Changes to Risk Register since Monitor 2

Key Corporate Risk	Changes
KCR1 Financial Pressures	Action completed in respect of the new Financial Strategy
KCR2 Governance	Action in respect of the members induction programme has been completed
KCR3 Effective and Strong Partnerships	Minor updates to risk details and controls
KCR4 Changing Demographics	No updates at this monitor
KCR5 Safeguarding	No updates at this monitor
KCR6 Health and Wellbeing	No updates at this monitor
KCR7 Capital Programme	Action completed in respect of the new Financial Strategy
KCR8 Local Plan	Control updated for stage of Local Plan development and updated action, leading to a reducing risk
KCR9 Communities	New control added following completed action
KCR10 Workforce/ Capacity	New control added following completed action
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 more recently the impact of Covid and 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.

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 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 2022/23 and 2023/24 Financial impact of the pandemic on Council budgets Financial impact of the pandemic on the economy as a whole Increased severity and frequency of climate hazard events (e.g. flooding) UPDATED  General cost pressures due to continued high inflation (latest CPI figures are 10.1% January 2023, and expected to remain above 10% in Q1 of 2023) Increased risk of UK recession General cost pressures due to impact of Ukraine conflict. Continued interest rate increases through to Sept 2023	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.	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 2022/23 approved	Probable	Major (20)	Action completed	COMPELTED Development of budget strategy for 2023/24 (Debbie Mitchell, 31/01/2023)

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, transparency and health and safety.

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 Failure to comply with data protection and privacy legislation Serious breach of health and safety legislation Failure to comply with statutory obligations in respect of public safety The actions to rectify governance weakness agreed by Council in May 2021 in response to the Public Interest Report (PIR) issued in April 2021 will not be achieved.	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 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 Adverse media/ social media coverage Reputational impact Failure to get sign off of statutory accounts (for governance reasons) if the actions agreed in the PIR report are not complete	Probable	Major (20)	Electronic Communication Policy IT security systems in place Governance, Risk and Assurance Group (GRAG) covers a wide range of governance issues, including Covid-19 impacts Ongoing Internal Audit review of information security Health and Safety monitoring in place 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 Health and Safety Training programmes at all levels 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 The LGA will review and report on the achievement of PIR actions Member training in respect of the Code of Conduct and conflict of interests. Review of Council constitution completed in 2022.  Next review planned for after elections in May 2023. NEW Approval of the action plan, prepared in response to the PIR.  A&G Committee will make recommendations to Council, following the LGA report.	Possible	Major (19)	Action completed, New control	Ongoing review: Continued implementation and embedding of relevant elements from the action plan. (Bryn Roberts 31/03/23) COMPLETED An induction programme for members elected in May 2023 has been developed, and details were considered by A&G in January 2023. (Bryn Roberts, 31/01/23)

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.

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 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 NEW 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 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 60 organisations who have the most potential to influence or affect organisational 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, however the Council, ICS and the Acute Trust are working together to reduce delays increase flow to reduce escalation beds and increase staffing. UPDATED 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) There were many positive examples that partnerships worked well together in the event of the Covid-19 emergency and successfully deals with issues; e.g. the YCAB partnership; collaboration with DoE NEW 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)	New control	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.

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, blue badge holders affected by city centre changes, 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	Possible	Major (19)	New action	Updated transition strategy to be agreed (Jamaila Hussain, 31/03/2023) NEW Interim Financial Inclusion Strategy (Pauline Stuchfield. 31/03/2023)

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, organisational and reputational implications of ineffective safeguarding practice are acute.

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	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 once the Covid 19 measures are lifted	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 National Prevent process DBS checks and re-checks Effectively resourced and well managed service 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 Covid-19 restrictions are lifted 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	Possible	Major (19)	No change	No current actions

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

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 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 on health services. Failure to protect citizens from the adverse health impacts of climate change	Likelihood of mass disease outbreaks Late diagnosis & delay in treatment of health conditions that could be identified earlier through routine screening e.g. breast & cervical cancer, diabetic sight loss Reduction in life expectancy and quality of life	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 the Health and Wellbeing Board and Health & Adult Social Care Policy and Scrutiny Committee CYC Director of Public Health is co-chair of the Humber and North Yorkshire Health and Care Integrated Care Board Local Health Resilience Partnership. Health protection governance arrangements are subject to regular inspection through the internal audit cycle. Mass vaccination programme for flu and Covid The 2020 to 2022 Director of Public Health Annual Report focused on the response to the COVID-19 pandemic and makes several recommendations. Climate change mitigation and adaptation programme	Probable	Moderate (15)	No change	No current actions Whilst the Covid pandemic has not been declared over, the Government moves to the next phase of living with Covid from 1^st April 2022.  Therefore, our emergency outbreak response phase is over.

