Changes to Risk Register since last update (June 2024)

Key Corporate Risk	Changes
KCR1 Financial Pressures	New action added relating the Corporate Improvement Framework
KCR2 Governance	KCR title update. Revised date for ongoing action.
KCR3 Effective and Strong Partnerships	No updates, ongoing monitoring of current controls
KCR4 Changing Demographics	No updates, ongoing monitoring of current controls
KCR5 Safeguarding	Minor updates to control wording.
KCR6 Health and Wellbeing	No updates, ongoing monitoring of current controls
KCR7 Capital Programme	No updates at this monitor
KCR8 Local Plan	Action progress provided; revised dates set
KCR9 Communities	Revised date for action to establish the equalities team
KCR10 Workforce (incl Health & Safety)	Revised dates for ongoing actions; new action relating to the Corporate Improvement Framework
KCR11 External Market Conditions	No updates at this monitor
KCR12 Major Incidents	No updates at this monitor

KCR 1 FINANCIAL PRESSURES: The ongoing government funding cuts and the impact of the cost of living crisis will continue to have an impact on council services. Over the course of the last 10 years there has been a substantial reduction in government grants leading to significant financial savings delivered. The council needs a structured and strategic approach to deliver the savings in order to ensure that any change to service provision is aligned to the council’s key priorities. In addition, other partner organisations are facing financial pressures that impact on the council.

KCR 1 FINANCIAL PRESSURES

Risk Detail (cause)	Implications (consequence)	Gross Likelihood	Gross Impact	Controls	Net Likelihood	Net Impact	Direction of Travel	Risk Owner and Actions
Reduction in government grants leading to the necessity to make savings Election of new government results in changes to local government settlement Increased service demand and costs (for example an aging population). Financial pressures on other partners that impact on the council The spending review is one year only for  2023/24 and 2024/25 Lasting financial impact of the pandemic on the economy as a whole Increased severity and frequency of climate hazard events (e.g. flooding) Inflation falls slower than anticipated or starts to rise again Increased risk of UK recession General cost pressures due to impact of Ukraine conflict. UK Bank of England Interest rate expected to remain high until late 2024	Potential major implications on service delivery Impacts on vulnerable people Spending exceeds available budget  Lack of long term funding announcements from central government creates uncertainty which hinders long term financial planning Lack of long term funding announcements from central government may impact on staff retention as it creates uncertainty for temporary posts funded by external funding An economic downturn will affect the Council’s main sources of funding; reducing business rates income if premises are vacant and reducing council tax income if more individuals require support due to unemployment. Increased cost of responding to emergency situations, as a result of climate change, and impact on service delivery. Increased interest rates and the continued impact of inflation will reduce the overall funding available to the Council and may therefore lead to reductions in service levels in some areas. Council is unable to set a balanced budget or is required to request exceptional financial support from central government	Highly Probable	Major (21)	Regular budget monitoring Effective medium term planning and forecasting Chief finance officer statutory assessment of balanced budget Regular communications on budget strategy and options with senior management and politicians Skilled and resourced finance and procurement service, supported by managers with financial awareness. Climate change mitigation and adaptation programme Financial Strategy 2024/25 approved. Cost control measures are in place including ceasing non-essential spend Monthly cost control panels are held by the Council’s statutory officers Corporate Improvement Framework has been established.	Probable	Major (20)	Completed action; new action	RISK OWNER: Debbie Mitchell Development of Financial strategy for 2025/26 (Debbie Mitchell, 31/01/2025) NEW The action plan for the Corporate Improvement Framework includes an action to improve financial literacy. This will include training where appropriate. (Debbie Mitchell 31/01/25)

KCR 2 GOVERNANCE: Failure to ensure key governance frameworks are fit for purpose. With the current scale and pace of transformation taking place throughout the organisation it is now more important than ever that the council ensures that its key governance frameworks are strong particularly those around statutory compliance including information governance and transparency.

