corporate risk register for march 2017 audit committee · corporate risk register for march 2017...

Corporate Risk Register for March 2017 Audit Committee

CONTENTS –Click on the risk reference to go to the details of the risk

NOTE – An arrow, and its direction, denotes any change to the risk score since the previous report and the colour of any

arrow shows the previous risk category, i.e. red, amber, yellow or green.

Risk Ref Risk Description Risk Score Risk Owner

HCS0012 Due to national NHS commissioning changes from May 2015 there may be

structural changes to NHS commissioning, leading to financial uncertainty for

jointly commissioned projects including the Better Care Fund within

Hertfordshire County Council.

Iain MacBeath

Director of Health and

Community Services

HCSOPD0006 In the event of commercial or contractual failure of private or independent care

providers, this may lead to disruption to care provision and impact on service

users and carers. (Previously ACSC0001)

Frances Heathcote

Assistant Director Health

and Community

Commissioning

HFRS0007 During unplanned incidents, such as terrorist activity, civil disturbance or large

scale wide area flooding, or periods of industrial action, there is a risk that

HFRS have insufficient resources to cope which may result in an over-reliance

on regional or national resources or significantly reduced fire cover.

Ian Parkhouse

Assistant Chief Fire Officer

- Response and Resilience

CSF0055 In the event of inappropriate care or attention there is a risk that a child or

young person could die or become seriously injured.

Jenny Coles

Director of Children's

Services

Severe64

Severe48

Severe48

Severe32


ENV0104 In the event of the Residual Waste Treatment Programme being impacted by

one of the following scenarios:

- The ERF at Rye House does not proceed or is delayed

- Unable to secure suitable alternatives for waste disposal should the contract

with VES be terminated. It may result in:

- Increased costs to HCC

Simon Aries

Assistant Director -

Transport, Waste &

Environmental

Management

HCS0010 Inability to attract an increased number of careworkers in line with the Health

and Community Services Workforce Strategy leading to non-compliance with

the Care Act 2014 duties and customer dissatisfaction.

Iain MacBeath


Community Services

HCSCP0001 In the event of the quality of care from internal and external HCS care providers

becoming inadequate resulting in the death or severe abuse of a client

Frances Heathcote

Assistant Director Health

and Community

Commissioning

HCSMH0002 As a result of the 2014 Supreme Court ruling around Deprivation of Liberty

Safeguards (DOLS) there is a risk that an inability to conduct best interest

assessments within legal timeframes could lead to unlawful detention of people

and potential legal and compensation challenges to HCC.

Sue Darker

Operations Director,

Learning Disabilities and

Mental Health

HCSOPD0001 Due to increased demands from the NHS for assistance discharging patients

from hospital, (this includes new groups of patients not previously referred to

social care and admission avoidance), there is a risk of delays in discharging

Iain MacBeath


Community Services

Severe32

Severe32

Severe32

Severe32

Severe32


some patients requiring HCC input, which may result in financial and

reputational consequences.

HR0021 If we fail to retain, attract and recruit the right people and right skills and

maintain staff engagement at all levels, there may be a significant impact on

service delivery and major cost implications. [Formerly CSCE0007]

Sally Hopper

Assistant Director, Human

Resources

PROP0022 As a result of changes to the way in which development contributions will be

collected from new developments through use of Community Infrastructure

Levy (CIL) and Section 106 contributions, and the delay in introduction of the

new arrangements across all district authorities there is a risk that there may be

insufficient money to support infrastructure needs derived from new housing

developments etc.[Formerly CSCE0023]

Angela Bucksey


Property

TEC0004 In the event of failing to maintain and ensure the use of our security systems,

technical protocols and change management processes, there is a risk of a

cyber attack (virus, penetration or malicious internal action) on HCC’s ICT

environments causing significant service disruption and possible data loss

Dave Mansfield

Head of Technology

COMS0002 As a result of the increased number of HCC staff and members directly

communicating with the public through social media, there is a risk that the

organisation's reputation could be damaged through an inappropriate

communication. [Formerly JCAD Risk Ref. ENV0096] NEW risk

Andrew Hadfield

Interim Head of

Communications

Significant24

Severe32

Severe32

Severe32


CP0004 As a result of disruptive factors influencing the lives of people in Hertfordshire,

there is a risk that residents or staff become radicalised or drawn into terrorism,

which could cause harm to themselves or the wider public and reduce

community / social cohesion.

Darryl Keen

Deputy Chief Fire Officer

CPRES0009 If there is insufficient preparation for increased frequency of extreme weather

events resulting from climate change, then there might be negative impacts on

service delivery, user access to service provision and to the reputation of the

Council.

Ian Parkhouse



CSF0070 In the event of inadequate capital being made available from a number of

funding streams, part of the costs of delivering the secondary expansion

programme and/or schools required to meet demand in new housing

developments may need to be met from the council's own resources having

exhausted all other eventualities.

Simon Newland

Assistant Director

(Education Provision &

Access)

CSHF0016 In the event that the Authority does not develop sufficient and timely proposals

to deal with the ongoing or further reductions in funding/resources, there is a

risk that the need to close the funding gap may result in identifying measures

for unplanned reductions in service spend leading to deterioration or

interruption of front line service delivery.NEW risk

Claire Cook

Assistant Director Finance

HCS0011 In the event of significant, increasing demand on health and social care

services, there is a risk that the Better Care Fund pooled budget may not be

sufficient to meet future demand for services

Jamie Sutterby

Assistant Director, Health

Integration (E&NH)

Significant24

Significant24

Significant24

Significant24

Significant24


HR0018 In the event of a failure to train employees to required standards, there is a risk

that staff are not fully competent in their roles, which could lead to the death,

serious injury or harm to service users, members of the public or staff

themselves e.g. front facing staff like QSWs and staff with access to vulnerable

adults and children

Sally Hopper


Resources

IMP0002 A significant proportion of the Council’s expenditure is accounted for by

externally commissioned services. In the event of insufficient skills in

commissioning / contract management and competencies along with a lack of

application of effective monitoring, governance and contract management

rigour, there is a risk of poor value, inadequate service provision and data

security and/or failure of externally delivered services, which could lead to

disruption of service delivery. [Formerly CSCE0019]

Stuart Bannerman

Campbell


Improvement and

Technology

ENV0142 Due to the threat of an increasing number of tree pests and diseases, in

particular the imminent threat from Ash Dieback, there is a risk of a significant

number of trees being affected which may result in significant unplanned costs,

potential dangers to the public and/or service users, impacts on the landscape

and loss of biodiversity.

Simon Aries


Transport, Waste &

Environmental

Management

AUDIT0001 There is a risk that the Council experiences significant fraud Terry Barnett

Head of Assurance

Significant24

Significant24

Significant20

Significant16


CPRES0001 In the event of a failure of the Local Resilience forum to provide adequate inter-

agency plans which correctly identify the capabilities required to deal with a

major emergency in Hertfordshire there is a risk that Hertfordshire's multi-

agency response may not be fully effective (formerly SERMU0001)

Ian Parkhouse



CPRES0002 In the event of a failure to prepare adequate Corporate and departmental

generic BCP plans, there is a risk that, should a major incident take place (to

building, technology & people), there may be insufficient back up arrangements

in place, which could result in a higher level of disruption than anticipated

causing increased disruption to key resources. (Formerly SERMU0002)

Ian Parkhouse



CSHF0002 There is a risk that HCC’s pension fund level may not improve sufficiently to

cover accrued pension costs because of economic conditions, poor investment

or ineffective governance

Claire Cook

Assistant Director Finance

ENV0033 In the event of under investment there is a risk that road maintenance levels

can not be maintained and general deterioration occurs, which may lead to

increased number of accidents, loss of reputation and customer dissatisfaction.

