Attachment 3
Tower Hamlets
03 July 2018
Appendix 2 Detailed Corporate Risk Register
CPT
Responsibility
Total
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Required Control Measures
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Existing Control Measures
Current Risk
Target Risk
Risks
Consequences
Triggers
Risk Ref
CSD0016
Nancy Meehan
Improvement Arrangements to respond to the Ofsted Report
A Children’s Services Improvement Board (CSIB) has been established to take forward the improvement work. This will meet every six weeks and will be chaired by an independent advisor appointed by the Dfe.

An improvement plan has been drafted to reflect the recommendations detailed in the report and will be reviewed by Ofsted to ensure this is the case. The improvement plan is developing under four main headings which are:

•	A robust model of social work practice
•	A sufficient and skilled workforce
•	Quality assurance and audit
•	Leadership, management and governance 

The improvement plan is being implemented with robust oversight from the Children's Services Operational Group. reporting to the CSIB.
Adherence to statutory government guidance, policies and procedures laid down by the council and LSCB / SAB
Local Safeguarding Children’s Board
Statutory government 
25
16
Overview of level of violence and risk in families in Tower Hamlets
Given the number of critical incidents involving children and young people in Tower Hamlets over the last 12 months, it is proposed via the CMT Safeguarding Board that we update the JSNA on domestic violence and abuse as part of the annual assessment on community safety. The links between gang violence and violence in families will be explored as part of this analysis. 
The purpose will be to test the feasibility of a public health type specific reducing violence strategy across the borough. It will also enable CMT to consider the integration of the many pieces of work going on within the council and across the wider partnership aiming to increase safety and wellbeing of c/yp within a measurable framework.
30/08/2018
Required Control Measure Target Date:
Nancy Meehan
Robust commissioning that includes safeguarding checks of providers
This is in place including CSC joint monitoring visits. 
A new joint commissioning exec is in place to address an 
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Creating Opportunity By Supporting Aspiration And Tackling Poverty

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 was an Ofsted Inspection Jan‑Feb 2017 which found CSC services to be overall inadequate. The report stated that children and young people are being left in situations of harm and the DFE have issued directions to the borough. A Department for Education improvement advisor will also be identified to work with the Council to support the necessary improvement.
Ofsted report indicated shortfalls in following areas across the service:

•	Overall management oversight was weak.
•	Non‑compliance in core statutory and local requirements
•	Absence of child care centred practice
•	Key threshold decisions
•	Risk assessment and Risk Management
•	Children’s plans and reviews
•	Achieving permanence
•	Drift, delay and escalation
•	Supervision
•	Staff development and competence
•	Quality assurance and Performance Management
Harm to an individuals

Children and young people being left in situations of risk and or unassisted harm.

Poorer than expected outcomes for a child.

Poor audit/review findings 

Reputational damage to the council.

Loss of experienced professional staff.

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
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CPT
Responsibility
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Required Control Measures
Total
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Existing Control Measures
Current Risk
Target Risk
Risks
Consequences
Triggers
Risk Ref
guidance, policies and procedures in place.
Management oversight including supervision is in place.
Quality Assurance framework to check and audit various areas is in place. 

All the above are being revised as part of LBTH improvement plan
Quality assurance systems including case audits, LSCB and SAB sub‑groups.
There is a new approach being taken to multiagency audits via the LSCB sub group and CSC are reviewing their QA framework with a view to achieve less process, more assurance and better feedback.
There is an active internal audit programme that does pick up key areas of risk and challenge within safeguarding. The effectiveness of this system is a work in progress. 
CSC have an improvement plan which is being implemented which is being overseen by the Children Services Improvement Board and Operational Group.
Effective working relations and swift communication across partnership agencies....
Effective working relations and swift communication across partnership agencies that is held at different levels of Children's services.
LSCB has an executive board for Directors and Chief Executive Officer level across the partnership.
Continue to implement Signs of Safety as overarching practice framework
integrated commissioning partnership at the most senior level.
31/12/2018
Required Control Measure Target Date:
Nancy Meehan
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
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Required Control Measures
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Existing Control Measures
Current Risk
Target Risk
Risks
Consequences
Triggers
Risk Ref
A new relational approach is being implemented in Children's Social Care which evidence of effectiveness. This approach will now form part of a wider practice model.
Training and development working the new approach will form part of the CSC workforce development strategy.
LSCB and CSC has Quality Assurance systems in place.
This should provide evidence and assurance to safeguarding board and partners that service is being delivered to expected standards, there are clear (proxy) indicators and where it is not so remedial action can be taken.

