more costly

engagement of supply chain, possible breach of

regulations, external challenge and potential fines.

Director of

Corporate Affairs

5 3 15 Contract Regulations 4 3 12

Corporate Procurement support

Culture of competitive selection and

VfM

ELT and CLT oversight of procurement

compliance

CO9 Serious breach of data protection resulting in sanction

from the ICO and possible reputational damage.

Director of

Corporate Affairs

4 4 16 Mandatory data protection awareness

training for all staff

4 3 12

7


Prob.

Gross

Impact

Gross

Severity


Rating

Net Prob. Net

Impact

Net

Severity

Move-

ment


Controls

Data protection policy, procedures and

tools.

IT systems and controls

CO10 A Council review of the ALMO leading to a decision to

bring the service in house resulting in interim

uncertainty for the ALMO and potential adverse

impact on services to residents.

Managing

Director

4 4 16 HfH Board Chair and MD relations with

Council senior leadership

3 3 9

Council nominees on HfH Board

Conducive political view and ideology

Strong tenant support for HfH

CO11 Changes in the social, political, economic and

technological environment making it harder for HfH to

fulfil its purpose.

Managing

Director

5 4 20 NFA lobbying to influence government

policy

5 3 15

HfH trusted partner by Haringey

Council

Councillor stakeholder management

HfH reserves to counter funding

pressures

Business continuity and resilience

planning and joint working with

Council to mitigate impact of a no deal

or disruptive Brexit or virus pandemic

Skilled IT team at HfH

SLA / Contractual arrangements with

LBH

CO12 Inadequate or out of date IT systems that hinder

service effectiveness, efficiency and data

management

Director of

Corporate Affairs

5 3 15 Maximising use and potential of

existing housing management system

5 2 10

Use of bespoke solutions

Skills of an in house IT team

CO13 Failure to manage our safeguarding responsibilities

leading to service failure and reputational damage

Executive

Director of

Housing Demand

4 3 12 Safeguarding policies and procedures

including inter-agency pathways

3 3 9

Mandatory safeguarding training

Better profiling leading to strong

vulnerability checks

Up to date good quality Support Plans

in place

Regular audits from statutory

safeguarding boards

CO14 Out of date, inaccurate or missing data resulting in

poor information management and decision making

Director of

Corporate Affairs

5 4 20 Stock condition survey 5 3 15

H&S compliance related data

8


Prob.

Gross

Impact

Gross

Severity


Rating

Net Prob. Net

Impact

Net

Severity

Move-

ment


Controls

Housing system tenancy data

Employee records management

CO15 A failure to effectively manage HCBS operations as its

managing agent impacting its service and cost

effectiveness and HfH reputation

Managing

Director

4 3 12 Property management agreement

clarying respective roles and

responsibilities

3 2 6

HfH expertise in core housing

management functions

HCBS funding to support the cost of

running its operations

Dedicated management resource

9

HfH Risk Register Q1 2020/21 - Homelessness Related Risks


Prob.

Gross

Impact

Gross

Severity


Rating

Net Prob. Net

Impact

Net

Severity

Move-

ment


Controls

HD1 Excessive reliance on Temporary Accommodation

resulting in substantial financial pressure on LBH and

harm to HfH reputation

Executive

Director of

Housing Demand

4 4 16 Temporary accommodation reduction

action plan and working group

3 3 9

FHSG projects and setting aside of

FHSG to offset overspend.

Review of Demand structures in mid

2020 to ensure the structure remains

fit for purpose given new challenges.

Participation in new governance

arrangements and TA Reduction Board.

HD3 Loss of the use of Council stock as TA (stock utilised

within regeneration areas, shortlife lodges, Council

owned hostels - e.g. Brunel Walk) resulting in reliance

in more expensive TA types.

Executive

Director of

Housing Demand

3 3 9 Work with the council to ensure that

opportunities are created within the

CBS by the time decisions are made on

regen estates and development sites.

3 2 6

Prioritisation of TA residents for the

available new build.

HD4 Inability to source accommodation within pan London

rates which may result in the use of more expensive

TA and shared B&B accommodation

Executive

Director of

Housing Demand

3 4 12 Work with the Council to deliver

schemes that are within the Council's

control (CBS, PR&M, Real Lettings,

modular housing) for use as TA as part

of a wider TA strategy

3 3 9

Membership of Capital Letters and

access to £39m funding. LBH

agreement to be a founding member

of this scheme.

Continue to develop TA supplier

relationships and secure pan London

properties availble in planning for

demand and management of TA

portfolio

HD6 Interruption of AST supply during implementation of

Capital Letters and risk of competition resulting in not

meeting core AST target

Executive

Director of

Housing Demand

4 3 12 Work with council to secure

nominations to the CBS stock

4 2 8

10


Prob.