Rob Smith

Deputy Director

Environment

HFRS0004 In the event of a failure to meet national training requirements, poor operational

performance from personnel who are not fully trained and competent in their

role could lead to the death or serious injury of a firefighter.

Chris Bigland

Fire and Rescue Assistant

Chief Officer - Service

Support

Significant16

Significant16

Significant16

Significant16

Significant16


HR0022 If we fail to comply with safe staffing legislation and agreed HCC policy and

practice there is a risk this could lead to a lack of protection for HCC service

users (e.g. children and vulnerable adults) [Formerly CSCE0009]

Sally Hopper


Resources

PHD0014 In the event of a Health Protection emergency such as a communicable

disease epidemic, radiological, chemical or biological agent exposure, or

extreme weather conditions, there is a risk that the authority may be unable to

meet its statutory duty to adequately assure multi-agency health protection

arrangements and as a result there are high rates of morbidity or mortality of

Hertfordshire residents

Joel Bonnet

Deputy Director of Public

Health

PROP0020 As a result of changes in the UK and Local economic climate, which dictates

the sale value of assets for disposal, there is a risk that the sale of assets may

not provide the level of capital receipts to meet the target. (Formerly

PROP0002)

Angela Bucksey


Property

HR0023 As a result of new legislation establishing an Apprenticeship Levy, there is a

risk that should the County Council not take appropriate action to offset the levy

and provide apprenticeship opportunities there may be financial and

reputational consequences. NEW risk

Sally Hopper


Resources

IMP0001 There is a risk of the loss/inappropriate acquisition/disclosure of sensitive

personal or commercial data, including (but not limited to) paper records/post,

the electronic storage / transfer of personal data by email, fax or other technical

Stuart Bannerman

Campbell


Significant16

Significant16

Significant16

Significant12

Significant12


means, and publication of data for Open Data purposes, which could lead to

harm to clients, impact on HCC’s reputation, incur legal action and have

financial consequences (despite applying best practice there is always the

possibility of human error) [Formerly CSCE0013]

Improvement and

Technology

PROP0018 There is a risk that land owned by the Council and no longer required for the

purpose for which it was bought may not have an active management regime in

place. As a result there is a risk of an H&S incident to persons or property

which could give rise to H&SE action and a liability claim.

Angela Bucksey


Property

PROP0021 In the event that the review of how HCC disposes of its surplus land and

property assets determines that HCC should develop these sites and assets

itself or through joint venture arrangements, there is a risk that such a change

to the disposal policy may slow the delivery of the current £20m per annum

receipt value in the current Integrated Plan.

Angela Bucksey


Property

ENV0030 In the event of a failure in road inspection and / or fault reporting procedures,

there is a risk that the condition of our roads falls below expected standards,

which results in injury to citizens and / or successful claims against HCC.

Rob Smith

Deputy Director

Environment

Material8

Significant12

Significant12

Audit Committee01 March 2017

Corporate Risk RegisterMovement Report

Risk RefRisk DescriptionCorporate PriorityCategory

Risk Owner Progress Update Current RiskScore

MovementDirection

Previous RiskScore

Target RiskScore

Recent movement report (incl JT) - Corporate Risk Register for March 2017 Audit Committee

Notes: References highlighted Purple have been added since the 09/11/2016.Old Category is shown when there has been a change of category.Previous Risk Score shows rating, profile, probability and impact prior to the Current Risk Score

Date filtered on: 09/11/2016Report Date: 24/01/2017

IainMacBeath

Severe64

ProbabilityLikely

4

ImpactVery High

16

Severe32

ImpactHigh

8

ProbabilityLikely

4

Significant16

ProbabilityUnlikely

2

ImpactHigh

8

HCS0012

Due to national NHS commissioningchanges from May 2015 there may bestructural changes to NHS commissioning,leading to financial uncertainty for jointlycommissioned projects including theBetter Care Fund within HertfordshireCounty Council.

Opportunity to be Healthy and Safe

19/12/2016

Current Category: Corporate

Director ofHealth andCommunity

Services

Risk reviewed by Risk Ownerand current risk scoreupdated on 19th December2016. HVCCG have statedtheir intention to withdraw£8.5 million in funding fromApril 2017. HCC nowconsidering legal actionsReviewed On :19/12/2016

Ref Control Description Status Owner

HCS0012/001 Section 75 arrangements in place betweenNHS and HCC

In Progress Iain MacBeath

HCS0012/002 Agreed governance arrangements betweenCCGs and HCS


HCS0012/003 Joint Integrated Planning Process (IPP)planning with CCGs.


HCS0012/004 Transformation through Better Care Fund. In Progress Iain MacBeath

HCS0012/005 Agreement that social care will form part offinancial bridge incorporated into thesustainability and transformation plan


HCS0012/006 HCC to consider legal action as a result of HVCCGstating their intention to withdraw Adult Social carefunding


Controls:

1



MovementDirection

Previous RiskScore

Target RiskScore

Recent movement report (incl JT) - Corporate Risk Register for Jan 2017 Audit Committee



FrancesHeathcote

Severe48

ProbabilityPossible

3

ImpactVery High

16

Severe48

ImpactVery High

16

ProbabilityPossible

3

Significant24

ProbabilityPossible

3

ImpactHigh

8

HCSOPD0006

In the event of commercial or contractualfailure of private or independent careproviders, this may lead to disruption tocare provision and impact on service usersand carers.(Previously ACSC0001)



AssistantDirector

Health andCommunity

Commissioning

Risk reviewed by risk owner.No change requiredReviewed On :20/12/2016


HCSOPD0006/001

Regular contract monitoring of HCS careproviders with a risk-based approach

Existing Frances Heathcote

HCSOPD0006/002

HCS 'Serious Concerns' procedure to deal withfailing care providers

Existing Sue Darker

HCSOPD0006/003

Instigation of annual credit checks on all careproviders as early warning system

In Progress Frances Heathcote

HCSOPD0006/005

Quarterly performance report to HCSManagement Board


Controls:

2



MovementDirection

Previous RiskScore

Target RiskScore




IanParkhouse

Severe48

ProbabilityPossible

3

ImpactVery High

16

Severe48

ImpactVery High

16

ProbabilityPossible

3

Severe32

ProbabilityUnlikely

2

ImpactVery High

16

HFRS0007

During unplanned incidents, such asterrorist activity, civil disturbance or largescale wide area flooding, or periods ofindustrial action, there is a risk that HFRShave insufficient resources to cope whichmay result in an over-reliance on regionalor national resources or significantlyreduced fire cover.



AssistantChief Fire

Officer - Response andResilience

The risk and control ownerhas reviewed this risk andconfirmed that there are nochanges at the present time.Reviewed On :20/12/2016

3



MovementDirection

Previous RiskScore

Target RiskScore





HFRS0007/004 Review Integrated Risk Management Plan(IRMP) regularly to assess community riskagainst resources

Existing Ian Parkhouse

HFRS0007/005 Review whole-time and retained workforcenumbers on a monthly basis to identitydeficiencies and take appropriate action


HFRS0007/006 Crewing office to manage and maintaincrewing levels on a daily basis across theorganisation and ensure appliance availability


HFRS0007/007 Maximise both personnel and applianceavailability through the application ofprocedures and appropriate management

In Progress Ian Parkhouse

HFRS0007/008 Procure and provide specialist vehicles,equipment and teams to meet the currenttechnical rescue risk within the County

In Progress Ian Parkhouse

HFRS0007/009 Regularly review site specific response plans,operational procedures and contingencyarrangements


HFRS0007/010 Organise and host regular large scale/majorincident exercises with local partners on alocal, county and regional platform


HFRS0007/011 Regularly review and ensure arrangements arein place to request additional resources bothlocally and nationally


Controls:

4



MovementDirection

Previous RiskScore

Target RiskScore




Jenny ColesSevere

32

ProbabilityUnlikely

2

ImpactVery High

16

Severe32

ImpactVery High

16

ProbabilityUnlikely

2

Severe32

ProbabilityUnlikely

2

ImpactVery High

16

CSF0055

In the event of inappropriate care orattention there is a risk that a child oryoung person could die or becomeseriously injured.