As part of the response to the Ofsted inspection and subsequent improvement plan, the QA framework has been revised. The LSCB is reviewing its priorities and audit programme.
Serious case review/learning process in place
There has been a refreshed case alert process disseminated within Children Social Care, which feeds into the LSCB case review group.  Any ongoing SCR work is held at service head level and a communication flow is done to the CMT Corporate Safeguarding Group, chaired by Chief Executive Officer.
Safeguarding training programme in place covering induction and workforce development programme

A back to basics training course is being developed and will be rolled out to all CSC staff in 2017 as part 
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
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Risk Ref
of the LBTH improvement plan.
Staff complete the Health and Care professions Council (HPC) re‑registration process every 3 years
There is a process to pick up delays/failures in registration so action can be taken by managers.
Review arrangements of looked after children and child protection is led by the child protection review service.
This is a critical challenge role to children's social workers. There is on-going work to improve the oversight and authorative advice role. 

A new resolution process has been introduced and there is regular reporting of QA activities to CSC management team.
Ensure that CMT have a view of the activities within the service.....
Ensure that CMT have a view of the activities within the service and develop some assurance using the corporate accountability framework, risk register, management oversight, audit framework and Forward Plan.
CMT safeguarding board is active.
The Ofsted SEF document have been through DMT and to lead member.
A new Inspection and Improvement Board has been set up.
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
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Risk Ref
CSDSC0014
Nancy Meehan

25
16
Urgent remedial work in progress
Ofsted referred a number of cases and cohorts of c/yp that in their view the Local Authority had to review to assure themselves that c/yp are safe. 

LBTH CSCMT took action as requested and are reviewing that action has been taken. The Inspection and Improvement Board is overseeing this.
31/08/2018
Required Control Measure Target Date:
Nancy Meehan
Children Services Improvement Board and Improvement Plan being developed in response to the Ofsted Report/ DFE notice.
The CS Improvement Board will have an independent chair and will oversee the improvement work in LBTH.  The delivery of the improvement plan will be the responsibility of the Children Services Improvement Board Operations group.
31/08/2018
Required Control Measure Target Date:
Nancy Meehan
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Children’s

Ofsted Inspection in Jan‑Feb 2017 has raised significant failings in the delivery of services to vulnerable children and families in LBTH following the Single Inspection Framework. The report is due for publication on the 7th of April and provisional gradings plus a draft report has been received. 

The inspection process produced evidence to show that in the judgement areas of help and protection, in leadership and management and governance and in relation to the LSCB the restorative action that has been taken has been neither sufficiently effective nor timely. 

The Ofsted inspectors highlighted the need for some urgent and rapid improvement across children’s social care.
The SIF inspection in Tower Hamlets found a number of failings in professional practice in relation to expected standards. Of particular significance were the findings and provisional judgements in the areas of:
•	Help and Protection 
•	Leadership, Management and Governance
•	The Local Safeguarding Children Board*
The report indicates that the service is not working to expected statutory standards, leaving children at risk of significant harm.

The Report will result in the DfE issuing a notice to improve, the appointment of a DfE project advisor as well as a practice improvement partner. 

Reputational –The Ofsted report will cause damage to our external reputation with residents, partners and others. 
A high level communication and media strategy is being formulated with the key stakeholders briefed or being briefed.

Staff impact – due to the findings there will naturally be an impact on the morale and staff working in the service.  This includes the partners who are involved in the services.  In addition this could have a negative impact on retention and recruitment to the service.

Complaints – there is a concern that the findings could raise potential complaints from members, families and 
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
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Risk Ref
young people around the support provided by the LA.
REV0007
Roger Jones

20
10
Draft new values available September 2017 when estimates can be made on income levels and value of appeals.
We have set our level for the provision for appeals in line with Governments calculation of the additional element in the multiplier to take account of appeals in the new 2017 local list.
It remains very difficult to estimate whether this will be enough to cover the actual costs of appeals.
The Government are also proposing that the cost of appeals could be funded centrally thereby taking the risk away from local government.
Further details of this proposal will be available after the general election.
28/08/2018
Required Control Measure Target Date:
Roger Jones
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 2

A Transformed Council, Making Best Use Of Resources And With An Outward Looking Culture

Impact on local income from appeals on the new local rating effective from 1/4/17.

