Detailed Risk Report (incl Control Measure Target Date)
Adults Services Directorate
CPT
Responsibility
Total
I
L
Required Control Measures
Total
I
L
Existing Control Measures
Current Risk
Target Risk
Risks
Consequences
Triggers
Ref
ASD0015
Luke Addams
Revised safeguarding procedures introduced from care act implemented.
Target operating module as part of the care act implemented.
Signs and safety framework implemented.
CQC care commission embargo list used.
Failed visit policy and procedures in place.
15
10
Oversight through management reporting
11/11/2015
Required Control Measure Target Date:
Luke Addams
Information campaigns to raise awareness of safeguarding oversight from safeguarding adult’s board
15/12/2015
Required Control Measure Target Date:
Luke Addams
4 year (2015 – 2019) adults board strategy
25/01/2016
Required Control Measure Target Date:
Luke Addams
Safeguarding issues as part of contract management procedures
15/02/2016
Required Control Measure Target Date:
Luke Addams
Developing a strategic approach to reviewing and analysing data in a systematic way.
Required Control Measure Target Date:
Karen Sugars
 5
 3
 2
 5

A Safe And Supportive Community

Death or serious harm to a vulnerable adult that was or should have been in receipt of services, either from the council or a partner agency.
There is a failure of one or more of the controls which fails to identify the degree of risk to a vulnerable adult.
Poor practice and inadequate management oversight.
Failure of quality control systems.
Service user fails to work to agreed partnership / agency arrangements.
Poor communication and partnership work.
Poor resourcing of service areas against increased demand.
Local authority contracted out service do not have sufficiently robust safeguarding arrangements.
Harm to an individual.

Reputational damage to the Council.

Potential for legal proceedings against the council leading to financial loss.

Loss of confidence in safeguarding capability.
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
Page 1 of 11
Risk & Controls Progress Report (with Control Target Date)2.rpt

Detailed Risk Report (incl Control Measure Target Date)
CDResources
CPT
Responsibility
Total
I
L
Required Control Measures
Total
I
L
Existing Control Measures
Current Risk
Target Risk
Risks
Consequences
Triggers
Ref
CSDR0002
Kate Bingham
Service Head ‑ Learning and Achievement chairs regular meeting to review short/medium and long term position
Monitoring of projected pupil numbers V roll numbers and planned capacity
Planning sufficient expansion options to provide additional capacity required
Sites for new schools secured following Examination in Public
Annual review of capital programme schemes and available resources (grant, s. 106 & CIL
Engagement of GLA to provide projections to strengthen reliance on LBTH model ‑ Further review to provide annual projections
Produce briefing on primary sites and accurate timely updates.
GLA continue to provide roll projections; LBTH supply GLA with housing development data
Revise the governance arrangements of the Pupil Place Planning group to report directly to the Corporate Asset and Capital Board
Sites for two new primary schools secured
15
5
Assessing financial implications (medium and long term) ‑ Under further review
30/09/2015
Required Control Measure Target Date:
Kate Bingham
Continuing to engage Members
31/03/2016
Required Control Measure Target Date:
Pat Watson
Internal monitoring of programme (PPP meetings)
31/03/2016
Required Control Measure Target Date:
Pat Watson
Need for places included in LBTH Best Value Plan
28/07/2015
Required Control Measure Target Date:
Kate Bingham
Need for places included in LBTH Best Value Action Plan
28/07/2015
Required Control Measure Target Date:
Kate Bingham
 5
 3
 1
 5

A Great Place To Live

Council’s inability to meet demand for school places
Actual roll > projected roll exceeds available capacity

Higher than anticipated birth rate / inward migration

Insufficient capacity created in time to meet need

Unable to secure executive decisions regarding the use of existing school, 

Decisions not taken in time to implement projects to provide places 

'Scheming" Powers:  Schedule 1 of the 2010 Academies Act gives the Secretary of State powers to transfer a school property to an academy and/or free school
Failure to have sufficient statutory school places to meet local need, children out of school and LA failing to meet duty

Additional transport costs; lack of parental engagement as children not at local school

Insufficient capacity for school places realised in existing estate. 