Director ofChildren'sServices

This risk has been reviewedand remains in place at thelevel it is in accordance withthe Audit Committee decision.Reviewed On :06/01/2017


CSF0055/003 Maintain casework practice and implementrecommendations of reviews

In Progress Sue Williams

CSF0055/004 Continually monitor and review safeguardingpractice and services within the council andwith partners under the HSCB

In Progress Sue Williams

CSF0055/005 Implement peer review and inspection actions In Progress Sue Williams

Controls:

5



MovementDirection

Previous RiskScore

Target RiskScore




Simon AriesSevere

32

ProbabilityLikely

4

ImpactHigh

8

Severe32

ImpactHigh

8

ProbabilityLikely

4

Material8

ProbabilityRare

1

ImpactHigh

8

ENV0104

In the event of the Residual WasteTreatment Programme being impacted byone of the following scenarios:

- The ERF at Rye House does not proceedor is delayed- Unable to secure suitable alternatives forwaste disposal should the contract withVES be terminated.

It may result in:- Increased costs to HCC

Delivering our Vision


AssistantDirector - Transport, Waste

&EnvironmentalManagement

On 17th July 2015, theCounty Council receivednotification that the applicationfor the Recycling and EnergyRecovery facility at NewBarnfield had beenreconsidered by the Secretaryof State following anindependent legal challengeby Veolia EnvironmentalServices Ltd (VES) and thatplanning permission has beenrefused. Following theHighways and WasteManagement Cabinet Paneland Cabinet meetings inNovember, it was agreed torequest a Revised ProjectPlan (RPP) from VES. VESsubmitted the draft RPP on7th July 2015 in accordancewith the contract. Followingevaluation of the RPP a reportdetailing VES' proposal for anenergy recovery facility at RyeHouse, Hoddesdon, wastaken to the CommunitySafety and WasteManagement Cabinet Panelon 4th March 2016 andCabinet on 14th March 2016

6



MovementDirection

Previous RiskScore

Target RiskScore




where a decision was made toaccept the RPP in Principle.Following the conclusion ofthe legal drafting to vary thecontract and bring into effectthe RPP on 15th July 2016VES have been working onthe planning application forthe ERF at Rye House, thiswas submitted to the WastePlanning Authority late 2016and it is anticipated that theplanning application will bedetermined late spring/earlysummer 2017.Reviewed On :03/01/2017


ENV0104/001 Scenario planning In Progress Simon Aries

ENV0104/002 Legal & financial advice In Progress Simon Aries

ENV0104/003 Liaison with contractor Existing Simon Aries

ENV0104/004 Management of Political Processes Existing Simon Aries

ENV0104/006 Technical advice Existing Simon Aries

Controls:

7



MovementDirection

Previous RiskScore

Target RiskScore




IainMacBeath

Severe32

ProbabilityLikely

4

ImpactHigh

8

Severe32

ImpactHigh

8

ProbabilityLikely

4

Manageable4

ProbabilityUnlikely

2

ImpactLow

2

HCS0010

Inability to attract an increased number ofcareworkers in line with the Health andCommunity Services Workforce Strategyleading to non-compliance with the CareAct 2014 duties and customerdissatisfaction.




Services

Risk reviewed by risk owneron 19th December 2016.Agencies are feeling theimpact of Brexit asrecruitment in Eastern Europehas ceased in favour of SpainReviewed On :19/12/2016


HCS0010/001 Regular reporting on workforce strategy toHCSMB


HCS0010/002 Monitoring of new staffing requirements forwhole sector in place within commissioing.

In Progress Frances Heathcote

HCS0010/007 Contingency planning around key areas of risk Existing Frances Heathcote

HCS0010/008 All Lead Providers of Home Care are nowrequired to have a recruitment and retentionstrategy


Controls:

8



MovementDirection

Previous RiskScore

Target RiskScore




FrancesHeathcote

Severe32

ProbabilityUnlikely

2

ImpactVery High

16

Severe32

ImpactVery High

16

ProbabilityUnlikely

2

Severe32

ProbabilityUnlikely

2

ImpactVery High

16

HCSCP0001

In the event of the quality of care frominternal and external HCS care providersbecoming inadequate resulting in thedeath or severe abuse of a client



AssistantDirector

Health andCommunity

Commissioning

Risk reviewed by Risk Owner.No changes requiredReviewed On :20/12/2016


HCSCP0001/001

Assessment and care managementprocedures in Health & Community Services

Existing Chris Badger

HCSCP0001/002

Hertfordshire's multi-agency safeguardingadults policy and procedures

Existing Sue Darker

HCSCP0001/003

HCS Contract Monitoring Procedures Existing Frances Heathcote

HCSCP0001/004

Complaints and representations procedure Existing Sue Fox

HCSCP0001/005

Appropriate and effective supervision ofoperational staff

Existing Sue Darker

HCSCP0001/006

MAPPA strategic board collaboration to protectvulnerable adults

Existing Sue Darker

HCSCP0001/007

Learning and development of care providers Existing Mark Gwynne

Controls:

9



MovementDirection

Previous RiskScore

Target RiskScore




Sue DarkerSevere

32

ProbabilityLikely

4

ImpactHigh

8

Severe32

ImpactHigh

8

ProbabilityLikely

4

Material8

ProbabilityUnlikely

2

ImpactMedium

4

HCSMH0002

As a result of the 2014 Supreme Courtruling around Deprivation of LibertySafeguards (DOLS) there is a risk that aninability to conduct best interestassessments within legal timeframes couldlead to unlawful detention of people andpotential legal and compensationchallenges to HCC.



OperationsDirector,Learning

Disabilitiesand Mental

Health

Risk reviewed by Risk Owneron 13th December. Nochange required to scoreReviewed On :15/12/2016


HCSMH0002/001

Monthly meetings with Lawyers andOperations Director.

In Progress Sue Darker

HCSMH0002/003

Projection for next years workload - ForwardPlanning

In Progress Sue Darker

Controls:

10



MovementDirection

Previous RiskScore

Target RiskScore




IainMacBeath

Severe32

ProbabilityLikely

4

ImpactHigh

8

Severe32

ImpactHigh

8

ProbabilityLikely

4

Significant16

ProbabilityUnlikely

2

ImpactHigh

8

HCSOPD0001

Due to increased demands from the NHSfor assistance discharging patients fromhospital, (this includes new groups ofpatients not previously referred to socialcare and admission avoidance), there is arisk of delays in discharging some patientsrequiring HCC input, which may result infinancial and reputational consequences.