On the 1/4/17 all business premises will have a new rateable value to reflect a more up to date economic valuation of their premises.
All ratepayers have the right to appeal against their valuation and at the beginning of any new valuation list there is always a dramatic increase in the number of appeals by ratepayers and their agents.
Traditionally the government sets the new multiplier higher in the first year of a revaluation to take into account the losses of income due to these appeals.
If the multiplier is set too low, then LBTH will suffer losses of income as appeals are settled and reductions in RV are achieved.
The multiplier for 2017/2018 not being set high enough to take into account losses due to appeals on the new local rating list effective from 1/4/17.
Loss of revenue generated from Business Rates.
Impact of revenue loss on provision of services.
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
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CSDSC0004
Nikki Bradley
Targeted or/and specialist intervention
Targeted or/and specialist intervention with young people and their families from a range of services within the Community Safety partnership. Monitoring of intelligence through the monthly gang’s unit meetings and daily police intelligence meetings in the Youth Offending Service. Regular reviews to assist risk management using the Risk Management panel.
EGGSYV co‑ordinator is leading on work to develop a Reducing Youth Violence Strategy  and MOPAC bid to secure a specialist knife intervention for schools and early intervention delivery.
16
12
Better co‑ordination of intelligence through the appointment of a data analyst
Refresh of Risk Management policy is complete. Development of co‑ordinated strategic and delivery to recognise vulnerability across CSE, HSB, MAPPA, Gangs matrix and Youth Justice victims work. Further development of Restorative Justice work. 
A number of strategic groups exist that are hampered by a lack of data analyst that impairs the identification of patterns and impedes co‑ordinated action. Funding has been awarded for this role by MOPAC.
This plan has now been superseded by the decision to create an exploitation team across agencies. The analyst capacity will be located in that team.
30/09/2018
Required Control Measure Target Date:
Nikki Bradley
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 4

Creating Opportunity By Supporting Aspiration And Tackling Poverty

Incidents of serious violence where young people known to or in the care (LAC) of the Local Authority are harmed or perpetrate harm in a community setting
Postcode tensions due to gang activity, honey trap behaviour or rumours on social media escalating tension between groups of young people who consider themselves to be aligned to a gang or postcode group. Revenge attacks by friends or family of young people who have been targeted for violence or humiliation
Increased use of knives and other weapons
Risk of serious harm or death to the young people concerned. Risk of harm to community members who may inadvertently become caught up in the incident.  Reputational risk to Local Authority and poor media coverage.
LBTH now ranks high for youth violence in London , although the overall incidents of violent crime is falling .
CSDSC0005
Nikki Bradley

16
9
Renewed strategic drive
4/6/18 Further to a spot check by the Ministry of Communities, Housing  and Local Government on 14th May 2018, that was critical of the internal approach of claiming historically for turned around families, a renewed effort will align the local SSF programme to the Early Help Re‑design in order to enable a dynamic interface between the data driven programme and direct delivery. This renewed energy 
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A Transformed Council, Making Best Use Of Resources And With An Outward Looking Culture

Loss of resources as a result of a failure to reach target Payment by Results claims, resulting in loss of capacity to deliver the Troubled Families programme.
Reputational risk of being the only Local Authority in England to be withdrawn from the programme.
Troubled Families data system solution is not yet in place, causing a reliance on manual data sets and work arounds.  This has impacted on the Payment by Results claims in the first two years of Phase Two of the SSF programme in LBTH. 
A lack of strategic drive has weakened the programme's capacity to problems solve and gain 
The DCLG who drive the national programme have formally expressed their concern to the CEO in writing. 
The risk of further attachment fees and unclaimed payment by results funds being withheld is a real risk at this stage as there is no prospect of catch up this financial year. 
However, Recovery Plan has been accepted 
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
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will also include the alignment of the programme with the CSC Ofsted improvement plan in light of a planned monitoring visit by Ofsted in December 2018. This position continues to pose a significant financial risk for the council, but also offers an opportunity for integration. 