KCR 2 GOVERNANCE

Risk Detail (cause)	Implications (consequence)	Gross Likelihood	Gross Impact	Controls	Net Likelihood	Net Impact	Direction of Travel	Risk Owner and Actions
Increased interactions in relation to FOIA and transparency, and failures to adhere to statutory timescales for responses. Failure to comply with data protection and privacy legislation	Increases in cases held or fines levied by Information Commissioner Failing to meet the legal timescales for responding to FOIA may result in reduced confidence in the council’s ability to deal with FOIA and in turn, its openness and transparency Individuals will be at risk of committing criminal offences if they knowingly or recklessly breach the requirements of the GDPR legislation. Potential increased costs to the council if there are successful individual claims for compensation as a result of a breach of GDPR legislation. Impact on the end user/customer Adverse media/ social media coverage Reputational impact	Probable	Major (20)	Electronic Communication Policy IT security systems in place Governance, Risk and Assurance Group (GRAG) covers a wide range of governance issues Regular Internal Audit reviews of information security including physical data security for the Council. Regular monitoring reports to Audit & Governance committee and Executive Member decision sessions Open Data platform providing Freedom of Information (FOI) requested data Regular review of transparency code legislation and compliance Ongoing management of data architecture to provide de-personalised data to open data platform Public Protection Annual Control Strategy Additional resource, training and improved processes to deal with FOIA requests All officer and delegated decisions are reported publicly to Executive/ A&G to ensure transparency Ongoing regular review of internal audit reviews and recommendations SIRO role has changed to Director of Governance and the relationship between the Senior Information Risk Officer (SIRO) and the Caldicott Guardian is being strengthened Customer Complaints toolkit has been reviewed and reports to A&G Governance training provided for Directors Process for consistent completion of Data Protection Impact Assessments (DPIA) has been circulated across the council Ongoing review of Council constitution. New induction programme for elected members including training in respect of the Code of Conduct and conflict of interests. Members now offered standard ICT equipment which will help to ensure appropriate information security and Information Governance.	Possible	Major (19)	Revised date	RISK OWNER: Bryn Roberts REVISED DATE Ongoing review: Continued implementation and embedding of relevant elements from the action plan. This is further supplemented by additional work by the LGA through the Peer Review to ensure improved member-officer relations and greater emphasis on due corporate governance. (Bryn Roberts 30/09/2024)

KCR 3 EFFECTIVE AND STRONG PARTNERSHIPS: Failure to ensure partnership arrangements are fit for purpose to effectively deliver outcomes. In order to continue to deliver good outcomes and services, the council will have to enter into partnerships with a multitude of different organisations whether they are public, third sector or commercial entities. The arrangements for partnership working need to be clear and understood by partners to ensure they deliver the best possible outcomes.

KCR 3 EFFECTIVE & STRONG PARTNERSHIPS

Risk Detail (cause)	Implications (consequence)	Gross Likelihood	Gross Impact	Controls	Net Likelihood	Net Impact	Direction of Travel	Risk Owner and Actions
Failure to effectively monitor and manage partnerships Partner (especially NHS, Academies) financial pressures may affect outcomes for residents Unilateral decisions made by key partners may affect other partners’ budgets or services Priorities of the newly elected Mayor does not align with council /or city priorities Financial pressure on York and Scarborough Teaching Hospitals NHS Foundation Trust (YTHFT) and the Humber and North Yorkshire Health and Care Partnership ICS Board which may have worsened further due to Covid-19 and the cost of living crisis Cumulative impacts of the pandemic and cost of living crisis and a reduction in volunteering on voluntary and community sector	Key partnerships fail to deliver or break down Failure to utilise commitment to the city, reduced impact overall impact Misalignment of organisations’ ambitions and direction of travel Ability to deliver transformation priorities undermined Adverse impact on service delivery Funding implications Reputational impact	Probable	Major (20)	Account management approach to monitoring key partnerships. CMT identified the 100 organisations who have the most potential to influence or affect organizational and city aims and priority outcomes for residents, and monitors on a quarterly basis. Each Corporate Director and the Chief Executive lead on specific relationships. The Integrated Care System now has a strategy in place that aligns with the Health & Wellbeing Board . The York Place Board will oversee the delivery of this at a Place level.  Financial pressure remains, with a newly established joint Commissioning Group chaired by the Director of Public Health however the Council, ICS and the Acute Trust work together to reduce delays increase flow to reduce escalation beds and increase staffing. Policy groups and arrangements with the newly established MCA to focus on key themes (housing, transport etc.,) with the Strategy and Partnerships team maintaining a central coordination role, with the approved “pipeline” confirming areas of focus. Internal co-ordination such as Creating Resilient Communities Working Group (CRCWG) meet regularly to understand which areas of the council are working with different partners and what is happening across these agendas (including overall monitoring of arrangements with voluntary & community sector as part of prevention and early help work) Commissioners and the NHS place directors are working closely to deliver a number of key joint services across health and social care. The York Health and Care Board is now in place chaired by Ian Floyd, which supports an integrated decision-making approach across organisations	Possible	Moderate (14)	No change	RISK OWNERS: Claire Foale No current actions, ongoing monitoring of current controls

KCR 4 CHANGING DEMOGRAPHICS: Inability to meet statutory duties due to changes in demographics. York has a rapidly changing demographic in relation to both residents and business. This brings with it significant challenges particularly in the delivery of adult social care and children’s services. The council needs to ensure that community impacts are planned for and resourced.

