Agenda item - Strategic Risk Focus: SR13 Not Keeping Vulnerable Adults Safe; SR20 Inability to integrate health and social care services at a local level and deliver timely and appropriate interventions; SR10 Information governance failures leading to financial losses and reputational damage; and SR18 Service outcomes are sub-optimal due to the lack of appropriate tools for officers to perform their roles

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

1)           That the Audit & Standards Committee notes the Strategic Risk Assessment Report at Appendix 1.

2)           That, having considered Appendix 1 and any clarification comments from the officers, the Committee makes any recommendations it considers appropriate to the relevant council body.

3)           That the Committee note in paragraph 3.4 the information on changes to the council’s SRR and/or any other significant changes to the risk management arrangements at the city council.

24.1      The Committee considered a report of the Executive Director, Finance & Resources that provided detail on the actions taken and future actions to manage each strategic risk.

24.2      Councillor Sykes noted that the number of strategic risks had increased and for some risks, specifically SR30, the titles were not specific or targeted meaning they may be harder to control.

24.3      The Executive Director, Finance & Resources explained that risks were rising, broadly in relation to an increase in capacity and resource issues. The Executive Director stated that there was a big issue around assurance that senior officers were holding and managing an appropriate amount of risks, and that this could be worthy of further focus by the Committee. In relation to SR30, the Executive Director explained that this related to a drive toward a focus and improvement upon the council’s city and civic leadership role.

24.4      Councillor Sykes noted that SR30 was broad in its range and queried whether the matter was one of political ambition or officer driven.

24.5      The Executive Director, Finance & Resources clarified that senior officers saw a role for the council in creating a framework of collaboration with the business sector. The Executive Director, Finance & Resources added that there were two levels of leadership on the issue: political direction from Members and officers delivering on that direction.

24.6      Councillor Greenbaum noted that the terminology used for SR31 could be construed as negative with regard to schools’ performance and suggested that the description be changed. The Committee were in agreement that the risk owner is recommended to change the title ahead of the next meeting.

24.7      The Executive Director, Health & Adult Social Care provided a verbal update and answered Members questions for SR13: Not Keeping Vulnerable Adults Safe and SR20: Inability to Integrate Health and Social Services at a Local Level and Deliver Timely and Appropriate Interventions.

24.8      Councillor Sykes noted a worrying rise in homelessness in the city that had increased tensions in local communities including Norfolk Square in his own ward. Councillor Sykes enquired as to measures being taken to address such challenges. Furthermore, Councillor Sykes noted the criticism directed toward the council’s Prevent Strategy.

24.9      The Executive Director, Health & Adult Social Care stated that homelessness and rough sleeping was a very important issue and the council was working on how best to provide support to those in need. In the event there was any safeguarding aspect, that would be addressed in the same manner as any other safeguarding cases. The Executive Director, Health & Adult Social Care stated that the council had been part of a high profile case relating to its Prevent Strategy that it had learnt from and actions for improvement were underway.

24.10   The Chair enquired whether the outsourcing of obligation and risk might represent a challenge to the provision of safe homes particularly in relation to the recent CQC inspection ratings.

24.11   The Executive Director, Health & Adult Social Care stated that it was his responsibility to ensure provision, be that through the council’s care provision or outside providers. Contract management meetings were held every month and the council worked very actively with care homes to resolve any issues.

24.12   The Chair asked if effective contract management was in place as there had been issues in other areas of the council.

24.13   The Executive Director, Health & Adult Social Care stated that contract management in relation to care and care homes was to a good standard but improvements could always be made.

24.14   Dr Horne asked if the traditional barriers affecting integration of health and social care services such as workforce matters, information sharing and misaligned financial systems had been removed.

24.15   The Executive Director, Health & Adult Social Care stated that good relationships had been established, there were effective communication in place and there had been a significant shift in right direction in relation to information sharing. There would be continuing challenges to overcome in relation to changeability.

24.16   The Executive Director, Finance & Resources stated that better systems meant there was now a much clearer idea of how and where money was spent in the city and that would assist in making budgets clearer and more co-ordinated.

24.17   Dr Horne stated that the ongoing financial stability of the NHS was of real concern and that could lead to integration being sidelined to ensure a balanced budget. Dr Horne stated that it was very important to ensure a smooth financial transition and to manage risk.

24.18   The Executive Director, Finance & Resources agreed with the comments made adding that work would have to be conducted in a collaborative and monetary protective way.

24.19   Councillor Sykes expressed his concern that mismanagement could have a potential consequence of a removal or reduction in Better Care funding.

24.20   The Executive Director, Finance & Resources stated that Better Care funding was guaranteed for the next two years although due to national factors, levels of funding subsequent to that period were unknown.

24.21   The Executive Director, Finance & Resources and the Head of Strategy & Engagement provided a verbal update and answered Members questions for SR10: Information Governance failures leading to financial losses and reputational damage.

24.22   The Chair asked if there were ongoing resource concerns in relation to Information Governance.

24.23   The Executive Director, Finance & Resources confirmed that there was some risk and in response, a specification of what was required was currently being drawn up and would be submitted to the Modernisation Board for consideration in the near future. Progress and understanding had been helped by the opportunity to work with Orbis partners. The Executive Director, Finance & Resources added that it was currently likely that very few organisations would be General Data Protection Regulation (GDPR) compliant by the 2018 deadline however, it was important for the council to demonstrate that it was en route to compliance.

24.24   Dr Horne requested clarification on where responsibility for Information Governance was assigned in the council’s committee functions.

24.25   The Senior Lawyer clarified that Policy, Resources & Growth Committee would receive a report to its next meeting that would recommend that the Audit & Standards Committee be assigned oversight for Information Governance.

24.26   The Executive Director, Finance & Resources and the Head of Strategy & Engagement provided a verbal update and answered Members questions for SR18: Service outcomes are sub-optimal due to the lack of appropriate tools for officers to perform their roles

24.27   Councillor Cattell asked what efforts were being made to consistently upgrade software.

24.28   The Head of Strategy replied that some systems would only operate using older software and therefore, in some cases updates were not applied to ensure those programs would continue to work.

24.29   RESOLVED-

1)           That the Audit & Standards Committee notes the Strategic Risk Assessment Report at Appendix 1.

2)           That, having considered Appendix 1 and any clarification comments from the officers, the Committee makes any recommendations it considers appropriate to the relevant council body.

3)           That the Committee note in paragraph 3.4 the information on changes to the council’s SRR and/or any other significant changes to the risk management arrangements at the city council.