Gross

Impact

Gross

Severity


Rating

Net Prob. Net

Impact

Net

Severity

Move-

ment


Controls

On the Board of Capital Letters and

Lead Member on Steering Board.

Escalation of concerns to Capital

Letters Chief Executive. Urgent

meetings with Operational leads -

recovery plan for Haringey being

drafted.

Working closely with Capital Letters to

ensure a smooth transition when staff

are seconded and supply funding for

the vacant post.

Use of Find Your Own (FYO) scheme to

bolster numbers

11

HfH Risk Register Q1 2020/21 - Housing Management Related Risks


Prob.

Gross

Impact

Gross

Severity


Rating

Net Prob. Net

Impact

Net

Severity

Move-

ment


Controls

HM1 Weak income management resulting in substantially

unrecoverable debt in both rent and service charge.

Executive

Director of

Housing

Management

5 4 20 Change in leadership and culture in the

income management team

4 3 12

Restructure completed with

some new managers. We are

working with the teams to

embed a new working culture

New working practices with a greater

performance focus

This is currently being worked on,

we are working on creating our

new procedure and working

practices and alinging this to

OHMS and Northgate. There are

more performance related

discussions.

Apply the recovery procedure

correctly.

This is currently being worked on,

we are working on creating our

new procedure and working

practices and alinging this to

OHMS and Northgate. There are

more performance related

discussions.

Board and ELT performance focus

Debt recovery and management

options for FTA

This is currently in place,

however a review of the work

streams for FTA are underway

IT tools and systems that aid proactive

income management

The Head of Income

Management is reviewing

different services available

including considering out of

hours income management

services. Discussions with

different providers has already

commenced and also reviewing

different options with our IT

team

IT tools and systems that aid proactive

income management

HM2 Customer fraud (e.g. Illegal subletting) leading to loss

of revenue / assets and reputational damage.

Executive

Director of

Housing

Management

5 3 15 Systems and processes to perform

checks including mobile working

devices

4 2 8

Develop a robust programmed

Tenancy check programme to

ensure proactive approach.

Embed as part of new focus for

Tenancy

12


Prob.

Gross

Impact

Gross

Severity


Rating

Net Prob. Net

Impact

Net

Severity

Move-

ment


Controls

Legal SLA Review is underway and

comparing to different

organisations

Close working with Fraud Team and

other parties as appropriate

HM3 Untidy / poorly maintained estates impacting

lettability and creating a negative perception of

council housing.

Executive

Director of

Housing

Management

5 4 20 New estates inspection regime to be

implemented involving E&N managers

and senior staff from across HM as

appropriate.

3 3 9

New estates grading system to be

piloted and introduced to provide

greater targetting of management and

resources

New estates system has now

been implemented and showing

continuous improvement

Deep cleaning initiative to be

implemented to work through all

blocks over time

Deep cleaning initiaitive is now

underway and is making a

significant improvement

Deployment of all ES resources to be

analysed and re-oriented as required

to deliver better results on the ground.

Expected to restructure during

the year to ensure ongoing

improvements

New service contract with Veolia and

Parks

New service level agreement

with Parks which results in a

dedicated team for HfH.

Implementation on hold pending

Covid-19 restraints however Ward walkabouts to be re-introduced

with revised purpose

Walkabouts on hold pending

changes following Covid-19

Asset Management five year

investment programme.

Use of mobile technology to share and

act on information and

implementation of email with

caretaker for improved communication

with site based staff.

Estates Services Review outcomes to

be implemented

Continued work however Covid-

19 has slowed this work

13


Prob.

Gross

Impact

Gross

Severity


Rating

Net Prob. Net

Impact

Net

Severity

Move-

ment


Controls

Robust measures of performance Reviewing structure and

integrating this with the

introduction inspection regime.

14

HfH Risk Register Q1 2020/21 - Property and Maintenance Related Risks


Prob.

Gross

Impact

Gross

Severity


Rating

Net Prob. Net

Impact

Net

Severity

Move-

ment


Controls

PM1 Claims against HfH from contractors resulting in

financial loss / contract overspend.

Executive

Director of

Property Services

4 3 12 Robust contract management practices 2 2 4

Good contract management capability,

systems and processes

Contract contingencies

Good clienting profiling

Post Contract negotiation and

management

PM2 Insufficient budget provision to meet property

compliance related responsibilities.

Executive

Director of

Property Services

3 4 12 Compliance programme in place 1 4 4

Adequate, skilled and competent staff

Negotiation / re-prioritisation of

budget provision by LBH / HfH

PM3 Delays / lengthy timescale / lack of clarity for

determining capital works programmes (1-30 year)

impacting ability to mobilise resources and deliver,

resulting in poorer standard assets.

