Attachment 3
Tower Hamlets
02 April 2019
Appendix 2 – Children and Culture Directorate
CPT
Responsibility
Total
I
L
Required Control Measures
Total
I
L
Existing Control Measures
Current Risk
Target Risk
Risks
Consequences
Triggers
Risk Ref
CSDLA0001
John O'Shea
Monthly monitoring of budgets in place.
Monthly monitoring of budgets in place. 
New budget codes set up to separate different elements of funding and improve tracking of spending.
New requests of assessment tracked. 

SEN Grant funds being used to increase team’s capacity to manage demand though this is a temporary solution. 
New IT system to be procured though implementation has been delayed. Present IT system modified to accommodate new reporting requirements.
New budget codes set up to separate different elements of funding and improve tracking of spending.

New requests of assessment tracked.

20
16
Additional SEN staff needed to manage the increased workload. Requests made to people board.
31/12/2018
Required Control Measure Target Date:
John O'Shea
Improved SEN IT system in place and compliant with all aspects of new legal framework
Improved dedicated SEN IT system in place and compliant with all aspects of new legal framework
31/12/2018
Required Control Measure Target Date:
John O'Shea
 4
 5
 4
 4

A Dynamic Outcomes‑Based Council Using Digital Innovation And Partnership Working To 

Special Educational Needs (SEN) Budgets over‑spend including transport costs
Local population growth along with the numbers of children with very complex needs. 

Significant influx of children with complex needs move into the borough from abroad. 

New legal framework extends Council duties to children 0‑25.

Not enough special school places locally.
Pressure on service resources and budgets  

Over stretched staff can’t complete statutory duties in a timely fashion. 

Parents take out tribunals against the Council who award them expensive placements
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
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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
CCDB0001
Debbie Jones

16
8
Required Control Measure Target Date:
 4
 4
 2
 4

A Dynamic Outcomes‑Based Council Using Digital Innovation And Partnership Working To 

Failure to properly undertake the necessary European Union (EU) exit impact assessments, relevant planning and preparing appropriate mitigation actions in the following areas;

‑ All statutory services for which the directorate is responsible
‑ All regulatory services for which the directorate is responsible
‑ Impact on supply chains including those managed directly by the directorate and those indirect contracts managed through commissioned services
‑ Local Partnership working with key statutory and strategic partners
Leaving the European Union on the 29th March 2019 without a negotiated withdrawal agreement.
Council services could be disrupted as supply chains and contracts are reassessed, potentially increasing costs and reprioritisation of resources.
Uncertainty over grants may undermine the Council's ability to deliver or commit to services.
CSDSC0004
Jo Turner
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 
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. 
 4
 4
 3
 4

People Are Aspirational, Independent And Have Equal Access To Opportunities.

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.
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
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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
intervention delivery.
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:
Jo Turner
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
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CPT
Responsibility
Total
I
L
Required Control Measures
Total
I
L
Existing Control Measures
Current Risk
Target Risk
Risks
Consequences
Triggers
Risk Ref
CCDB0004
Ronke Martins‑Taylor
Existing Control Measure in Place
Pupil Place Planning are undertaking the relevant population projections to determine future requirements for school places. A Primary School Review is planned.
12
8
Brexit impact assessments on school places planning.
Demographic trends are being closely monitored to identify any signs of potential change as early as possible
29/03/2019
Required Control Measure Target Date:
Christine McInnes
 4
 3
 2
 4

A Dynamic Outcomes‑Based Council Using Digital Innovation And Partnership Working To 

Planning for school places

Population growth in Tower Hamlets could be lower than currently projected, but the borough may experience unexpected demographic changes

Birth rates could rise ‑ for example, if new migrant populations are more likely to have children 

Outward migration could fall ‑ this happens in times of economic decline and it would lead to a higher demand for school places 

Brexit will impact many social and economic factors which affect the borough’s population and demand for school places but there are many unanswered questions – these centre around immigration, decisions to stay/leave, jobs in the borough and property prices/development 

According to the Spring 2018 School Census, around 3% of the pupil population were born in an EU country (other than UK), however this is likely to be an underestimate given that around a 
Leaving the European Union on the 29th March 2019 without a negotiated withdrawal agreement.
Services could be disrupted as supply chains and contracts are reassessed, potentially increasing costs and reprioritisation of resources.
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
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CPT
Responsibility
Total
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L
Required Control Measures
Total
I
L
Existing Control Measures
Current Risk
Target Risk
Risks
Consequences
Triggers
Risk Ref
quarter of all pupil records did not supply information on country of birth

Census data indicates that ethnic groups which would include EU migrants are the least likely to have dependent children and households that have children have a smaller number compared to other groups
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
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CPT
Responsibility
Total
I
L
Required Control Measures
Total
I
L
Existing Control Measures
Current Risk
Target Risk
Risks
Consequences
Triggers
Risk Ref
CCDB0005
Ronke Martins‑Taylor
Contact Services (Schools Catering)
Work is being done with local authorities in the East London PAL group to understand the potential impact of reduced access to European Markets arising from Brexit.
 Essential dry food items are being stockpiled.
12
8
Proposed Mitigation Actions
Level of disruption to supply chains to be monitored and contingency plans reviewed.
Communications plan for services and residents in the event of more expensive imported products.
Identify key areas of risk in terms of particular products with providers and partners, and consider alternatives.
Consider stockpiling some food supplies for the most vulnerable families?