Services

Differential approaches beingundertaken to East and HertsValleys CCG's according tofunding commitments. HCScontinues to work closely withNHS providersReviewed On :20/12/2016


HCSOPD0001/001

Regular performance monitoring by HCSManagement Board and budget managers


HCSOPD0001/003

Financial authorisation procedures in place andapplied constantly


HCSOPD0001/008

Intergrated discharge arrangements in placefor all major acute hospitals that acceptHertfordshire patients

Complete Iain MacBeath

HCSOPD0001/009

New Commissioing Module for all SpecialistCare at Home from hospital


HCSOPD0001/010

Work underway to ensure finance andperformance measures are consistent witheach other


Controls:

11



MovementDirection

Previous RiskScore

Target RiskScore




Sally HopperSevere

32

ProbabilityLikely

4

ImpactHigh

8

Severe32

ImpactHigh

8

ProbabilityLikely

4

Significant16

ProbabilityUnlikely

2

ImpactHigh

8

HR0021

If we fail to retain, attract and recruit theright people and right skills and maintainstaff engagement at all levels, there maybe a significant impact on service deliveryand major cost implications. [FormerlyCSCE0007]



AssistantDirector,Human

Resources

Turnover has increasednotably compared to August(now at 15.9%) impacted byimprovements in privatesector jobs market andpotential impact of proposed1% pay cap over next 4 years.We are likely to see a furtherslight increase in turnovercontinuing into 2017.Continued difficultiesrecruiting and retaining somekey groups. Continuing tomonitor turnover and retentionand ensure recruitmentadvertising and branding isstrong.Careers portal continues toattract healthy website trafficto the recruitment pages with47,000 users in November2016 though this figure islower than August 2016.Reviewed On :16/12/2016

12



MovementDirection

Previous RiskScore

Target RiskScore





HR0021/001 Regular monitoring, workforce planning andforecasting - e.g. incl talent management andsuccession planning

Existing Sally Hopper

HR0021/007 Ensure the ability to call upon key serviceproviders to meet any short term in-house skillsgap


HR0021/008 Regular monitoring of the employment'package' to help ensure HCC remains anEmployer of Choice


HR0021/010 Maintain and support PMDS scheme,appropriate career schemes and associatedtraining. (replaces controls CSCE0007/003and 004)

In Progress Sally Hopper

HR0021/012 Develop, implement and embed employeecomms, engagement and well-being initiatives,incl Herts Manager & StakeholderManagement


HR0021/013 Develop a future focused strategy forresourcing, including a focus on young people,re-deployment and re-skilling.


HR0021/014 Proactive approach to managing demand andsupply e.g. QSW's in collaboration with otherLA's


HR0021/015 Target Public Health recruitment at specialistnetworks, journals and social media sites

In Progress Alison Hardy

HR0021/016 Monitor the external recruitment marketincluding senior manager pay to ensure remaincompetitive


Controls:

13



MovementDirection

Previous RiskScore

Target RiskScore




HR0021/017 Talent & succession plans in place to supportfuture organisation


AngelaBucksey

Severe32

ProbabilityLikely

4

ImpactHigh

8

Severe

32

ImpactHigh

8

ProbabilityLikely

4

Significant12

ProbabilityPossible

3

ImpactMedium

4

PROP0022

As a result of changes to the way in whichdevelopment contributions will be collectedfrom new developments through use ofCommunity Infrastructure Levy (CIL) andSection 106 contributions, and the delay inintroduction of the new arrangementsacross all district authorities there is a riskthat there may be insufficient money tosupport infrastructure needs derived fromnew housing developments etc.[FormerlyCSCE0023]

Opportunity to Prosper


AssistantDirector - Pro

perty

Risk and control measureshave been reviewed. Scoresleft as was but furtherconversations to take placewith a report due fromJacqueline Nixon.Reviewed On :28/12/2016

14



MovementDirection

Previous RiskScore

Target RiskScore





PROP0022/002 Engage additional staff resource to driveforward work with Districts on Local Plans

Existing Jacqueline Nixon

PROP0022/003 To work effectively with District planners tocommunicate and identify the requiredinfrastructure


PROP0022/004 Provide regular updates toMembers/stakeholders working with Districts tosecure support for successful implementationof CIL

Existing Angela Bucksey

PROP0022/005 Identification of possible alternative fundingsources and interaction with fund biddingprocesses


PROP0022/006 Develop & maintain dialogue with centralgovernment depts as necessary to inform andinfluence policy and funding decisions


PROP0022/007 Establish working relationships with Parish &Town Councils as necessary to achieveeffective use of CIL funding


PROP0022/008 Work with Districts to bring forward their LocalPlans CIL charging and support HCCInfrastructure requirements


Controls:

15



MovementDirection

Previous RiskScore

Target RiskScore




DavidMansfield

Severe32

ProbabilityLikely

4

ImpactHigh

8

Significant

16

ImpactHigh

8

ProbabilityUnlikely

2

Significant16

ProbabilityUnlikely

2

ImpactHigh

8

TEC0004

In the event of failing to maintain andensure the use of our security systems,technical protocols and changemanagement processes, there is a risk ofa cyber attack (virus, penetration ormalicious internal action) on HCC’s ICTenvironments causing significant servicedisruption and possible data loss


05/01/2017


Head ofTechnology

We are now subject to anincreasing level of attacks; wesuffered a number of attacksover the Christmas period,and our mitigations wereagain successful. However,and despite the extensive andthorough measures in place,as the intensity, complexityand number of attacksincrease we are going to haveto be continually on top of thisand updating / improving /modernising our responses.Having reviewed the risk andcontrols in the light of this, therisk owner has determinedthat the likelihood associatedwith the risk should be raisedto ‘likely’. The overall riskscore therefore increasesfrom amber 16 (significant) tored 32 (severe).Reviewed On :05/01/2017

16



MovementDirection

Previous RiskScore

Target RiskScore





TEC0004/001 Industry approved security measures (firewalls,desktop AV, email filtering software etc)implemented, monitored and maintained

Existing David Mansfield

TEC0004/002 New/updated systems/apps conform to agreedsecurity requirements inc successful networkpenetration tests before implementation


TEC0004/004 Work to continuously develop & deliver ICTpolicy/security educ/awareness training forstaff, managers and members


TEC0004/006 Rolling program of testing networkinfrastructure inc penetration testing for HCCand key 3rd party providers


TEC0004/007 Ensure ICT Service Providers adhere tosecurity & tech standards inproviding/implementing/updating systems; ICTinfrastructure


Controls:

17



MovementDirection

Previous RiskScore

Target RiskScore




AndrewHadfield

Significant24

ProbabilityPossible

3

ImpactHigh

8

Significant

12

ImpactMedium

4

ProbabilityPossible

3

Material8

ProbabilityUnlikely

2

ImpactMedium

4

COMS0002

As a result of the increased number ofHCC staff and members directlycommunicating with the public throughsocial media, there is a risk that theorganisation's reputation could bedamaged through an inappropriatecommunication. [Formerly JCAD RiskRef. ENV0096]


22/12/2016

Old Category: ServiceCurrent Category: Corporate

Interim Headof

Communications

Risk and controls reviewed.As a result of the increasingnumbers of social mediausers and the increasingvolume of messages viasocial media this risk hasbeen re-assessed, the scoreincreased to amber 24(significant) and the riskescalated to the CorporateRisk Register. TheCommunications Team hasjust completed a mini-reviewof existing documentation /guidance and will be updatingthese through the crosscouncil web managementgroup by the end of January.Further work will also be doneto increase awareness of therisks and benefits of socialmedia activity across thecouncil, including as anotherchannel to engage customersand residents.Reviewed On :22/12/2016

18



MovementDirection

Previous RiskScore

Target RiskScore





COMS0002/001 Social Media Policy Existing Andrew Hadfield

COMS0002/002 Social media training sessions Existing Andrew Hadfield

COMS0002/003 Best practice guidance Existing Andrew Hadfield

Controls:

Darryl KeenSignificant

24

ProbabilityPossible

3

ImpactHigh

8

Significant

24

ImpactHigh

8

ProbabilityPossible

3

Significant16

ProbabilityUnlikely

2

ImpactHigh

8

CP0004

As a result of disruptive factors influencingthe lives of people in Hertfordshire, thereis a risk that residents or staff becomeradicalised or drawn into terrorism, whichcould cause harm to themselves or thewider public and reduce community /social cohesion.