  2017 An additional senior manager has joined the programme delivery to offer a fresh approach and additional management capacity. A rescue plan is being compiled for presentation to the CEO to assist a response to the  DCLG Families team 

Recovery plan submitted to, and accepted by  DCLG by 28th February 2017
Re‑ established Project Board chaired by DCS Children's Services

Continued focus and robust project management is beginning to impact positively on performance
01/12/2018
Required Control Measure Target Date:
Nikki Bradley
cross directorate support and co‑operation. 
A review of the timescale until the system goes live is May 2017, beyond this financial year. 
It is not possible to catch up manually before March 31st 2017.

Target date for data system to 'Go live' is now set at 5th May 2017
Manual process of identifying attached families has enabled 1900 attached to date/close to target

An external Spot-check was undertaken on the 14th May 2018 that identified some anomalies in historic data recording and a mis‑loading of claims criteria. This has resulted in a temporary suspension of part of the SSF attachment grant. work is underway to respond to a range of queries. This will be complete by the end of June 2018. The Ministry will then respond formally in early July. This risk will be reviewed on the basis of the Ministry response. Therefore the current risk deadline is maintained.
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
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ASD0015
David Jones
Revised safeguarding procedures introduced from care act implemented.
Robust safeguarding procedures in place.
Oversight through management reporting
Social workers have 1:1 supervision monthly on their casework including safeguarding cases.
The PSMT meet monthly to review and monitor Adult Safeguarding casework, particularly serious cases and develop and implement action plans and lessons learnt.
Information campaigns to raise awareness of safeguarding oversight from safeguarding adult’s board
A sub group of the Safe boarding board leads on publicity and promotion of safeguarding
4 year (2015 – 2019) adults board strategy
The actions within the SAB strategy aim to mitigate the risks associated with safeguarding.
Safeguarding issues as part of contract management procedures
.
Target operating module as part of the care act implemented.
This includes key worker role assigned.
Signs of safety framework implemented.
This framework helps identify the risks in a strategic manner.
CQC care commission embargo list used.
This list is available from the CQC highlighting all providers where the CQC has raised concerns.
15
10
Required Control Measure Target Date:
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Creating Opportunity By Supporting Aspiration And Tackling Poverty

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
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Failed visit policy and procedures in place.
Introduction of safeguarding Star Chamber for front line teams

discharge policy in consultation with Bart's
DRCPCD0022
Richard Chilcott
Initial dialogue with the landlord on a lease extension
This took place in 2016 however the council was advised to pause dialogue in light of commercial office market being in decline..
Council appointed JLL consultancy to conduct commercial negotiations and reach agreement.

15
10
Report outcome of negotiations to Mayor in Cabinet
30/06/2018
Required Control Measure Target Date:
Richard Chilcott
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A Transformed Council, Making Best Use Of Resources And With An Outward Looking Culture

Failure to have in place a lease extension for Mulberry Place (or alternative temporary office location) one year prior to the end of the current lease (June 2019).
End of Mulberry Place lease in June 2020 (or as otherwise negotiated)
Additional capital and/or revenue costs (corporate finance) to ensure delivery of a business continuity office location.
PLC0013
Ann Sutcliffe
Tower Hamlets Homes (THH) Fire Safety Programme progress reported to and monitored by THH and Council
Bi‑Monthly Operational Meeting ‑ Standing Agenda Item
Quarterly Strategic Meeting ‑ Standing Agenda Item
Quarterly Mayoral Meeting ‑ Standing Agenda Item
Capital Programme Board
Council client team to review and agree timetable for publishing remaining Fire Risks Assessments

 Ensure Fire Risk Assessments are carried out annually or (after works) on ALL council owned housing blocks
Capital Programme Board ‑ This is specifically to include blocks who have not yet had programmed work completed
15
5
Work with DCLG to ensure owners of private residential tower blocks are taking measures to ensure their residents safety
27/07/2018
Required Control Measure Target Date:
Mark Baigent
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A Transformed Council, Making Best Use Of Resources And With An Outward Looking Culture