Update: 22/03/19
Continue to work with the East London PAL group to monitor situation.  
Stockpile essential dry food items.
29/03/2019
Required Control Measure Target Date:
Ronke Martins‑Taylor
 4
 3
 2
 4

A Dynamic Outcomes‑Based Council Using Digital Innovation And Partnership Working To 

If access to the European market becomes restricted the following risk are greatly increased;

‑ Risk that supply chains of medicines, food and other products are disrupted, resulting in possible increased demand on emergency and mental health services  
‑ Risk that service providers have difficulty accessing products essential to the delivery of their service

Current position
‑73% of UK pharmaceutical imports come from the EU.  Companies that supply UK from EU have been asked to ensure that they have minimum 6 weeks additional supply in UK above their usual stock
‑ The Government has identified categories of national suppliers for non‑clinical consumables, goods and services that it is reviewing and managing at a national level
‑ Department of Health and Social Care has asked suppliers that source from EU to review supply chains and determine measures 
Leaving the European Union on the 29th March 2019 without a negotiated withdrawal agreement.
A No Deal could result in increased tariffs on products imported from the EU, with implications for services and residents as a result
There are particular risks for vulnerable families, children and young people if they cannot access required medications (particularly for certain groups such as those with SEND) and if they cannot access food supplies they may find it harder to source alternatives, for example due to potential increased costs
Disruption to supplies and services.
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
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CPT
Responsibility
Total
I
L
Required Control Measures
Total
I
L
Existing Control Measures
Current Risk
Target Risk
Risks
Consequences
Triggers
Risk Ref
needed to ensure continuity of supply
CSDLA0002
Christine McInnes
Strategic and operational planning to offer a menu of commissioned support from existing and new providers

Establish the new role of CIPs & core school improvement intervention team.

Activities are in place to ensure school partnership is focused on improvements

12
9
Required Control Measure Target Date:
 4
 3
 3
 3

A Dynamic Outcomes‑Based Council Using Digital Innovation And Partnership Working To 

Progress in raising attainment may reverse as a result of budgetary constraints and the reduction of central support
Further reduction of the council's funding and grants
Reputation loss in providing outstanding school improvements

Reduction in standards

Failure to improve exam results against national and London average

If standards fall this will lead to a lack of confidence in School system by Parents / Family and Partners

Political consequences
CSDLA0010
Christine McInnes

12
6
Formal reporting structures
Measured against indicators
Required Control Measure Target Date:
Christine McInnes
Influence the board
Required Control Measure Target Date:
Christine McInnes
 4
 3
 2
 3

A Dynamic Outcomes‑Based Council Using Digital Innovation And Partnership Working To 

Establishing the Education Partnership

Being unable to define LA staff responsibilities
Uncertainty about the secondary team's long term role with the establishment of the Partnership

School performance deteriorating
Continuity of service provided is broken with the transfer of the responsibility for school improvement going from the LA to the Partnership 

Poor outcomes for children
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
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CPT
Responsibility
Total
I
L
Required Control Measures
Total
I
L
Existing Control Measures
Current Risk
Target Risk
Risks
Consequences
Triggers
Risk Ref
CSDSC0002
Richard Baldwin
Enhanced CSCMT/DMT oversight of service pressures and impact on budget profile‑ ask for modelling support/resource.
CSCMT/DMT oversight of service pressures and impact on budget profile. Open transparent culture in children's Services so that increased demands are highlighted and management action when necessary can be taken as well as alerts to DMT/CMT. Monitor caseloads across service areas and apply remedial actions. Ensure CMT are aware of demand and other pressures.
Service Redesign work is reviewing demand capacity model. 

We have put in a number of growth bids on the new pressures and have a detailed paper on our LAC numbers and subsequent pressures. This has been approved by DMT and gone to MAB.
We are continuing with budget management strategies. 
We want to improve financial and business modelling and will ask corporate colleagues to support.
12
8
Increased understanding of demand‑ apply better demand management where possible,
Smarter Together‑ demand management work stream will take this forward.  This is in progress. We have a number of growth bids in implementation to tackle spikes in demand. There is an in depth piece of work being undertaken to model LAC/Care leavers numbers to understand the flow through the system and apply best value in the commissioning of placements.
31/12/2018
Required Control Measure Target Date:
Richard Baldwin
 4
 3
 2
 4

People Are Aspirational, Independent And Have Equal Access To Opportunities.