KCR 4 CHANGING DEMOGRAPHICS

Risk Detail (cause)	Implications (consequence)	Gross Likelihood	Gross Impact	Controls	Net Likelihood	Net Impact	Direction of Travel	Risk Owner and Actions
Development and regeneration makes York more desirable and accessible to residents, students and business, resulting in increasing inward migration to York. An increase in the aging population requiring services from the council Increase in complexity of needs as people get older Increase in people living with dementia Increase in ethnic diversity of the population means that the council has to understand the needs of different communities in relation to how services are delivered Growing number of people with SEND or complex needs living into adulthood Demographic of workforce supply unable to meet workforce demand Failure to plan for the impact of a rapid change in demographics to front line service provision The impact of the cost of living crisis may disproportionately affect certain demographics; eg BAME and the older community are more likely to suffer health issues, younger people by job losses	Increased service demand from residents, including; statutory school placements, SEND, mental health, adult social care and environmental services (eg waste collection) Increased service demand in relation to business (e.g. Regulation, Planning) Impact of additional demands cause significant financial and delivery challenges, such as a rise in delayed discharges, deterioration of people in the community awaiting elective surgery as well as increases in the number of people requiring care as the population ages Reputational impact as these mainly impact high risk adult and children’s social care service areas Unable to recruit workers in key service areas e.g. care worker To ensure that decisions made in relation to cost of living support are taken with a recognition of the different impacts on certain demographics	Probable	Major (20)	Place planning strategy to ensure adequate supply of school places DfE returns and school population reported every 6 months Local area working structures in frontline services, including Early intervention initiatives and better self-care Assessment and Care management review complete, to better manage adult social care demand on CYC based on community led support Advice and Information Strategy complete, to provide residents with direct access to support and services, to better manage adult social care demand on CYC, resulting in the launch of Livewell York Investment in support brokerage work with NHS integrated commissioning Stakeholder and officer group, to create a more connected and integrated health and social care system. Officer caseload monitoring Internal co-ordination such as Creating Resilient Communities Working Group (CRCWG) Establishing a “preparing for adulthood and LD/Autism lead” to ensure smooth transition York Skills Plan The Education Planning Team have completed a review of demographic data to determine the impact on schools Community Impact Assessments are carried out before decision making Redesign and implementation of new arrangements for early help and prevention Ongoing analysis of the Local Plan and Major development projects demographic data to determine the impact on all CYC services. The Covid 19 review ensures that lessons are learned, links to the population hub providing access to the right data ensure services and support is delivered across localities to reduce inequalities Financial Inclusion Strategy monitored by the Financial Inclusion Steering Group CYC specific Anti Racism Strategy, Action Plan and Pledge Support early intervention through the frailty hub, working alongside health colleagues New Transition Strategy established	Possible	Major (19)	No change	RISK OWNER: SARA STOREY   No current actions, ongoing monitoring of current controls

KCR 5 SAFEGUARDING: A vulnerable child or adult with care and support needs is not protected from harm. Ensuring that vulnerable adults and children in the city are safe and protected is a key priority for the council. The individual, organizational and reputational implications of ineffective safeguarding practice are acute.