Following the Grenfell Fire tragedy residents of tower blocks in the borough are not safe or do not feel safe from fire following reassurance, advice, interim measures and completed, in progress or scheduled remedial actions to improve fire safety.
Accountability for fire safety is not correctly designated, communicated and understood 
Fire Risk Assessments:
* are incomplete, inadequate or not carried out in accordance with the latest advice from DCLG and fire and rescue services
* are not published in accordance with the Mayor's commitment
* do not include the time limits on recommendations
Fire Risk Assessment Action Plans: are not produced and/or delivered within appropriate timescales
Limited current 
Loss of life 
Loss of housing stock
Lobbying and/or protesting
The council and local housing management organisations loose the trust of residents
Individual prosecution under a number of Acts of Parliament and common law offences with potential penalties including unlimited fines and a maximum of life imprisonment
Corporate prosecution with potential penalties of unlimited fines, remedial orders and publicity orders
Adverse national media coverage
Uninsured financial loss 
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
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Risk Ref
contractor supplier chain for scale of identified fire safety works 
Constrained and limited ability for Tower Hamlets Homes to complete all the Fire Risk Assessment work identified in the new round of comprehensive Fire Risk Assessments
Unable to justify block prioritisation policy for programmes of Fire Risk Assessment works
Leaseholders do not fit fire rated flat entry doors (ALL flat entrance doors in a block will need to be compliant to achieve good fire compartmentalisation and a 'Tolerable' fire safety standard)
Fire safety measures are uncoordinated
Council perceived as not having fulfilled statutory duty to keep local housing conditions under review
ASD0017
Denise Radley
2016 June BC business impact assessment reviews by service areas
2016 June BC plan update notification has been sent to directorates
Business continuity plans kept up to date

Staff with extensive experience in dealing with incidents are in place
Officers in the Civil Protection Unit have dealt with incidents on several occasions, and have gained quite extensive experience on dealing with this type of incident and the action that may be required to be taken.

12
4
Procurement of an IT system to manage BC plan update
Drafting of a business case to procure IT System to manage BC plan update ‑ the business case is drafted and has been agreed by the Directorate Management Team.  The proposal will now go forward to the Corporate Leadership Team in September 2017.
30/03/2018
Required Control Measure Target Date:
Ann Corbett
Sessions on MEP/BC plans for members and senior managers.
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A Transformed Council, Making Best Use Of Resources And With An Outward Looking Culture

Risk that should a major incident take place affecting Council services, there may be a failure to implement an effective response.
The risk is increased if there was to be more than one incident at the same time.
Failure by Directorates to ensure that the Borough Major Emergency Plan (Part 3B) is kept up to date with Directorate information and procedures.
Staff are unaware of the EP process.
Insufficient resilience in key roles including management, rest centres, BECC and CPU.
(1) Failure of the Council to continue to operate during a crisis period as a consequence of a civil event or situation.
(2) 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
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Any future restructure will need to ensure that key posts are retained within the organisation to continue to minimise this risk
Borough Emergency Management Team to co‑ordinate the Council’s response on tactical matters.
B. E. M. Team.
6 month review of EP plan with Directorate changes.

Annual report to CMT

Independently review the Borough Major Emergency Plan to ensure it is fit for purpose.
complete
Rollout a refresh training programme for senior managers and officers supporting the emergency plan.
Complete
Required Control Measure Target Date:
Ann Corbett
Additional staff to be sought to be trained and on call if needed.
Required Control Measure Target Date:
Ann Corbett
Business Continuity test on key LBTH sites.
Required Control Measure Target Date:
Ann Corbett
CSDR0011
Christine McInnes
Authorise officers to write to SOS with the Council's offers
Authorise officers to write to SOS with an offer based on a 25 year life for the building and a commitment to moving the open space to a community trust and a proportion of their stated costs (to be determined by CMT).
Letter sent and SOS are considering their position
Authorise officers to seek Counsel’s opinion
Authorise officers to seek Counsel’s opinion regarding the likely outcome of the Judicial Review currently held in abeyance (following the 1967 act determination) and on the extent to which populating the building and entering in to a lease with the school may or may not undermine 
12
8
Required Control Measure Target Date:
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A Transformed Council, Making Best Use Of Resources And With An Outward Looking Culture

There is a risk that the Council may be challenged in Court for making a formal decision under the 1967 Act, to retain for educational purposes the newly constructed Christ Church Primary School's nursery building, which is built on a disused burial ground.  (The basic premise of the challenge is that the school had no right to erect the building, and that it is unlawful to erect the building on a disused burial ground, and that it should be demolished.)
Decision by the Council to allow the Christ Church Primary School to occupy the building for the next academic year may trigger the matter taken to Court by the interested parties calling themselves Spitalfields Open Space (SOS) who object to the new building.
‑ The Council allowing Christ Church Primary School to occupy the building may result in the matter taken to Court, which could result in an injunction to vacate or not to occupy the building.  