Quality of Practice could be impacted by increased demand due to new policy priorities or changes in welfare e.g. increase in homeless families, support for care leavers, review of thresholds as a result of new guidance.
New policy priorities (Prevent) change in global situation (Asylum seeking families) as well as an increase in homeless families.

 Change in use of section 20 of The CA.

Higher level of scrutiny and standard of expectations from Ofsted

New National Transfer Scheme for USAC

Care Leavers responsibility 

Changes to the housing legislation
Inability to meet demand/statutory responsibilities within budget leaving risk and poor morale. Overspend on General Fund. Increased threat of JR leading to insurance/legal costs as well as adverse media attention and poor findings from audits/ reviews. Impacts on staff retention.
CSDSC0003
Richard Baldwin
Management overview of caseloads, team pressures and complexity of work
In 2016 we undertook a service redesign project as well as did a comparative piece on SW pay. This has resulted in a workforce strategy and a proposed new model which are going through governance and a growth bid process. If successfully implemented they should improve quality of practice as well as staff 
12
8
Required Control Measure Target Date:
 4
 3
 2
 4

A Dynamic Outcomes‑Based Council Using Digital Innovation And Partnership Working To 

Quality of practice could be impacted negatively by an increased staff churn as a result of high caseloads, poor service offer and ineffective management.
Poor decision‑making for children and ineffective impact of professional practice on children's outcomes. Increase in escalations by QA staff as well as partners. Increase in staff leaving, exit interview and other feedback indicating ineffective practice system; SW health Checks; complaints; 
Inability to meet statutory responsibilities to expected standards. Risk of negative Ofsted Inspection as quality of service across. Increased threat of JR leading to insurance/legal costs as well as adverse media attention and poor findings from audits and Reviews. Impact on staff morale and recruitment.
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
I
L
Existing Control Measures
Current Risk
Target Risk
Risks
Consequences
Triggers
Risk Ref
retention. It has a defined caseload average and staffing resource allocation is based on this, giving flexibility for future demand patterns.
The above 2 pieces of work were agreed with investment in late February and we are now planning implementation.
Better understanding of staff churn including analysis
As part of the refreshed CSC workforce strategy, CMT have agreed HR resource for a staffing model which will report to PRG and will be part of the improvement work for LBTH
JR/legal challenges.
CSDSC0011
Christine McInnes
Review and relaunch protocol as part of SEND work ‑ change to Task and Finish Group on transitions to forward.
The SEND strategy is now live. A high risk transition panel has been set up.
Use escalation for every yp that is not receiving a timely transition service
Service heads now review into any casework that is not being dealt with appropriately in terms of transition work‑ allocation from adults, joint assessment/visit/ funding agreement etc.

Transitions work part of SEND strategy
Escalated to DLT via meeting and risk register
SEND strategy in place
12
4
Required Control Measure Target Date:
 3
 4
 2
 2

People Are Aspirational, Independent And Have Equal Access To Opportunities.

Young people with complex needs are not transitioning into adult services in accordance with policy and guidance.
Young people who are identified as needing a long term service are not identified or allocated onto adult services in line with agreed protocol.
A number of assessments have to be re‑done causing anxiety and can be argued to be unnecessary.
Thresholds for adult services remain high for some young people so their needs will not be met or poorly met beyond the age of 18
Young people and families not receiving level of statutory service required.
Potential safeguarding risks to themselves and others.
Possible JR and/or reputational risk.
Not in line with Council's stated policy and plans
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
I
L
Existing Control Measures
Current Risk
Target Risk
Risks
Consequences
Triggers
Risk Ref
CSDSC0012
David Hough

12
4
Appropriate guidance and procedures are in place
Guidance reviewed and updated in September 2018 and procedures adjusted accordingly. Monitoring to take place of compliance with and effectiveness of procedures. Children missing education and children who go missing from education are being referred to the Local Authority in accordance with procedures. The data is monitored monthly and there has been no evidence of non‑compliance in the academic year to date ‑ 15th March 2019.
12/09/2019
Required Control Measure Target Date:
David Hough
 4
 3
 2
 2

People Are Aspirational, Independent And Have Equal Access To Opportunities.

Child suffers serious harm or death.
Child is missing education or goes missing from education and procedures are not followed as required.
Reputational damage to the school and/or Local Authority.
CSDSC0016
Richard Baldwin

12
9
Investigate
N/a
01/09/2018
Required Control Measure Target Date:
Richard Baldwin
 4
 3
 3
 3

People Are Aspirational, Independent And Have Equal Access To Opportunities.