Deputy ChiefFire Officer

Focussed work continues toensure that staff and residentswithin Hertfordshire are awareof the risks relating toredicalisation and the steps totake should they identify arisk. SMB has recentlyapproved a proposal torequire all members of HCCstaff to undergo a minimumlevel of Prevent awarenesstraining through ilearn orWorkshop Raising Awarenessof Prevent (WRAP)Reviewed On :20/12/2016

19



MovementDirection

Previous RiskScore

Target RiskScore





CP0004/002 Prevent Board to develop and regularly reviewprogress of the Prevent action plan

In Progress Darryl Keen

CP0004/004 Hertfordshire Channel Panel established asrequired by the Counter Terrorism and SecurityAct 2015

Existing Darryl Keen

CP0004/005 Development of appropriate training to meetrequirements of HCC Prevent action plan

In Progress Darryl Keen

CP0004/006 Collaboration with partners (incl schools) tocoordinate Prevent activities

Proposed Darryl Keen

Controls:

IanParkhouse

Significant24

ProbabilityPossible

3

ImpactHigh

8

Significant

24

ImpactHigh

8

ProbabilityPossible

3

Significant12

ProbabilityPossible

3

ImpactMedium

4

CPRES0009

If there is insufficient preparation forincreased frequency of extreme weatherevents resulting from climate change, thenthere might be negative impacts onservice delivery, user access to serviceprovision and to the reputation of theCouncil.

Opportunity to Thrive


AssistantChief Fire


The risk and control ownerhas reviewed the risk andcontrol and confirmed thatthere are no changes requiredat the present time.Reviewed On :20/12/2016

20



MovementDirection

Previous RiskScore

Target RiskScore





CPRES0009/001

Appropriate business continuity arrangementsin place and regular annual reviews carried out

Existing Gareth Bradbury

CPRES0009/002

Continually developing partnership workingwith agencies developing risk reductionstrategies multi agency warn&inform strategy

In Progress Gareth Bradbury

CPRES0009/003

Each service holds a service level risk which ismonitored and reviewed on a regular basis bythe resilience team


Controls:

SimonNewland

Significant24

ProbabilityPossible

3

ImpactHigh

8

Significant

24

ImpactHigh

8

ProbabilityPossible

3

Material8

ProbabilityUnlikely

2

ImpactMedium

4

CSF0070

In the event of inadequate capital beingmade available from a number of fundingstreams, part of the costs of delivering thesecondary expansion programme and/orschools required to meet demand in newhousing developments may need to bemet from the council's own resourceshaving exhausted all other eventualities.

Opportunity to Thrive


AssistantDirector

(EducationProvision &

Access)

Risk reviewed and agreedneeds to remain in placeReviewed On :06/01/2017

21



MovementDirection

Previous RiskScore

Target RiskScore





CSF0070/005 Minimise the number of expansionsundertaken including by ensuring informationmanagement is fit for purpose

In Progress Simon Newland

CSF0070/006 Ensure value for money In Progress Simon Newland

CSF0070/007 Secure access to additional funding from DfE In Progress Simon Newland

Controls:

Claire CookSignificant

24

ProbabilityPossible

3

ImpactHigh

8

Significant

24

ImpactHigh

8

ProbabilityPossible

3

Significant16

ProbabilityUnlikely

2

ImpactHigh

8

CSHF0016

In the event that the Authority does notdevelop sufficient and timely proposals todeal with the ongoing or further reductionsin funding/resources, there is a risk thatthe need to close the funding gap mayresult in identifying measures forunplanned reductions in service spendleading to deterioration or interruption offront line service delivery.


22/12/2016


Created Date: 22/12/2016

AssistantDirectorFinance

This new risk has been raisedto replace risks CSHF0005and CSHF0015. Controlshave been reviewed andactions are being undertakenthrough the IntegratedPlanning Process and theSMART Journey Programme.Reviewed On :22/12/2016

22



MovementDirection

Previous RiskScore

Target RiskScore





CSHF0016/001 Timely reporting to senior managershighlighting risks relating to available resourcesto enable mitigations to be made.

In Progress Lindsey McLeod

CSHF0016/002 Work with districts to monitor changes tobusiness rates related to loss ofbusinesses/impact revaluations/improvecollection.

In Progress Claire Cook

CSHF0016/003 HCS Board members are engaged innegotiations with the NHS about futureprotection of social care.


CSHF0016/004 Monitor the impact of proposed changes toEducation Funding to enable seniorofficers/members to make timely/informeddecisions.

In Progress Abioye Asimolowo

CSHF0016/005 A transformation programme that supports theorganisation to deliver the necessaryeffeciencies including work with partners.

In Progress David Butcher

CSHF0016/006 Take account and anticipate changes throughanalysis of Government papers/announcementso managment can make informed decisions


CSHF0016/007 Continue to carry out Service-led budgetreviews


CSHF0016/008 Horizon scanning/policy Network In Progress Alex James

Controls:

23



MovementDirection

Previous RiskScore

Target RiskScore




JamieSutterby

Significant24

ProbabilityPossible

3

ImpactHigh

8

Significant

24

ImpactHigh

8

ProbabilityPossible

3

Material8

ProbabilityUnlikely

2

ImpactMedium

4

HCS0011

In the event of significant, increasingdemand on health and social careservices, there is a risk that the BetterCare Fund pooled budget may not besufficient to meet future demand forservices



AssistantDirector,Health

Integration(E&NH)

Risk reviewed by risk owneron 19th December 2016. Nochanges requiredReviewed On :20/12/2016

24



MovementDirection

Previous RiskScore

Target RiskScore





HCS0011/001 The approach Hertfordshire have taken inconstituting the BCF ensures the stability offinance for many BCF funded services

In Progress Keir Mann

HCS0011/002 Regular monitoring of metrics through jointgovernance structures to identify lack ofprogress and areas for improvement


HCS0011/003 Agreement of risk sharing and contingencyplans with NHS partners


HCS0011/004 Pay for performance funding used to fundprojects across providers, risk shared, ratherthan concentrated in single provider.