Additional costs incurred due to re phasing of projects if unanticipated delays in decision making.
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
Page 2 of 11
Risk & Controls Progress Report (with Control Target Date)2.rpt

Detailed Risk Report (incl Control Measure Target Date)
Children's Services Department
CPT
Responsibility
Total
I
L
Required Control Measures
Total
I
L
Existing Control Measures
Current Risk
Target Risk
Risks
Consequences
Triggers
Ref
CSD0016
Debbie Jones
Adherence to statutory government guidance, policies and procedures laid down by the council and LSCB / SAB
Quality assurance systems including case audits, LSCB and SAB sub‑groups.
Effective working relations and swift communication across partnership agencies that is held at different levels of Children's s
Safeguarding board to seek evidence that existing performance measures are being upheld
Regular updates with key partner agencies, (examples) Police, NHS and Schools
Consultation with children subject to looked after plans to be sought in conjunction with the review of their plans
Quality assurance systems in place to provide triangulation of information
Regular and good quality management and performance information
Evolve System risk assessment of trips reviewed by Health and Safety Advisor
Serious/serious case review process in place
Safeguarding training programme in place covering induction and workforce development programme
Staff complete the Health and Care professions Council (HPC) re‑registration process every 3 years
15
10
Systematic feedback on the impact of services to be sought from children and used for training service development purposes
31/12/2015
Required Control Measure Target Date:
Nasima Patel
Implementation of a practice framework signs of safety which is a respected assessment tool
31/03/2016
Required Control Measure Target Date:
Paul McGee
Provide evidence to Children’s safeguarding board that performance measures are being upheld ‑ ongoing
31/12/2015
Required Control Measure Target Date:
Nasima Patel
Ensure that CMT have a view of the activities within the service and develop some assurance using the corporate accountability f
Required Control Measure Target Date:
Debbie Jones
 5
 3
 2
 5

A Safe And Supportive Community

Death or serious harm to a child that was or should have been in receipt of services, either from the council or a partner agency.
There is a failure of one or more the controls which fails to identify the degree of risk to a child 

Poor practice and inadequate management oversight

Failure of quality control systems

Service user fails to work to agreed partnership / agency arrangements

Poor communication and partnership work

Poor resourcing of service areas against increased demand

Local authority contracted out service do not have sufficiently robust safeguarding arrangements
Harm to an individual

Poorer than expected outcomes for child.

Reputational damage to the council 

Potential for legal proceedings against the council leading to financial loss

Loss of confidence in safeguarding capability across the council, partnership and wider.
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
Page3 of 11
Risk & Controls Progress Report (with Control Target Date)2.rpt

Detailed Risk Report (incl Control Measure Target Date)
Children's Services Department
CPT
Responsibility
Total
I
L
Required Control Measures
Total
I
L
Existing Control Measures
Current Risk
Target Risk
Risks
Consequences
Triggers
Ref
CEO appointed, independent Chair of the Safeguarding Board.
Robust commissioning that includes safeguarding checks of providers
Multi‑agency safeguarding hub
Effective oversight of all key activities by service managers
Review arrangements of looked after children and child protection is led by the child protection review service which has a crit
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
Page4 of 11
Risk & Controls Progress Report (with Control Target Date)2.rpt

Detailed Risk Report (incl Control Measure Target Date)
Communications
CPT
Responsibility
Total
I
L
Required Control Measures
Total
I
L
Existing Control Measures
Current Risk
Target Risk
Risks
Consequences
Triggers
Ref
LPGCOM0003
Stephen Halsey
Implementation of best value improvement plan
Clear communication protocols in place for both proactive and reactive management of the Council’s reputation.
Strategy laid out for how Service Heads communicate with third parties
Constitution in place that governs the actions and behaviours of members and officers.
Council code of conduct in place.
Communications strategy in place
Information Governance Group and FOI Board in place
Open and transparent decision making provisions in place. For example the filming of cabinet meetings.
12
12
Delivery of best value action plan
31/12/2015
Required Control Measure Target Date:
Louise Russell
 3
 4
 4
 3

One Tower Hamlets

Failure to effectively manage the reputation of the Council
Relationship with central government / increased scrutiny 
Potential for criticism from constituents
Potential lack of clarity of political situation
Lack of clear guidance on reputation /”brand” management
Poor perception of Council following intervention from central government and PWC report and election petition
Breakdown in relationships with key stakeholders
Loss of key funding streams
Community becomes fractured
Impact upon service delivery
Increasing demands on core officers
Poor perception of the Borough
Increased external scrutiny
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
Page 5 of 11
Risk & Controls Progress Report (with Control Target Date)2.rpt

Detailed Risk Report (incl Control Measure Target Date)
Corporate Finance
CPT
Responsibility
Total
I
L
Required Control Measures
Total
I
L
Existing Control Measures
Current Risk
Target Risk
Risks
Consequences
Triggers
Ref
RSB0019
Zena Cooke
Formal annual budget setting process and medium term financial plan
Continuous monitoring of Council’s medium term financial plan in place
Monthly monitoring and management reporting of Council’s financial position
Annual External Audit health check on financial processes including budgets and reporting
Programme Manager for Council Savings Plan in place.
Corporate Programme Board formed to monitor delivery of savings programme.
Develop and implement corporate approach to deliver and monitoring of Council savings plan and transformation plan
On‑going advancement of linkages between the 30 year HRA Business Plan and Council service plans.
15
10
Implement savings programme/opportunities
06/09/2015
Required Control Measure Target Date:
Zena Cooke
Methodology for council transformation in place and ongoing
30/11/2015
Required Control Measure Target Date:
Zena Cooke
 5
 3
 2
 5