‑ The Council's decision under the 1967 Act, to retain the building could be challenged in the High Court by way of a Judicial Review.
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
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our defence.
CMT to agree to move forward with the lease to the School to allow occupation for the Summer Term
Subject to the above advice received being marginal, neutral or positive, CMT to agree to move forward with the lease to the School to allow occupation for the Summer Term.
CMT to consider if or when to commit any additional resource to the landscaping and improvement of the Open space
In the context of the offer to SOS, and pending their reaction to it, CMT to consider if or when to commit any additional resource to the landscaping and improvement of the Open space.
LPGLS0001
Asmat Hussain
Council Constitution in place

Annual Governance Statement process reporting to the Audit Committee.
.
Regular meetings of the Statutory Officers Co‑ordination Group.
Ongoing.
Arrangements in place for regular reporting of significant governance matters via Head of Audit and Risk and the Monitoring Off.

Financial regulations, Financial and Procurement Procedures have been updated and further clarification of staff, manager and senior officer responsibilities have been incorporated.

The post of ‘financial compliance manager’ has also been created through the restructure of finance 
8
6
Develop a Code of Corporate Governance
.
25/07/2018
Required Control Measure Target Date:
Steven Tinkler
Refresh Officers' Scheme of Delegation
31/01/2019
Required Control Measure Target Date:
Asmat Hussain
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A Transformed Council, Making Best Use Of Resources And With An Outward Looking Culture

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
Unlawfulness leading to ultra vires decision
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
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and the role of that post is to monitor and report to the section 151 officer on non-compliance in key areas such as use of purchase cards, petty cash, budget monitoring etc.…
Member training provided on Code of Conduct.

Training for members and independent co‑opted members of Standards Committee on Standards Framework held in September & October 2017 and May 2018.
Mandatory training programme in place for members of the Planning, Licensing and Grants Scrutiny Committees.
Training provided post 2018 Elections and further training delivered due to changes in membership of said Committees.
Member Induction Programme took place May ‑ July 2018.
(After the Local, Mayor and Euro elections).
Strategic Information Governance Board and Information Governance Review Group in place.

E‑learning anti-fraud and bribery training programme including Bribery Act Provisions
The e‑learning and the accompanying test provide staff an opportunity to be appraised of the bribery regulations and more generally, of the anti-fraud arrangements.
The Best Value Strategy was delivered which included the organisational culture theme
.
Refresh Members Code of Conduct

For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
Page 14 of 16
Risk & Controls Progress Report (with Control Target Date)6.rpt

CPT
Responsibility
Total
I
L
Required Control Measures
Total
I
L
Existing Control Measures
Current Risk
Target Risk
Risks
Consequences
Triggers
Risk Ref
O&S Grants Scrutiny Sub‑committee responsible for scrutiny of grants matters

Discharge of Executive decisions by the Commissioners to ensure that legal requirements are met.
Progression to the Mayor taking executive decisions in the absence of the Commissioners

RSB0019
Neville Murton
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.
Monitoring in progress.
Implement savings programme/opportunities
Longer term financial and investment strategy
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 
8
8
Required Control Measure Target Date:
 4
 2
 2
 4

A Transformed Council, Making Best Use Of Resources And With An Outward Looking Culture

Maintaining and strengthen financial viability/balance across MTFS period to 2020.
Reduction in government funding 
NHS integration – unfunded services transferred in through Public Health and Adult Social Care
Changes in Government initiatives/priorities
Potential inability to manage working capital effectively 
Increasing expectation of the Council aligned with increasing local need
Implications of welfare reform agenda on council services and budgets
CSR in Autumn 2015
HRA changes
Population growth
Future service cuts
Inability to meet public expectation
Increased pressure on delivery of statutory and priority services
Unfunded base budget pressures/new burdens from government
Failure to deliver community plan/strategic plan priorities.
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
Page 15 of 16
Risk & Controls Progress Report (with Control Target Date)6.rpt

CPT
Responsibility
Total
I
L
Required Control Measures
Total
I
L
Existing Control Measures
Current Risk
Target Risk
Risks
Consequences
Triggers
Risk Ref
Plan and Council service plans.
Longer term financial and investment strategy
Methodology for council transformation in place and ongoing
Corporate Transformation Programme covering all directorates with a focus on delivering service improvements, efficiencies and savings
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
Page 16 of 16
Risk & Controls Progress Report (with Control Target Date)6.rpt