Complete Keir Mann

HCS0011/006 Increased allocations to BCF budget fromCCGs in place for this year. Next year fudingunclear

Existing Keir Mann

HCS0011/007 Reducing spend on acute admissions andother services as a result of BCF projects andother health and social care system change


HCS0011/008 Better Care fund plan agreed by HWB In Progress Keir Mann

HCS0011/009 Scoping opportunities for joint commissioningbetween HCC and CCGs


Controls:

25



MovementDirection

Previous RiskScore

Target RiskScore




Sally HopperSignificant

24

ProbabilityPossible

3

ImpactHigh

8

Significant

24

ImpactHigh

8

ProbabilityPossible

3

Significant16

ProbabilityUnlikely

2

ImpactHigh

8

HR0018

In the event of a failure to train employeesto required standards, there is a risk thatstaff are not fully competent in their roles,which could lead to the death, seriousinjury or harm to service users, membersof the public or staff themselves e.g. frontfacing staff like QSWs and staff withaccess to vulnerable adults and children




Resources

HR are currently reviewing theLearning & Developmentoffering to ensure it meetsorganisational requirementsand industry standards. Theimpact on L&D delivery fromthe Apprenticeship Levy iscurrently being scoped.Reviewed On :16/12/2016

26



MovementDirection

Previous RiskScore

Target RiskScore





HR0018/001 Enable review and monitoring of trainingprovision; through People Strategy, StrategicWorkforce Planning, Employee Lifecycle


HR0018/002 Management Development Programme todeliver more mentoring/coaching opportunitiesfor managers to develop in house talent


HR0018/003 Incorporate HCC values & leadership qualitiesinto new training provisions for managers


HR0018/004 Regular monitoring, workforce planning andforecasting - e.g. incl talent management andsuccession planning


HR0018/005 Maintain and support PMDS scheme,appropriate career schemes and associatedtraining, coaching / mentoring


HR0018/006 Deliver appropriate training to meetrequirements of HCC Prevent action plan.


Controls:

27



MovementDirection

Previous RiskScore

Target RiskScore




StuartBannermanCampbell

Significant24

ProbabilityPossible

3

ImpactHigh

8

Significant

24

ImpactHigh

8

ProbabilityPossible

3

Material8

ProbabilityRare

1

ImpactHigh

8

IMP0002

A significant proportion of the Council’sexpenditure is accounted for by externallycommissioned services. In the event ofinsufficient skills in commissioning /contract management and competenciesalong with a lack of application of effectivemonitoring, governance and contractmanagement rigour, there is a risk of poorvalue, inadequate service provision anddata security and/or failure of externallydelivered services, which could lead todisruption of service delivery. [FormerlyCSCE0019]



AssistantDirector - Improvement andTechnology

The risk owner has reviewedthe risk and controls and thereis no change.Reviewed On :06/01/2017

28



MovementDirection

Previous RiskScore

Target RiskScore





IMP0002/002 Effective use of The `Do, Buy, Share' model ofprocurement

In Progress Paul Drake

IMP0002/005 Specialist procurement training programmecommences Jan 2014


IMP0002/006 Regular newsletter and Contracting BestPractice meeting which takes place bi monthly


IMP0002/008 SPG team specialist support to key businessareas


IMP0002/009 Undertake a review of the procurement /commissioning approach across the county inAutumn 2015 and investigate any skills needs


IMP0002/010 Effective service and contractual checks aremade by contracting managers pre contractplacement and on an ongoing basis


IMP0002/011 HCC’s Technology team provide support tocontracting managers to assess ICTimplications and security.

In Progress David Mansfield

Controls:

29



MovementDirection

Previous RiskScore

Target RiskScore




Simon AriesSignificant

20

ProbabilityAlmost Certain

ImpactMedium

4

Severe40

ImpactHigh

8


Significant20


5

ImpactMedium

4

ENV0142

Due to the threat of an increasing numberof tree pests and diseases, in particularthe imminent threat from Ash Dieback,there is a risk of a significant number oftrees being affected which may result insignificant unplanned costs, potentialdangers to the public and/or service users,impacts on the landscape and loss ofbiodiversity.


03/01/2017


AssistantDirector - Transport, Waste

&EnvironmentalManagement

The Tree Health CorporateRisk was reviewed by theHCC Audit Committee inNovember 2016 and anupdate paper presented to E,P&T Panel in December2016. The risk toHertfordshire’s trees fromChalara and other tree healthissues is likely to belong-term. With Controlsprogressing well and moreknown about the spread of thedisease it is felt that theImpact of the risk in ANY ONEYEAR can be reduced to (4)Medium. The Likelihood of thetree health issues having animpact in the county remains(5) High. As such the currentscore for the Tree Health Riskin any one year is reduced to20 (Medium).Reviewed On :03/01/2017

30



MovementDirection

Previous RiskScore

Target RiskScore





ENV0142/001 Raising awareness of the issues incl TreeHealth pages on website; articles in relevantpublications; engagement with partners

In Progress Tony Bradford

ENV0142/002 Establishing extent and potential liability of ashtree population on Highways HCC isresponsible to manage

In Progress Mike Younghusband

ENV0142/003 Monitoring of the national and local tree healthsituation and specialist advice to feed intoplans and actions


ENV0142/004 Developing a framework for sharing bestpractice including the county council’s internalTree Health Network


ENV0142/005 Lobbying the government for support andassistance in responding to the tree healthissue in the county

In Progress Simon Aries

ENV0142/006 Identify the financial pressures and secureresources through the Integrated PlanningProcess where appropriate


ENV0142/007 Establish extent and potential liability of treepopulation on non-Highway HCC land inclProperty HCC is responsible to manage

In Progress Angela Bucksey

ENV0142/008 Develop and undertake a coordinatedapproach across Hertfordshire to deliver a costeffective, proportionate, efficient response


Controls:

31



MovementDirection

Previous RiskScore

Target RiskScore




ENV0142/009 Appropriate tree inspection regimes onhighway land; summer inspections; stafftrained to identify symptoms of relevantdiseases

In Progress Mike Younghusband

ENV0142/012 Ensure all relevant departments in the countycouncil have appropriate tree risk policies andprocedures in place


ENV0142/010 Appropriate tree inspection regimes - HCCland; staff trained to identify disease

In Progress Angela Bucksey

ENV0142/011 Raise awareness and share best practiceamongst public, staff, schools (Schools Grid),incl employ a 2 year Tree Health Offficer


ENV0142/013 Development of a plant procurement protocolfor HCC

In Progress Patrick Stiles

ENV0142/014 Work with partners to plan for restoration of thepost-ash dieback landscape

Proposed Tony Bradford

Terry BarnettSignificant

16

ProbabilityLikely

4

ImpactMedium

4

Significant

16

ImpactMedium

4

ProbabilityLikely

4

Material8

ProbabilityUnlikely

2

ImpactMedium

4

AUDIT0001

There is a risk that the Councilexperiences significant fraud



Head ofAssurance

The risk and controls havebeen reviewed and there areno changesReviewed On :03/01/2017

32



MovementDirection

Previous RiskScore

Target RiskScore





AUDIT0001/001 Risk based programme of work by both SIASand SAFS focussing on areas that aresusceptible to fraud

In Progress Terry Barnett

AUDIT0001/006 Managing the content from the Fraud reportingfacility available on Herts Direct and Compass

In Progress Terry Barnett

AUDIT0001/007 Oversight of fraud risk at audit committee In Progress Terry Barnett

Controls:

IanParkhouse

Significant16

ProbabilityRare

1

ImpactVery High

16

Significant

16

ImpactVery High

16

ProbabilityRare

1

Significant16

ProbabilityRare

1

ImpactVery High

16

CPRES0001

In the event of a failure of the LocalResilience forum to provide adequateinter-agency plans which correctly identifythe capabilities required to deal with amajor emergency in Hertfordshire there isa risk that Hertfordshire's multi- agencyresponse may not be fully effective(formerly SERMU0001)



AssistantChief Fire


The risk and control ownerhas reviewed these risk andcontrol measures andconfirmed that there arechanges to control measuresCPRES 0001/002 andCPRES0001/003Reviewed On :20/12/2016

33



MovementDirection

Previous RiskScore

Target RiskScore





CPRES0001/001

LRF business plan to address areas of concern/ key priorities


CPRES0001/002

HCC an active participant in LRF activity Existing Gareth Bradbury

CPRES0001/003

Agreed programme of training/exercising,including development plan for LRF members& internal incident response managers


CPRES0001/006

Regular Review and update of the CommunityRisk Register checking for potential risks thatare relevant.