KCR 5 SAFEGUARDING

Risk Detail (cause)	Implications (consequence)	Gross Likelihood	Gross Impact	Controls	Net Likelihood	Net Impact	Direction of Travel	Risk Owner and Actions
Failure to protect a child or vulnerable adult from death or serious harm (where service failure is a factor) Potential for an increased demand on Children’s and Adult services following the pandemic Failed statutory inspection (CQC/Ofsted) Supply failure within the national care market for children’s placements following OFSTED introduction for ages 16-17	Vulnerable person not protected Children’s serious case review or lessons learned exercise Safeguarding adults review Reputational damage Serious security risk Financial implications, such as compensation payments Financial and resource implications of an increase in demand as a result of shortage in supply of placements Financial investment required as a result of a failed inspection	Probable	Major (20)	Safeguarding sub groups Multi agency policies and procedures Specialist safeguarding cross sector training Quantitative and qualitative performance management Reporting and governance to lead Member, Chief Executive and Scrutiny Annual self assessment, peer challenge and regulation Audit by Veritau of Safeguarding Adults processes Children’s and Adults Safeguarding Boards (LSCB & ASB) Ongoing inspection preparation & peer challenge Local and Regional Data analysis National Prevent process DBS checks and re-checks Effectively resourced and well managed service, supported by robust workforce strategy and clear practice model Effective recruitment to senior roles with expert assessment contributing to the process Annual Safeguarding Board annual plan Controls implemented from peer review action plan Chief Officer Group which brings together Chief Officers from relevant organisations in relation to safeguarding eg police, CYC REVISED Children’s Social Care records system is upgraded. This is monitored by a project board. Ongoing work to ensure capacity is assured to enable any increase in demand to be met after introduction of new OFSTED requirements in children’s care homes Use of different methods of contact methods for vulnerable children, such as facetime, alongside working with the DoE and Ofsted Improvement Plan for Children’s social care in place since 2020 Improvement Plan for Adult Social Care to address current budget pressures in place May 2021 Increasing internal placement options with York by developing LA operated residential care Increasing targeted advertising to attract Foster Carers and increase capacity NEW Adults Safeguarding Board Manager is in post	Possible	Major (19)	No change	RISK OWNERS: Sara Storey & Martin Kelly No current actions – ongoing monitoring of current controls

KCR 6 HEALTH AND WELLBEING: Failure to protect the health of the local population from preventable health threats through preventable control measures.

KCR 6 HEALTH & WELLBEING

Risk Detail (cause)	Implications (consequence)	Gross Likelihood	Gross Impact	Controls	Net Likelihood	Net Impact	Direction of Travel	Risk Owner and Actions
Failure to protect the health of citizens against preventable disease by ensuring appropriate levels of vaccination, immunisation and screening. Failure to ensure there are plans in place to respond to wide-scale impacts on the health of citizens from future pandemics, infectious diseases, new and emerging drug trends, environmental hazards and the health impacts of adverse weather impacts The impact of the non or late diagnosis of health issues due to the impact of Covid-19 and cost of living increases, healthcare service pressures e.g. waiting lists or wider societal changes. Failure to protect citizens from the adverse health impacts of climate change Budget for PH services, such as sexual health service, is insufficient to cope with rising demand.	Likelihood of mass disease outbreaks Risk to life of chemical, biological or radiological hazard Late diagnosis & delay in treatment of health conditions that could be prevented through eg healthier lifestyles, healthier living conditions eg housing, or identified earlier through routine screening e.g. breast & cervical cancer, diabetic sight loss Reduction in life expectancy and quality of life    Increase in health inequalities between population groups in the city Sexual health service is overwhelmed leading to poor sexual health and increasing infections across the local authority	Probable	Major (20)	York Health Protection Committee is established with good engagement with partners locally and regionally. The Health Protection Committee will produce an Annual Health Protection Report for CYC Executive to approve Health protection governance arrangements are subject to regular inspection through the internal audit cycle. Emergency Preparedness arrangements including NYLRF arrangements, plans and exercises Mass vaccination programme for flu and Covid 19 The 2022-2032 Health and Wellbeing Strategy sets 10 clear population health goals to improve health and the conditions which create health Climate change mitigation and adaptation programme	Probable	Moderate (15)	No change	RISK OWNER: PETER RODERICK No current actions, continuous monitoring of controls.

KCR 7 CAPITAL PROGRAMME: Failure to deliver the Capital Programme, which includes high profile projects. The capital programme currently has a budget of £395m from 2024/25 to 2028/29. The schemes range in size and complexity but are currently looking to deliver two very high profile projects, Castle Gateway and York Central, which are key developments for the city.