KCR 7 CAPITAL PROGRAMME: Failure to deliver the Capital Programme, which includes high profile projects. The capital programme currently has a budget of £531m from 2022/23 to 2026/27. 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.

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) Continued interest rate increases through to Sept 2023	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 Capital Strategy 2022/23 to 2026/27 approved in Feb 2022 Capital Programmes are sufficiently staffed to deliver to timescales Internal Audit Report gave reasonable assurance on project management arrangements	Possible	Moderate (14)	Action completed	COMPLETED Development of capital strategy for 2023/24 (Debbie Mitchell, 31/01/2023)

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.

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)	UPDATED The Plan has completed public inquiry phase and its regulation 19 Consultation is underway.  A final report from Inspectors for consideration by full council is expected in 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)	Reducing risk Updated control and action	Ongoing action: Monitoring of controls (Neil Ferris, 31/03/2023) UPDATED Once the local plan has been adopted – later in 2023-  the KCR will be considered for removal from the risk register. (Neil Ferris, 30/06/2023)

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.

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)	Resilient Communities Strategy Group in place New early help and prevention community based service delivery models in People & Customer & 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 approved on 2 March 2020 covering the period 2020-2023 Community Hubs set up to support residents through pandemic Roll-out of the Community hubs model as agreed in Oct 2020 Management structure (Mar 2021) appointed Director Of Customers and Communities Community Engagement Strategy published 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 NEW Access Officer role has been established in Communities	Possible	Major (19)	New Control	UPDATED Approval of Financial Inclusion Framework The cost of living crisis has changed the landscape from when the original work was completed, so the outputs from the Cost of Living Summit (the key themes were discussed there)  and the 3x10 year strategies have been built into the new draft. Consultation completed in January and decision on 16th March 2023 (Pauline Stuchfield 31/03/2023) Team being established to cover equalities, access & inclusion. (Pauline Stuchfield 30/09/2023)

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.

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. Adjustment to the new ways of working following the pandemic eg hybrid working. Reduction in posts due to restructures required to achieve budget savings Potential strike action 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	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 Potential recruitment issues if staff with EU citizenship leave and are difficult to replace. 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 · Juggling childcare and working hours · Supporting home schooling for children 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.  As we are able to start returning to the office in a covid secure way it is expected that this will have an increase in Health & Well Being.  More agile and flexible working may also result in increased retention of staff and increase the attraction of candidates for vacant positions.	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 Staff questionnaire about returning to the workplace and impact on their health & well being Increased help and awareness of staff wellbeing and mental health as a result of the new ways of working including Covid secure workspace, provision of PPE, establishment of office readiness group, regular communication and information sessions, advice, risk assessments, help with home office and ICT equipment, absence systems, symptom free testing and vaccinations, close working with Public Health. 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 NEW 2022/23 pay award accepted and implemented	Possible	Moderate (14)	New control	Ongoing action: Review of HR policies to ensure they complement the new ways of working in the future HR policies and advice to managers have been updated and as new working arrangements are embedded details are being updated in policies.  (Helen Whiting, 31/03/23) Review of employee T&Cs Progress has started with costing options ahead of discussions with CMT and Trade Unions.  (Helen Whiting, 31/03/2023) 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 started to ensure that the good employer benefits are promoted.  This will be ongoing and initiatives can be evaluated. (Helen Whiting, 31/03/2023)

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 abilty to deliver the service within budget constraints. 

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 the pandemic and 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	Ongoing action Latest Market Position  Statement (Jamaila Hussein 31/03/23)

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.

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	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 Strong partnerships with Police, Fire, Environment Agency and other agencies 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 Implemented physical measures for certain events Review of city transport access measures 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)	No change	Ongoing action: Improvements to enhance flood protection (The Environment Agency) (Neil Ferris, April 2023) The Government published a new resilience framework on 19^th December 2022.  This KCR will need to be reviewed in light of proposed changes (Neil Ferris, April 2023)