CPRES0001/007

Agreed annual programme of reviewinginter-agency plans undertaken


Controls:

34



MovementDirection

Previous RiskScore

Target RiskScore




IanParkhouse

Significant16

ProbabilityRare

1

ImpactVery High

16

Significant

16

ImpactVery High

16

ProbabilityRare

1

Significant16

ProbabilityRare

1

ImpactVery High

16

CPRES0002

In the event of a failure to prepareadequate Corporate and departmentalgeneric BCP plans, there is a risk that,should a major incident take place (tobuilding, technology & people), there maybe insufficient back up arrangements inplace, which could result in a higher levelof disruption than anticipated causingincreased disruption to key resources.(Formerly SERMU0002)



AssistantChief Fire


The risk and control ownerhas reviewed this risk andcontrol measures andconfirmed that no changesare required at the presenttime.Reviewed On :20/12/2016


CPRES0002/001

Plans in place for all departments / serviceareas and 4 principle office locations


CPRES0002/002

Regular reporting to Resilience Board andSMB on plan reviews, training and exercising


CPRES0002/003

Work programme to focus support on keyareas where vulnerability is greatest


Controls:

35



MovementDirection

Previous RiskScore

Target RiskScore




Claire CookSignificant

16

ProbabilityRare

1

ImpactVery High

16

Severe32

ImpactVery High

16

ProbabilityUnlikely

2

Significant16

ProbabilityRare

1

ImpactVery High

16

CSHF0002

There is a risk that HCC’s pension fundlevel may not improve sufficiently to coveraccrued pension costs because ofeconomic conditions, poor investment orineffective governance


22/12/2016


AssistantDirectorFinance

The performance of the fundcontinues to be monitored.Quarterly Actuarial Navigatorreports are shared with thepensions committee. Latestposition shows the fundinglevel to be around 87% as at30 September 2016. Therisk and controls have beenreviewed in the context of thetriennial re-evaluation of thefund. Given the improvementfunding position the risk scorehas been reduced from red(severe) to amber(significant).Reviewed On :22/12/2016

36



MovementDirection

Previous RiskScore

Target RiskScore





CSHF0002/002 Monitor ongoing market conditions and fundperformance.

Existing Patrick Towey

CSHF0002/003 Ensure investment decisions are made in linewith the strategy and are adequately diversified

In Progress Patrick Towey

CSHF0002/004 Ensure that bond guarantee arrangements arein place for guaranteed admitted bodies whichare subject to ongoing monitoring

In Progress Patrick Towey

CSHF0002/005 Ensure that new LGPS and other pensionarrangements are implemented effectively


Controls:

Rob SmithSignificant

16

ProbabilityUnlikely

2

ImpactHigh

8

Significant

16

ImpactHigh

8

ProbabilityUnlikely

2

Material8

ProbabilityRare

1

ImpactHigh

8

ENV0033

In the event of under investment there is arisk that road maintenance levels can notbe maintained and general deteriorationoccurs, which may lead to increasednumber of accidents, loss of reputationand customer dissatisfaction.



DeputyDirector

Environment

The Annual RoadMaintenance Programme for2016/17 is being delivered.New control measures addedto further mitigate the risk.Reviewed On :10/01/2017

37



MovementDirection

Previous RiskScore

Target RiskScore





ENV0033/001 Regular performance monitoring Existing Rob Smith

ENV0033/002 Efficient Asset management principles Existing Rob Smith

ENV0033/003 Claims information reported on request toEnvironment by the Insurance team

Existing Fiona Timms

ENV0033/004 Review of Maintenance Strategy In Progress Rob Smith

ENV0033/005 Introduction of Highways triage system Existing Rob Smith

ENV0033/006 Member decision for targeted extra investmentin enhanced maintenance project

Existing Rob Smith

ENV0033/007 Review of end to end delivery to ensure valuefor money

In Progress Rob Smith

ENV0033/008 Continue to work with the administration onsetting funding needs

Existing Rob Smith

Controls:

38



MovementDirection

Previous RiskScore

Target RiskScore




Chris BiglandSignificant

16

ProbabilityUnlikely

2

ImpactHigh

8

Significant

16

ImpactHigh

8

ProbabilityUnlikely

2

Significant16

ProbabilityUnlikely

2

ImpactHigh

8

HFRS0004

In the event of a failure to meet nationaltraining requirements, poor operationalperformance from personnel who are notfully trained and competent in their rolecould lead to the death or serious injury ofa firefighter.



Fire andRescue

AssistantChief

Officer - Service Support

The risk and control ownerhas reviewed this risk andcontrol measures andconfirmed that no changesare required at the presenttime.Reviewed On :20/12/2016


HFRS0004/001 Integrated Personal Development System Existing Chris Bigland

HFRS0004/002 Station Audit Process Existing Chris Bigland

HFRS0004/004 Feedback from standard meetings informsimprovements in equipment, technique andperformance to drive the Service forward

Existing Chris Bigland

Controls:

39



MovementDirection

Previous RiskScore

Target RiskScore





16

ProbabilityUnlikely

2

ImpactHigh

8

Significant

16

ImpactHigh

8

ProbabilityUnlikely

2

Significant16

ProbabilityUnlikely

2

ImpactHigh

8

HR0022

If we fail to comply with safe staffinglegislation and agreed HCC policy andpractice there is a risk this could lead to alack of protection for HCC service users(e.g. children and vulnerable adults)[Formerly CSCE0009]




Resources

Children's Services dipsample undertaken inDecember. Adults dip samplescheduled for January 2017.2.5% of the workforcerequiring a DBS to besampled on a quarterly basis.Reviewed On :16/12/2016


HR0022/001 Robust policy and practice agreed andregularly reviewed by Assistant Director,Human Resources


HR0022/003 Use learning from regular audits and QAinspections to improve policy, process andpractice.


HR0022/005 Address cultural issues and technicalunderstanding of line managers via trainingand organisational development intervention


HR0022/006 Deliver appropriate training to meetrequirements of HCC Prevent action plan.


Controls:

40



MovementDirection

Previous RiskScore

Target RiskScore




Joel BonnetSignificant

16

ProbabilityRare

1

ImpactVery High

16

Significant

16

ImpactVery High

16

ProbabilityRare

1

Significant16

ProbabilityRare

1

ImpactVery High

16

PHD0014

In the event of a Health Protectionemergency such as a communicabledisease epidemic, radiological, chemicalor biological agent exposure, or extremeweather conditions, there is a risk that theauthority may be unable to meet itsstatutory duty to adequately assuremulti-agency health protectionarrangements and as a result there arehigh rates of morbidity or mortality ofHertfordshire residents



DeputyDirector of

Public Health

Risk remains in place butcurrent risk score isunchanged.Reviewed On :09/12/2016

41



MovementDirection

Previous RiskScore

Target RiskScore





PHD0014/001 The Health Protection Committee meetsquarterly to discuss issues of health protectionand plan health protection arrangements

Existing Gill Goodlad

PHD0014/002 The Local Health Resilience Partnership(LHRP) meets quarterly

Existing Jim McManus

PHD0014/003 HCC Multi Agency Emergency Response Plan(Version 3.3 November 2013) – describesHertfordshire approach to emergencysituations


PHD0014/004 Structures processes and people in place - allowcommunication between key partners for review andmonitoring of the emergency


PHD0014/005 Hertfordshire follows the national guidance onmanagement of infectious outbreaks andpandemic flu