KCR 7 CAPITAL PROG

Risk Detail (cause)	Implications (consequence)	Gross Likelihood	Gross Impact	Controls	Net Likelihood	Net Impact	Direction of Travel	Risk Owner and Actions
Complex projects with inherent risks Large capital programme being managed with reduced resources across the Council Increase in scale of the capital programme, due to major projects and lifting of borrowing cap for Housing Cost pressures due to increasing inflation rate (particularly in Construction where 20-30% increases in costs are being seen) UK Bank of England interest rate expected to remain high until late 2024	Additional costs and delays to delivery of projects The benefits to the community are not realised Reputational Damage Pausing or stopping projects because of the economic climate may create some compliance issues and may mean that existing projects require extensions Increased interest rates and the continued impact of inflation will reduce the overall funding available to the Council and may therefore lead to reductions in service levels in some areas.	Probable	Major (20)	Project boards and project plans Regular monitoring of schemes Capital programme reporting to Executive and CMT Financial, legal and procurement support included within the capital budget for specialist support skills Project Management Framework Additional resource to support project management Capital Strategy 2024/25 to 2028/29 approved in Feb 2024 Capital Programmes are sufficiently staffed to deliver to timescales Internal Audit Report gave reasonable assurance on project management arrangements	Possible	Moderate (14)	No change	RISK OWNER: Debbie Mitchell Development of capital strategy for 2025/26 (Debbie Mitchell, 31/01/2025)

KCR 8 LOCAL PLAN: Failure to develop a Local Plan could result in York losing its power to make planning decisions and potential loss of funding. The council has a statutory duty to develop a Local Plan, a city wide plan, which helps shape the future development in York over the next 20 years. It sets out the opportunities and policies on what will or will not be permitted and where, including new homes and businesses. The Local Plan is a critical part of helping to grow York’s economy, create more job opportunities and address our increasing population needs.

KCR 8 LOCAL PLAN

Risk Detail (cause)	Implications (consequence)	Gross Likelihood	Gross Impact	Controls	Net Likelihood	Net Impact	Direction of Travel	Risk Owner and Actions
Failure to agree and adopt a Local Plan for the City.	The Local Plan Examination process continues and the policies in draft Local Plan is a “material planning consideration” in the consideration and determination of planning applications. Development proposals which are not in accordance with the Draft Plan may continue to be submitted as planning applications, resulting in refusals of planning permission and an increase in planning appeals. An “adopted” Local Plan following the Examination by the Planning Inspectors would carry greater weight than the draft Plan. There may be a negative impact on the council’s strategic economic goals and may have an adverse impact on investment in the city until there is an adopted Local Plan which provides greater direction through land use allocations and policies which guide and direct development. For some major planning applications which may be supported by the Council the development processes and decision making is slowed down by need to refer application to the Secretary of State for Levelling Up, Housing and Communities for consideration as to whether a Public Inquiry should be held or not. Central government (DLUHC) have already identified York as a high priority to produce a Local Plan. The failure to prepare and produce a Local Plan in accordance with the timescale accepted by central government could possibly result in action from the Secretary of State for Levelling Up, Housing and Communities to directly intervene in the plan making process.	Probable	Major (20)	The Plan has completed examination in public phases 1 (in 2019) and 2-4 (in 2022) as well as its Main Modifications (regulation 19 compliant) Consultation in Spring 2023. Correspondence as to the latest local plan position is regularly published on the Councils website to ensure all parties are kept abreast of the Planning Inspector and CYC dialogue. The plan following national guidance, good practice and specialist legal advice. Continued close liaison with: · MHCLG, · Planning Advisory Services · Planning Inspectorate · The appointed planning Inspectors. The Local Plan Working Group (LPWG)  , the Executive and full Council have all  been engaged in the plan making process at appropriate stages and before submission of Draft Local Plan for Examination. Corporate Director for Place weekly monitoring / management of the process Additional resources to ensure delivery within timescales	Unlikely	Major (18)	Action progress	RISK OWNER: Ian Floyd REVISED DATE Ongoing action: Monitoring of controls (Ian Floyd, 30/09/2024 REVISED DATE The intention now is for the local plan to be adopted by the end of 2024.  After that the KCR will be considered for removal from the risk register. (Ian Floyd , 31/12/2024) LATEST UPDATE The final 6 week consultation on the revised Gypsy and Traveller Policy wording. This was delayed due to the General Election standstill period, however consultation will conclude on 30^th August and a final report from the Inspectors subject to the consultation outcomes is anticipated in autumn 2024. However as noted previously the timetable is controlled by the planning Inspectors.

KCR 9 COMMUNITIES: Failure to ensure we have resilient, cohesive, communities who are empowered and able to shape and deliver services. The council needs to engage in meaningful consultation with communities to ensure decisions taken reflect the needs of residents, whilst encouraging them to be empowered to deliver services that the council is no longer able to do. Failing to do this effectively would mean that services are not delivered to the benefit of those communities or in partnership.

