Agenda item - Strategic Risk MAP Focus: SR10 Information Governance Management; SR22 Modernising the Council; and SR24 Welfare Reform

Report of the Acting Executive Director, Finance & Resources (copy attached).

1)           That Members note the information provided in the Strategic Risk MAPs in Appendix 1 (Strategic Risk Assessment Report).

61.1      The Committee considered a report of the Acting Director, Finance & Resources which informed Members that the Committee had a role to monitor the effectiveness of risk management and internal control. This included oversight of the Strategic Risk Register which was set and reviewed every six months by the Executive Leadership Team (ELT). Each Strategic Risk has a Risk Management Action Plan (a risk MAP) to deliver action to address the risk by a Risk Owner, a member of ELT. The meeting was attended by the Acting Executive Director, Finance & Resources and the Senior Information Risk Owner (SIRO) who are joint Risk Owners for SR10: Information Governance, with support from the Chief Technology Officer who was Risk Action Owner. The Chief Executive attended as Risk Owner for SR22: Modernising the Council, with support from the Head of Performance, Improvement & Programmes; and the Acting Executive Director, Finance & Resources who was the Risk Owner for SR24: Welfare Reform, with support from the Welfare Reform Programme Manager.  Each provided verbal updates and answered Members’ questions based on their Strategic Risk Report.

61.2      With regard to SR10: Information Governance, Councillor Sykes enquired as to the implications of shared service agreements such as Orbis upon Information Governance.

61.3      The Chief Technology Officer clarified that each authority would have sovereignty for its own Information Governance Strategy and that would be formalised in any arrangement. Each authority would also have a collective approach to risk and there would be opportunities in sharing best practice. In practice, this would likely lead to a balance between sovereignty and collectivism. 

61.4      Councillor Sykes asked if a risk assessment could be undertaken on this particular issue.

61.5      The Chief Technology Officer agreed and this would be taken forward.

61.6      With regard to SR22: Modernising the Council, Councillor Druitt noted that the initial rating had been assigned on 3/11/2014 but had been revised the same day. Councillor Druitt asked if that was standard practice.

61.7      The Risk Management Lead confirmed that there was an initial rating assigned on the basis of inherent risk that was then assessed against existing controls giving a more realistic assessment therefore, it could be that both were considered on the same day. Subsequently, proposed solutions are added to further mitigate the identified risk.

61.8      Councillor Sykes stated that there was no mention in the risk narrative regarding ongoing budget reductions and possible consequences.

61.9      The Chief Executive clarified that this would be added to this strategic risk.

61.10   Diane Bushell noted that 3 actions had been assigned an end date of March 2015 yet none had achieved 100% progress. Diane enquired as to the underlying issues for this and whether Officers believed the actions could be achieved.

61.11   The Head of Performance Improvement & Programmes stated that the 3 actions were linked to 25 modernisation programmes. Some of those were progressing well and some were not advancing as quickly and there was now a new process of refinement in completing the tasks.

61.12   The Chief Executive stated that the new administration had established a Fairness Commission and ELT may need to review the Commission’s findings against the Council’s Corporate Plan. The Council had also started looking at new ways of working such as the Orbis shared service and there would be stronger focus on engagement with neighbourhoods and communities in the way the council worked going forward.

61.13   With regard to SR24: Welfare Reform, Councillor Druitt asked if there was an increase expected in demand for the council’s own welfare advice services.

61.14   The Welfare Reform Programme Manager stated that demand across the community and voluntary sector had increased and was expected to continue to rise in the short to medium-term.

61.15   Councillor Druitt asked if any plans had been set out to deal with increase in demand.

61.16   The Welfare Reform Programme Manager stated that in managing this demand and given current financial challenges, officers had been focussing on spend to save initiatives as well as controlling costs wherever that was possible.

61.17   Councillor Sykes stated that the impact upon residents should be listed as a priority and if demand outweighed service provision, that should be highlighted on the Strategic Risk.

61.18   Diane Bushell noted that a Programme Board had been scheduled for December and asked if that had been held and if so, what actions had arisen from that meeting.

61.19   The Welfare Reform Programme Manager clarified that due to personnel changes, the meeting had not gone ahead but a meeting had been held directly with the risk owner.

61.20   Diane Bushell noted that the council’s external auditors had noted some issues with regard to calculation of income and asked how that might be impacted by the introduction of Universal Credit.

61.21   The Welfare Reform Programme Manager clarified that responsibility for calculations under Universal Credit would no longer lie with the council but with the Department for Work & Pensions.

61.22   The Risk Management Lead clarified, in response to Member Comments about how these risks could impact on the Corporate Plan, that each Strategic Risk represented something which could prejudice achievement of the Council’s objectives as set out in the Corporate Plan, therefore reference to the impact on the Corporate Plan objectives was not necessary.

61.23   RESOLVED-

1)           That Members note the information provided in the Strategic Risk MAPs in Appendix 1 (Strategic Risk Assessment Report).