Controls:

AngelaBucksey

Significant16

ProbabilityUnlikely

2

ImpactHigh

8

Significant

16

ImpactHigh

8

ProbabilityUnlikely

2

Material8

ProbabilityUnlikely

2

ImpactMedium

4

PROP0020

As a result of changes in the UK and Localeconomic climate, which dictates the salevalue of assets for disposal, there is a riskthat the sale of assets may not provide thelevel of capital receipts to meet the target.(Formerly PROP0002)




perty

Risk and control measureshave been reviewed and nochanges to scoresReviewed On :22/12/2016

42



MovementDirection

Previous RiskScore

Target RiskScore





PROP0020/002 Maintain awareness of market conditions &potential for change for written report and briefResources & Performance Exec Member


PROP0020/003 Continue to determine the latest market valuebefore taking any asset to sale

Existing Mike Evans

PROP0020/004 Take advantage of sale opportunties such asunsolicited approaches where possible subjectto procurement rules being followed

Existing Mike Evans

Controls:


12

ProbabilityPossible

3

ImpactMedium

4

Significant

12

ImpactMedium

4

ProbabilityPossible

3

Material8

ProbabilityUnlikely

2

ImpactMedium

4

HR0023

As a result of new legislation establishingan Apprenticeship Levy, there is a risk thatshould the County Council not takeappropriate action to offset the levy andprovide apprenticeship opportunities theremay be financial and reputationalconsequences.


22/12/2016


Created Date: 22/12/2016


Resources

Paper to SMB on 21stNovember 2016 confirmedprocess for offsetting budgetsand development of theHertfordshire ApprenticeshipProgramme (HAP) and theHertfordshire ApprenticeshipAlliance (HAA).Apprenticeship Levy Projectimplementing activity to meetApril 2017 launch.Reviewed On :23/12/2016

43



MovementDirection

Previous RiskScore

Target RiskScore





HR0023/001 Development of the HertfordshireApprenticeship Levy Project


HR0023/002 Liaison with departments to identify trainingneeds through strategic workforce planning


HR0023/003 Procure training funded through theApprenticeship Levy

Proposed Sally Hopper

HR0023/004 Work in partnership to develop and maintainthe Hertfordshire Apprenticeship Alliance(HAA)


HR0023/005 Develop effective processes to reclaim this taxthrough the digital account

Proposed Sally Hopper

Controls:

44



MovementDirection

Previous RiskScore

Target RiskScore




StuartBannermanCampbell

Significant12

ProbabilityPossible

3

ImpactMedium

4

Significant

12

ImpactMedium

4

ProbabilityPossible

3

Material8

ProbabilityUnlikely

2

ImpactMedium

4

IMP0001

There is a risk of the loss/inappropriateacquisition/disclosure of sensitive personalor commercial data, including (but notlimited to) paper records/post, theelectronic storage / transfer of personaldata by email, fax or other technicalmeans, and publication of data for OpenData purposes, which could lead to harmto clients, impact on HCC’s reputation,incur legal action and have financialconsequences (despite applying bestpractice there is always the possibility ofhuman error) [Formerly CSCE0013]



AssistantDirector - Improvement andTechnology

The risk owner has reviewedthe risk and controls whichcontinue to be effective, andthere are no changes.Reviewed On :06/01/2017

45



MovementDirection

Previous RiskScore

Target RiskScore





IMP0001/001 Policy framework is regularly reviewed andstaff made aware of responsibilities

Existing Martin Aust

IMP0001/003 Mandatory data protection training in place forall staff at induction and repeated annually andmonitored for all other staff

In Progress Elaine Dunnicliffe

IMP0001/004 HCC is linked into the Government's securenetwork to enable secure data exchange withcentral government services


IMP0001/005 Research and implement additional securityfeatures to protect HCC’s electronic data


IMP0001/016 Regular additional targeted training deliveredto staff groups that handle sensitive personaldata


IMP0001/021 A common data sharing framework is in placeand respective agreements reviewed andupdated on a regular basis


IMP0001/023 Programme in place to address issues wherepoor data quality/info handling has beenidentified as the cause of data breaches


IMP0001/027 Implement a new and improved networkprinting service across the organisation

In Progress Roger Barrett

Controls:

46



MovementDirection

Previous RiskScore

Target RiskScore




AngelaBucksey

Significant12

ProbabilityPossible

3

ImpactMedium

4

Significant

12

ImpactMedium

4

ProbabilityPossible

3

Manageable4

ProbabilityUnlikely

2

ImpactLow

2

PROP0018

There is a risk that land owned by theCouncil and no longer required for thepurpose for which it was bought may nothave an active management regime inplace. As a result there is a risk of anH&S incident to persons or property whichcould give rise to H&SE action and aliability claim.




perty

Risk and controls update withno changes to scores.Reviewed On :22/12/2016


PROP0018/001 Processes to identify land to which this riskapplies have been identified and are in use


PROP0018/002 Agreement to be reached on whatmanagement regimes can beimplemented/alternative solutions deployed toresolve potential issues


PROP0018/003 Out of use land and property managementprocesses to ensure it is managedappropriately.

Existing Mike Evans

Controls:

47



MovementDirection

Previous RiskScore

Target RiskScore




AngelaBucksey

Significant12

ProbabilityPossible

3

ImpactMedium

4

Significant

12

ImpactMedium

4

ProbabilityPossible

3

Material8

ProbabilityUnlikely

2

ImpactMedium

4

PROP0021

In the event that the review of how HCCdisposes of its surplus land and propertyassets determines that HCC shoulddevelop these sites and assets itself orthrough joint venture arrangements, thereis a risk that such a change to the disposalpolicy may slow the delivery of the current£20m per annum receipt value in thecurrent Integrated Plan.




perty

Risk and control measuresupdated and no changes toscoresReviewed On :22/12/2016


PROP0021/001 12 positive land sites that will provide goodreturns identified

In Progress Mike Evans

PROP0021/002 Project underway with external support toevaluate options and outcomes available fromthe proposed sites and report back


PROP0021/003 Work with Finance & disposal teams to deliveran acceptable capital receipt programme & thereceipts from the SJV.


Controls:

48



MovementDirection

Previous RiskScore

Target RiskScore




Rob SmithMaterial

8

ProbabilityRare

1

ImpactHigh

8

Material

8

ImpactHigh

8

ProbabilityRare

1

Material8

ProbabilityRare

1

ImpactHigh

8

ENV0030

In the event of a failure in road inspectionand / or fault reporting procedures, there isa risk that the condition of our roads fallsbelow expected standards, which resultsin injury to citizens and / or successfulclaims against HCC.



DeputyDirector

Environment

Risk reviewed. No change toreport this quarter as itremains relevant andappropriate.Reviewed On :10/01/2017


ENV0030/001 Protocol for the investigation of road deathsagreed with police.

Existing Rob Smith

ENV0030/002 Annual programmes of accident remedialengineering schemes, and structural androutine maintenance in place

Existing Rob Smith

ENV0030/003 Broad and accessible fault reporting procedureavailable to members of the public

Existing Rob Smith

ENV0030/004 Quarterly reports from Insurance Team onHigh Court Cases

Existing Rob Smith

ENV0030/005 Audit of inspections & inspection programme Existing Rob Smith

ENV0030/006 Protocol for Serious injury accidents which mayresult in significant insurance claims

Existing Rob Smith

ENV0030/007 Back up process for online fault report system. Existing Steve Johnson

Controls:

49



MovementDirection

Previous RiskScore

Target RiskScore




50

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