KCR 9 COMMUNITIES

Risk Detail (cause)	Implications (consequence)	Gross Likelihood	Gross Impact	Controls	Net Likelihood	Net Impact	Direction of Travel	Risk Owner and Actions
Failure to effectively engage with the communities we serve Failure to contribute to the delivery of safe communities Failure to effectively engage stakeholders (including Members and CYC staff) in the decision making process Failure to manage expectations Communities are not willing/able to fill gaps following withdrawal of CYC services Lack of cohesion in the planning and use of CYC and partner community based assets in the city Failure to mitigate wider determinants of health/deprivation impacts such as world conflicts and the cost of living increases	Lack of buy in and understanding from stakeholders Alienation and disengagement of the community Relationships with strategic partners damaged Impact on community wellbeing Services brought back under council provision – reputational and financial implications Budget overspend Create inefficiencies Services not provided Poor quality provision not focused on need, potential duplication, ineffective use of resources, difficulty in commissioning community services e.g. Library services Increase in cost of living and in deprivation	Probable	Major (20)	CMT working collegiately on joint initiatives around Early Intervention and prevention New early help and prevention community based service delivery models in Housing& Communities Revised Community Safety Plan Devolved budgets to Ward Committees and delivery of local action plans through ward teams Improved information and advice, Customer Strategy and ICT support to facilitate self service CYC Staff and Member training and development Community Safety Strategy in place for 2023/24 Community Hubs set up to support residents Roll-out of the Community hubs model as agreed in Oct 2020 UPDATED Management structure 2024 bringing Communities and Housing together. Volunteer Centre established through York CVS. ‘People Helping People Strategy’ being reviewed. Financial Inclusion Steering Group Establishment of Food roles in Communities Team Support for Anti-Racism group provided Maintaining strong relationships with parish councils Access Officer role has been established in Communities Interim Financial Inclusion Strategy monitored by the Financial Inclusion Steering Group	Possible	Major (19)	Revised date for action	RISK OWNER: Pauline Stuchfield REVISED DATE Team being established to cover equalities, access & inclusion. Updated JD now approved, ready for recruitment. (Pauline Stuchfield 31/12/2024) Approval of Community Safety Strategy for 2024/25 (Pauline Stuchfield, 30/11/2024)

KCR 10 WORKFORCE/ CAPACITY: Reduction in workforce/ capacity may lead to a risk in service delivery. It is crucial that the council remains able to retain essential skills and also to be able to recruit to posts where necessary, during the current periods of uncertainty caused by the current financial climate and transformational change. The health, wellbeing and motivation of the workforce is therefore key in addition to skills and capacity to deliver.  In addition, the council must ensure that its key governance frameworks are strong particularly those around statutory compliance for Health & Safety.