Executive

Director of

Property Services

4 3 12 Regular meetings with LBH to identify

and agree budgets and approvals

3 3 9

Stock investment plan and asset

management strategy

PM4 Contractor insolvency impacting ability to repair and

maintain homes and possible financial loss.

Executive

Director of

Property Services

3 3 9 Regular contractor review meetings 1 2 2

Use of retention and performance

bonds

Insurance

Use of localised subcontractors

through Dynamic Procurement

systems

D&B financial reviews

Spreading the procurement of

contracts accross more suppliers

PM5 Poor sub-contractor management resulting in a

fraudulent activity, loss of assets and reputational

damage.

Deputy Managing

Director

4 4 16 Contract management processes and

procedures in place

3 3 9

Modern Slavery Training

Separation of duties

Policies, procedures and systems

Staff training and development

15


Prob.

Gross

Impact

Gross

Severity


Rating

Net Prob. Net

Impact

Net

Severity

Move-

ment


Controls

Internal audit function

PM7 Progressive collapse of the tower blocks at

Broadwater Farm in the unlikely event of a gas

explosion

Director of BWF 2 5 10 Replacement of all gas cookers with

electric cookers

1 3 3

Installation of gas disruptor valves

Installation of localised temporary

communal heating system and removal

of gas supply from the blocks

Implementation of a long term

permanent solution for the provision

of heating and hot water

24 hour concierge in place on blocks

where identified to fail the lower (17

k/n) test

Home visits to affected properties

where identified to fail lower (17 k/n)

test

Implementation of strengthening

solutions where required

Rehousing Tangmere residents

16

HfH Risk Register Q1 2020/21 - Health and Safety Related Risks


Prob.

Gross

Impact

Gross

Severity


Rating

Net Prob. Net

Impact

Net

Severity

Move-

ment


Controls

HS1 Serious injury or death of an employee as a result of

breach of duty by HfH as an employer

Executive

Director of

Property Services

3 3 9 Legal register setting out all H&S

related obligations and mechanisms to

deliver compliance

2 3 6

Health and Safety policy

Safety Systems in place including, e.g.

provision of PPE and supporting

Policies and Procedures which are

regularly reviewed/updated

Job roles and person specifications

setting out health and safety related

responsibilities

Full range of competent employees in

the health and safety team

H&S training matrix in place setting out

skill requirements

Health and Safety training programme

Suite of periodically reviewed risk

assessments in place.

Site Safety Inspections carried out by

team leaders/managers and H&S

monthly across main services (HRS &

Estate Services)

Reduced due to COVID-19

lockdown restrictions

Safety First Talks carried out by team

leaders/managers monthly (ES & HRS)

Monitoring Framework - Staff facing

Compliance KPIs which are reported

quarterly to ELT/Audit Committee

Internal audit programme in place,

supported by external audits e.g.

British Safety Council

Internal audit programme

currently suspended. Audit staff

furloughed due to COVID-19

HS2 Serious injury or death of a resident / member of

public as a result of breach of duty by HfH to fulfil its

obligations

Executive

Director of

Housing

Management

4 4 16 Estate Services Inspection programme

in communal areas including fire,

repairs and tenancy enforcement

issues.

Roll out of the programme still in early

stages for converted street properties.

3 4 12

Fire Risk Assessment programme -

annual programme for properties over

6 stories and sheltered accomodation

properties

17


Prob.

Gross

Impact

Gross

Severity


Rating

Net Prob. Net

Impact

Net

Severity

Move-

ment


Controls

Fire Risk Assessment programme - 3

yearly programme for properties

below 6 stories

5 yearly Fire risk assessment

programme in place

Type 3 and 4 fire risk assessments

List of vulnerable residents that may

create a additional fire risk.

Tenancy enforcement

Joint working and coordination

between different customer facing

teams

Added following death of a

resident in 2019

Regular inspections carried out by

scheme managers in sheltered

accommodation and hostels

Clear communal policy

HS3 Serious injury or death as a result of breach of

obligations by HfH to manage properties

Executive

Director of

Property Services

5 4 20 Property Compliance project/task

group

4 3 12

M&E team employing competent staff

to oversee gas, lifts, electrical safety

and legionella

Fire policy

Asbestos policy

Lift policy

Adaptation policy

Electrical policy

Gas Policy

Water hygiene (legionella) policy

Monitoring Framework - Property

Compliance Key Performance

Indicators which are reported quarterly

to ELT/Audit and Risk Committee

18


Prob.

Gross

Impact

Gross

Severity


Rating

Net Prob. Net

Impact

Net

Severity

Move-

ment


Controls

Window maintenance programme in

place

Management of timber framed

buildings/properties

Fire safety group

19

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