One Tower Hamlets

Maintaining financial viability /balance in 2016/17 to 2017/18
Reduction in funding 
NHS integration – unfunded services transferred in through Public Health 
Changes in Government initiatives
Potential inability to manage working capital effectively 
Increasing expectation of the Council aligned with increasing local need
Further austerity programme rolled out by central government impacting local authority
CSR in autumn 2015
HRA changes
Population growth

A Healthy Community

Claim resulting in circa £1m additional annual cost to the authority 

Future service cuts
Inability to meet public expectation
Increased pressure on delivery of statutory and priority services
Government intervention
Reduction in reserves
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
Page 6 of 11
Risk & Controls Progress Report (with Control Target Date)2.rpt

Detailed Risk Report (incl Control Measure Target Date)
Corporate Strategy And Equalities
CPT
Responsibility
Total
I
L
Required Control Measures
Total
I
L
Existing Control Measures
Current Risk
Target Risk
Risks
Consequences
Triggers
Ref
LPGSE0001
Andy Bamber
Formal multi‑agency approach in place
Cohesion Promotion Programme e.g. No Place for Hate Forum and Events
Use of Community Cohesion Contingency Planning & Tension Monitoring Group
Debrief programme in place for after key events/incidents.
Cohesion toolkit and impact assessment in place and used
Annual cohesion measured through residents’ survey.
Home Office funded programme of activities including interventions with young people.
Multi‑agency SAP Panel in place to review case referrals of individuals of concern within the Borough.
On‑going development of the “Prevent Programme” to include work in schools.
Competing prevent agenda action plan funded by Home Office
12
8
Required Control Measure Target Date:
 4
 3
 2
 4

One Tower Hamlets

Failure to achieve community cohesion
Radicalisation of young people and gangs
Extremist incident ‑ local, national or international
Failure to engage with stakeholders in responding to extremism
Failure to liaise with police to address extremism
Increasing polarisation between communities in the borough
Council funding decision exacerbating community tension
Rising crime and unrest within the Borough
Damage to property and harm to persons
Reputation damage
Increase in social deprivation
More segmented society
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
Page 7 of 11
Risk & Controls Progress Report (with Control Target Date)2.rpt

Detailed Risk Report (incl Control Measure Target Date)
Legal Services
CPT
Responsibility
Total
I
L
Required Control Measures
Total
I
L
Existing Control Measures
Current Risk
Target Risk
Risks
Consequences
Triggers
Ref
LPGLS0001
David Galpin
Council Constitution in place
Annual Governance Statement process, incorporating the Audit Committee.
Bi‑weekly meeting of the Statutory Officers Co‑ordination Group.
Regular Section 151 Officer meetings.
Member training provided on Code of Conduct.
Mandatory training programme on licensing and planning in place for members of the Planning Committee.
Member Induction Programme in place.
Information Governance Group and FOI Board in place
Update Constitution to include agreed revisions.
Complete a refresh of the member induction programme after Election
Refresh mandatory training programme to include Bribery Act Provisions and any other developments
12
8
Complete Governance Review in liaison with the Local Government Association
31/10/2016
Required Control Measure Target Date:
David Galpin
Refresh Local Code of Corporate Governance
31/03/2016
Required Control Measure Target Date:
Minesh Jani
 4
 3
 2
 4

One Tower Hamlets

Non‑compliance with corporate governance procedures
Poor understanding of governance processes / lack of clarity of processes
Lack of awareness on areas such as conflict of interest and the Bribery Act
Possible pressure from politicians on officers to deviate
Ineffective decision making 
Potential for reputation damage
Poor council performance
Failure to optimise opportunities 
Adverse media reporting
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
Page 8 of 11
Risk & Controls Progress Report (with Control Target Date)2.rpt

Detailed Risk Report (incl Control Measure Target Date)
Procurement
CPT
Responsibility
Total
I
L
Required Control Measures
Total
I
L
Existing Control Measures
Current Risk
Target Risk
Risks
Consequences
Triggers
Ref
PPM0016
Zamil Ahmed
Procurement procedures in place
Head of Procurement is a member of East London Solutions and London Heads of Procurement Board (information sharing).
Procurement Analyst in post.
Dun & Bradstreet checks and monitoring pre and post appointment
Scrutiny Panel in place for all contracts over £250k
Strategic Competition Board in place
Tollgate processes in place to assess supply chain resilience risk pre and post appointment.
Rigorous due diligence and other financial checks completed as part of tendering process
Introduction of Directorate Procurement Dashboards
12
8
Complete development of the Contract Management Toolkit.
31/12/2015
Required Control Measure Target Date:
Zamil Ahmed
 4
 3
 4
 2