KCR 10 WORKFORCE

Risk Detail (cause)	Implications (consequence)	Gross Likelihood	Gross Impact	Controls	Net Likelihood	Net Impact	Direction of Travel	Risk Owner and Actions
The necessity to deliver savings has resulted in a reduced workforce requiring new and specialist skills Recruitment and retention difficulties as the council may be seen as a less attractive option than the private sector Lack of succession planning HR Policies may not be consistent with new ways of working (eg remuneration policy) Uncertainty around long term funding from central government. Lack of long term funding announcements from central government may impact on staff retention as it creates uncertainty for temporary posts funded by external funding Reduction in posts due to restructures required to achieve budget savings Potential strike action impacting on delivery of services.  Ongoing school strikes and wider transport strikes also implicate on workforce availability. Lack of qualified workforce (e.g. care staff, HGV drivers) Ongoing national skills shortage Pay structure issues causing pressure at lower end having knock on impact on middle grades and especially supervisory roles around Grade 5 Sickness absence levels remain high.  Stress sickness absence remains the highest absence reason, importance of managing stress and potential burnout of staff.  All LA’s have a heightened awareness of the risk of equal pay claims, following events at Birmingham Serious breach of health and safety legislation Failure to comply with statutory obligations in respect of public safety	Increased workloads for staff Impact on morale and as a result, staff turnover in key services impacting on business continuity and performance Inability to maintain service standards Impact on vulnerable customer groups Reputational damage as a current and prospective employer. Single points of failure throughout the business . Impact on the health & wellbeing of staff has been and will be significant and may increase early retirements and leavers. Due to · Remote working (working from home) can have a negative impact on wellbeing. · Work life balance – unable to separate work from home due to work being carried out within the home · Ongoing vacancies and volume of work in hard to recruit roles However many staff may see an increase in their Health & Well Being due to more agile working.  Having greater flexibility between work and home life.  More agile and flexible working may also result in increased retention of staff and increase the attraction of candidates for vacant positions. Reduction in agency spend is a positive however, a reduced spend will impact on Teckal arrangements for City of York Trading (operating as Work With York) Financial & reputational impact of successful challenges to T&Cs and claims for equal pay Public and staff safety may be put at risk Possible investigation by HSE Prohibition notices might be served preventing delivery of some services Prosecution with potential for imprisonment if Corporate Manslaughter	Probable	Major (20)	Organisational Development Plan (replaces Workforce Strategy/ People Plan) Stress Risk Assessments Annual PDRs Comprehensive Occupational Health provision including counselling. HR policies e.g. whistleblowing, dignity at work Development of coaching/ mentoring culture to improve engagement with staff Corporate Cost Control Group monitoring of absence and performance reporting Apprenticeship task group Agency and Interim Staffing Policies Absence Management Policies Substance Misuse Policy A Workplace Health & Wellbeing Group has been established with staff & trade union representation which is chaired by the Head of HR. A staff health & wellbeing survey has been undertaken & this is being followed up by staff focus groups. Increase in regulatory compliance to protect the workforce e.g. Health and Safety regulations, working time directives Annual increase in Living wage is applied (although there is no control over this rate and conflicts with NJC rates) Joint Health and Safety Board and regular review of support for staff Improved frequency of informal and formal meetings with Trade Unions to improve communications and relationships NEW Employer benefits package is well established NEW Annual reminders and voucher provision for flu and covid vaccinations Increased help and awareness of staff wellbeing and mental health; monthly ‘make a difference communications’ which focuses on wellbeing  Business Continuity Planning to assist with redeployment of staff or reduction of service during times of shortage eg HGV drivers Managers being equipped with the right training to manage and lead teams and workforce plan Review of job descriptions and not one size fits all Retention payments and market supplements agreed for key posts HR Advisory circulars now being issued to managers HR representatives on a number of regional task force groups, including for social care workforce promotion and addressing and considering changing terms and practices to mitigate challenges to equal pay.  Corporate Governance Board reviewing EP risk progress on regular basis. Health and Safety monitoring in place Ongoing Health and Safety Training programmes at all levels	Possible	Moderate (14)	Revised dates for ongoing actions; New action	RISK OWNER: Helen Whiting REVISED DATE Ongoing action: Review of HR policies to ensure they complement the diverse ways in which our workforce deliver services (Helen Whiting, 30/09/2024) NEW Implementation of the new Workforce Strategy and Action plan resulting from the Corporate Improvement Framework (Helen Whiting, 31/01/25) REVISED DATE Ongoing action: Review of employee T&Cs.  Progress has started with costing options ahead of discussions with CMT and Trade Unions. (Helen Whiting, 30/09/2024) REVISED DATE Ongoing action -Implementation of creative recruitment initiatives. (Helen Whiting, 30/09/2024) Implementation of 2024/25 national pay award once negotiations have been concluded. (Helen Whiting, 31/12/2024)

KCR 11 EXTERNAL MARKET CONDITIONS: Failure to deliver commissioned services due to external market conditions. The financial pressures experienced by contracted services (in particular Adult Social Care providers) as a result of increases due to the cost of living crisis could put the continued operation of some providers at risk. The Council has a duty to ensure that there is a stable/diverse market for social care services delivery to meet the assessed needs of vulnerable adults/children.

Some services provided by the Council cannot be provided internally (eg Park and Ride) and must be commissioned. External market conditions such as the number of providers willing to tender for services may affect the Council’s ability to deliver the service within budget constraints. 

