Changes to Risk Register since last update (January 2024)

 

Key Corporate Risk

Changes

KCR1 Financial Pressures

Action regarding financial strategy completed and new one for 2024/25 added. Updated risks and controls included

KCR2 Information Governance

Revised date for ongoing action; Health and Safety risks have been moved to KCR10

KCR3 Effective and Strong Partnerships

New risk details added and updates made in respect of Mayoral Combined Authority.  No actions

KCR4 Changing Demographics

Controls updated to reflect actions completed at last review

KCR5 Safeguarding

Action now completed

KCR6 Health and Wellbeing

New risk detail added

KCR7 Capital Programme

Action regarding financial strategy completed and new one for 2024/25 added. 

KCR8 Local Plan

Controls updated and ongoing action date revised

KCR9 Communities

Updated controls to reflect new structure; new control for Community Safety Strategy

KCR10 Workforce (incl Health & Safety)

Revised dates for review of ongoing actions; Health and Safety risk details added from KCR2

KCR11 External Market Conditions

Ongoing action revised date

KCR12 Major Incidents

Action for directorate risk registers complete, revised date for review of KCR as legislation is still outstanding.


 

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

 

NEW

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

 

UPDATED

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)

 

 

 

UPDATED

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.

 

NEW

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

 

UPDATED

Financial Strategy 2024/25 approved.

 

NEW

Cost control measures are in place including ceasing non-essential spend

 

NEW

Monthly cost control panels are held by the Council’s statutory officers

 

NEW

Corporate Improvement Framework actions now underway.

Probable

Major

 

(20)

Completed action; new action  

RISK OWNER:

Debbie Mitchell

 

COMPLETED

Development of Financial Strategy strategy for 2024/25 (Debbie Mitchell, 31/01/2024)

 

 

 

NEW

Development of Financial strategy for 2025/26 (Debbie Mitchell, 31/01/2025)

 


 


KCR 2 INFORMATION GOVERNANCE: Failure to ensure key information 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 INFORMATION 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

 

UPDATED

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

 

UPDATED

Ongoing review of Council constitution.

 

UPDATED

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)

Progress against ongoing action

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 30/06/2024)

 

 

 

 

 

 

 


 

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

 

 

NEW

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 (previously Vale of York Clinical Commissioning Group (VOYCCG), 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

 

NEW

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.

 

UPDATED

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.

 

NEW

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

 

 


 

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 eg 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

 

 

 

Interim Financial Inclusion Strategy monitored by the Financial Inclusion Steering Group

 

UPDATED

CYC specific Anti Racism Strategy, Action Plan and Pledge

 

NEW

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

 


 

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

 

Children’s Social Care records system is upgraded. This is monitored by a project board. Ongoing development is planned and awaiting costings.

 

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

Possible

Major

(19)

Action completed

RISK OWNERS:

Sara Storey & Martin Kelly

 

COMPLETED

Establish and recruit to a new support role for ASC.

The Adults Safeguarding Board Manager is now in place.

 

(Director of Adults and Integration, 29/02/2024)


 

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

 

 

 

NEW

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   

 

 

NEW

Increase in health inequalities between population groups in the city

 

 

 

 

 

 

 

 

NEW

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

 

NEW

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)

Risk details updated

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 iead 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

 

UPDATED

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)

Action Completed   

RISK OWNER: Debbie Mitchell

 

COMPLETED

Development of capital strategy for 2024/25

(Debbie Mitchell, 31/01/2024)

 

 

NEW

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 Draft Local Plan has started but not completed the Examination stage.

There remains a risk that if the Plan fails this stage more work may be required and / or the plan has to be withdrawn by Council and submitted again after the evidence base has been updated. In these circumstances the overall risk score remains unchanged.

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)

UDPATED

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:

·         DLUHC,

·         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)

New control

 

 

RISK OWNER:

Ian Floyd

 

REVISED DATE Ongoing action: Monitoring of controls

(Ian Floyd, 31/06/2024

 

REVISED DATE

The intention now is for the local plan to be adopted early in the Summer of 2024. After that the KCR will be considered for removal from the risk register.

(Ian Floyd , 30/09/2024

 

UPDATE

Following on from a single day phase 5 hearing on the 6th of March regarding the Gypsy and Traveller policies  and site provision, the Inspectors have confirmed they wish to undertake a final 6 week Consultation on the revised Gypsy and Traveller Policy wording. This has been delayed due to the General Election standstill period, consultation will now take place summer 2024 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)

NEW

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)

New action

RISK OWNER: Pauline Stuchfield

 

REVISED DATE

Team being established to cover equalities, access & inclusion.

 

Updated JD under evaluation, ahead of advertising

 

(Pauline Stuchfield 30/06/2024)

 

 

 

NEW

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.

 

 

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 (eg 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.  COVID infections likely to be a feature of winter months, with reduced testing and no need to test and report, staff may be impacted.  Important to remind re flu vaccinations and COVID vaccinations for those eligible.

 

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 recent 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

 

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

 

.

 

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

 

PDRs

 

Comprehensive Occupational Health provision including counseling

 

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 eg Health and Safety regulations, working time directives

 

Increase in Living wage (although there is no control over this rate and conflicts with NJC rates)

 

Engagement with staff that had concerns about the EU settlement Scheme for European Citizens and offer of support through York Learning, Registrars and Citizens’ Advice Bureau

 

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

 

 

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

 

2023/24 pay award accepted and implemented 

 

NEW

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)

Progress against ongoing actions 

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 Workforce Strategy and Action plan builds on the draft Council wide strategies such as the Draft equalities strategy and action plan which has numerous workforce actions, the Corporate improvement framework regarding building resilience and strengthening leadership and management,

 

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

New ideas have already been implemented and these will be ongoing and bespoke to the role and service area.  Employer Brand project continues, promoting our employer benefits

(Helen Whiting, 30/09/2024)

 

NEW

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)

 

UPDATED

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 PH/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

Possible

Major

(19)

Action completed and revised date

RISK OWNER: Neil Ferris  

 

REVISED DATE

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)

 

COMPLETED

Directorate risk registers to be updated to include relevant climate change risks

 

This work is now a standard part of the directorate risk process that has been relaunched.

(Claire Foale, 31/03/2024)