One Tower Hamlets

Failure of the Council’s supply chain
Ineffective management of contractors
Breakdown in contractor relationships
Economic climate
Service interruption
Reputation damage
Council incurs significant expenditure 
Legal costs
Inability to deliver tax payer services
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
Page 9 of 11
Risk & Controls Progress Report (with Control Target Date)2.rpt

Detailed Risk Report (incl Control Measure Target Date)
Strategy, Regeneration & Sustainability
CPT
Responsibility
Total
I
L
Required Control Measures
Total
I
L
Existing Control Measures
Current Risk
Target Risk
Risks
Consequences
Triggers
Ref
DRA0016
Aman Dalvi
Bid for any available match funding made available by central government
Consider off site provision for specific private sector planning applications
Include an element of cross subsidy through mixed tenure development schemes
Develop the Homeless Statement & Action Plan
The preparation of master planning documents to promote housing growth in appropriate areas ‑ Whitechapel Masterplan
Attain Housing Zone designation
15
10
Investigate feasibility of using a joint venture to provide capital financing for new homes on available sites
31/03/2016
Required Control Measure Target Date:
Jackie Odunoye
Ensure all development & construction contracts are affordable within the current HRA Financial Model
31/03/2016
Required Control Measure Target Date:
Jackie Odunoye
The preparation of masterplanning documents to promote housing growth in appropriate areas ‑ South Quay Masterplan
20/10/2015
Required Control Measure Target Date:
Owen Whalley
Develop and implement full housing zone project plan agreed with partners
20/10/2015
Required Control Measure Target Date:
Jackie Odunoye
 5
 3
 2
 5

A Great Place To Live

Failure to meet the borough's housing targets

NB: The Mayor is reviewing current targets for affordable homes. As at the end of Quarter 1 (Q1) the service reported that it expects to deliver 1251 affordable homes by the end of this financial year. Of the 220 units delivered in Q1 198 were rented and of these 93 were family rented units. Family sized affordable housing is a priority for the council and officers seek to achieve a policy compliant mix an every planning application.
1. Negative impact of ongoing welfare reform agenda
2. Reduction in supply of suitable accommodation
3. Private sector landlords increasingly resistance to accepting residents on benefits
4. Universal credit implications/potential increase in tenants in arrears
5. Insufficient capital financing to deliver new homes on available sites
6. Insufficient revenue protection to cover debt charges in the HRA following the July 2015 budget. 
7. Right to Buy extended to housing association properties
8. As a result of policy changes set out in the Government’s Summer 2015 budget local housing associations amend development plans in favour of shared ownership, market rent and outright sale at market rates.
1. Increase in homelessness
2. Increase in costs for temporary housing e.g. B&Bs
3. Rental market instability
4. Negative impact on initiatives to reduce overcrowding
5. Council fails to achieve its targets
6. Reputation damage
7. Increases in right to buy leading to a reduction in housing stock
8. Significant reduction in supply of housing association affordable and social rent housing
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
Page 10 of 11
Risk & Controls Progress Report (with Control Target Date)2.rpt

Detailed Risk Report (incl Control Measure Target Date)
Street Enforcement & Response Services
CPT
Responsibility
Total
I
L
Required Control Measures
Total
I
L
Existing Control Measures
Current Risk
Target Risk
Risks
Consequences
Triggers
Ref
CLSCEI0008
Andy Bamber
Business continuity plans kept up to date
Staff with extensive experience in dealing with incidents need to be in place
Borough Emergency Management Team
6 month review of EP plan with Directorate changes.
Annual report to CMT
10
6
Independently review the Borough Major Emergency Plan to ensure it is fit for purpose.
31/05/2016
Required Control Measure Target Date:
Andy Bamber
Rollout a refresh training programme for senior managers and officers supporting the emergency plan.
31/05/2016
Required Control Measure Target Date:
Andy Bamber
 5
 2
 2
 3

One Tower Hamlets

There is a risk that, should a major incident take place affecting Council services, there may be a failure to implement an effective response.
(Corporate level risk)
Failure by Directorates to ensure that the Borough Major Emergency Plan (Part 3B) is kept up to date with Directorate information and procedures, and that staff are unaware of the EP process.
(1) Systemic failure of the Council to continue to operate during a crisis period as a consequence of a civil event or situation;
(2) Resulting in a slower than expected management response causing increased disruption to key service delivery, inconvenience to service users and the stakeholders, adverse public criticism and additional costs to the Council.
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
Page 11 of 11
Risk & Controls Progress Report (with Control Target Date)2.rpt