KCR 11 EXTERNAL MARKET CONDITIONS

Risk Detail (cause)	Implications (consequence)	Gross Likelihood	Gross Impact	Controls	Net Likelihood	Net Impact	Direction of Travel	Risk Owner and Actions
Increases to the national living wage and wage inflation in general. Recruitment and retention of staff If failure occurs, the Council may remain responsible for ensuring the needs of those receiving the service continue uninterrupted. Providers may go out of business as a result of the cumulative effects of the pandemic and the cost of living crisis Many sectors under financial pressure due to cost of living crisis  (reductions in income or increase in expenditure) Costs and cost of living  pressures due to increasing inflation rate Cost pressures due to conflict in Ukraine	Vulnerable people do not get the services required or experience disruption in service provision Safeguarding risks Financial implications: Increased cost of alternative provider Increased cost if number of providers are limited Reputational damage Providers may face short to medium term recruitment issues due to current market conditions, or face an increase in costs which is passed on to the Council	Unlikely	Major (18)	Clear contract and procurement measures in place and have been further updated A clear progression process is now in place together with changes to JDs and HoS posts. Retention and recruitment drives in place to support staff within the council and potential new employees Ongoing review of operating and business models of all key providers and putting further mitigation in place, such as more robust contract monitoring and commissioning some ‘enhanced’ credit checks.  Enhanced contract and quality team in place to work with providers reducing the potential for failure CYC investment in extra care OPHs has reduced recruitment pressure Revised SLA with independent care group and quarterly monitoring meetings with portfolio holders  Ongoing work with providers to set a York cost of care Local policies in place for provider failure Ongoing attendance at Independent Care Group Provider Conference DASS will have oversight of market sustainability.  The appointment of a Head of Commissioning starting in Jan 2023 will co-produce a market position statement with health colleagues and providers Focus on prevention and early support to ensure residents are supported to stay at home for longer Co-producing model of care with people using services and their carers The Council’s market position statement is regularly reviewed	Unlikely	Moderate (13)	No change	RISK OWNER:  SARA STOREY ONGOING ACTION Increase joint working with NHS commissioners to manage market effectively and get best value. (Director of Adults & Integration, 30/09/2024)

KCR 12 MAJOR INCIDENTS: Failure to respond appropriately to major incidents. Local Authorities are required by law to make preparations to deal with emergencies. Local Authorities have four main responsibilities in an emergency 1. to support the Emergency Services, 2. to co-ordinate non-emergency organisations, 3. to maintain their own services through a robust Business Continuity Management process, 4. to facilitate the recovery of the community and 5. since 2013 the council also has a statutory duty to protect the health of the population under the Health and Social Care Act 2012 and the transfer of public health responsibilities to local authorities.

The Council must ensure that its resources are used to best effect in providing relief and mitigating the effects of a major peacetime emergency on the population, infrastructure and environment coming under it’s administration. This will be done either alone or in conjunction with the Emergency Services and other involved agencies, including neighbouring authorities.

KCR 12 MAJOR INCIDENTS

Risk Detail (cause)	Implications (consequence)	Gross Likelihood	Gross Impact	Controls	Net Likelihood	Net Impact	Direction of Travel	Risk Owner and Actions
An uncoordinated or poor response to a major incident such as: · Flood · Major Fire · Terrorist Attack · Pandemic Failure to protect citizens from the adverse impacts of climate change Potential for rolling commercial power outages over winter Increasing frequency of extreme weather events	Serious death or injury Damage to property Reputational damage Potential for litigation Potential for corporate manslaughter charges if risks are identified and proposed actions not implemented Reduction in life expectancy and quality of life	Probable	Catastrophic (24)	Emergency planning and Business Continuity Plans in place and regularly reviewed along with regional risk registers Strong partnerships with Police, Fire, Environment Agency and other agencies with principles such as JESIP and METHANE built into the way we work together Support to Regional Resilience forums Support and work in partnership with North Yorkshire local resilience forums Investment in Community Resilience (re Flooding) Work with partners across the city to minimise the risk of a terrorist attack through Protect and Prepare Group and Hostile Vehicle Management projects Development of the local outbreak control plan and a variety of internal recovery strategies Local outbreak prevention, management and response in place Climate change mitigation and adaptation program Regular review and reporting of carbon emissions Carbon reduction and climate change action plan regular updates to Executive/CMT Communications to citizens about steps they can take to reduce impact of climate change Sustainability leads group to encourage city partners to work together to reduce impact of Climate change Communications incident management plans, including outbreak Regular review of emergency and business continuity plans NEW Directorate risk registers will include relevant climate change risks	Possible	Major (19)	No change	RISK OWNER: James Gilchrist   The Government published a new resilience framework on 19th December 2022. The Terrorism (Protection of Premises) draft bill also known as Martyn’s Law, is expected to be passed during 2024.  This KCR will need to be reviewed in light of new obligations after that. (James Gilchrist , 31/12/ 2024)