The Division has limited overview of the numbers of care leavers and their location
Children leaving care
Reputational damage; safeguarding; failure to monitor on‑going progress of care leavers
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
Page 10 of 21
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CPT
Responsibility
Total
I
L
Required Control Measures
Total
I
L
Existing Control Measures
Current Risk
Target Risk
Risks
Consequences
Triggers
Risk Ref
CSDLA0015
Christine McInnes
Service Head   Education & Partnership chairs regular meeting to review short/medium and long term position
Service Head   Education & Partnership chairs regular meeting to review short/medium and long term position
Monitoring of projected pupil numbers V roll numbers and planned capacity
on‑going cycle
Include need for school places in Council’s infrastructure planning and development of Local Plan
Include need for school places in Council’s infrastructure planning and development of Local Plan
Sites for new secondary 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

GLA continue to provide roll projections; LBTH supply GLA with housing development data

Governance arrangements: Pupil Place Planning group reports directly to the Corporate Asset and Capital Board

Annual report to Cabinet with projections and capacity proposals
Annual report to Cabinet with projections and capacity proposals
10
5
PPP Group to assess implications of 2017 projections, across primary and secondary estate
Assessing financial implications (medium and long term) ‑ financial implications continue to be under review
31/12/2018
Required Control Measure Target Date:
Christine McInnes
Continuing to engage Members and community, delivering annual report to Cabinet
31/12/2018
Required Control Measure Target Date:
Christine McInnes
Consider the outcomes of the SEN Review and attempt to project the provision of SEN required across the borough
31/12/2018
Required Control Measure Target Date:
Christine McInnes
 5
 2
 1
 5

A Dynamic Outcomes‑Based Council Using Digital Innovation And Partnership Working To 

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

Higher than anticipated birth rate / inward migration

Insufficient capacity created in time to meet need

Decisions not taken in time to implement projects to provide places 

New free schools agreed for opening by DfE outside LBTH plans for new capacity 

'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.

DfE free schools don’t open as planned/delayed
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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L
Required Control Measures
Total
I
L
Existing Control Measures
Current Risk
Target Risk
Risks
Consequences
Triggers
Risk Ref
Internal monitoring of programme (PPP meetings)
PPP meetings held
Need for places included in LBTH Best Value Plan
In assessing surplus or underused sites for disposal, particular attention will be paid to ensuring that where school places can be achieved, these are highlighted and sites will be considered for new school and/or expansion provision.
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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L
Required Control Measures
Total
I
L
Existing Control Measures
Current Risk
Target Risk
Risks
Consequences
Triggers
Risk Ref
CCDB0002
Ronke Martins‑Taylor
Creation of a Social Work Academy.
Creation of a social work academy within children's social care to address over reliance on agency workers and mitigate any impact on the supply of agency staff from Brexit.
9
6
Brexit impact assessments for all services in children's and culture.
Undertake staff composition analysis to identify how many EU staff are employed in Children and Culture and in provider services, and where they are located
Communicate with staff to ensure they understand what they need to do to comply with any new regulations – and signpost to support services
Consider any possible enhancements of overall employee offer, e.g. pay, training, conditions etc. that may help to retain staff

Update 22/03/2019
Review Social Work Academy underpinning hypothesis to make sure that the assumptions regarding financials and numbers are right.
29/03/2019
Required Control Measure Target Date:
Richard Baldwin
 3
 3
 2
 3

A Dynamic Outcomes‑Based Council Using Digital Innovation And Partnership Working To 

Workforce ‑ recruitment and retention

Brexit may worsen existing recruitment and retention problems
It is *estimated that between 30% / 40% of children’s social workers are from non‑UK countries 
EU staff leaving and expected new restrictions on low‑skilled staff coming from abroad is likely to increase the gap between job vacancies and jobseekers, further distorting the labour market

‑ Number that are EU residents
‑ Specific service pressures e.g. social care
‑ Professional qualifications from EU nations
‑ Vacancies
‑ Skills shortages
‑ Increasing costs for agency staff or attracting workers for low skilled jobs

Risk that staff from the EU will choose to or have to leave their roles, e.g. due to feeling less welcome in the UK, not applying for settled status
If shortfall in staff ‑ risk 
Leaving the European Union on the 29th March 2019 without a negotiated withdrawal agreement.
Low risk in council directly employed workforce but maybe implications for other support staff e.g. teaching assistants in schools mainly drawn from Tower Hamlets resident population of which we are aware that x% of LBTH residents are EU nationals.
Possible impact on pool of available agency social workers in London with EU qualifications but the size of this issue is unknown.
Services could be disrupted as supply chains and contracts are reassessed, potentially increasing costs and reprioritisation of resources.
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
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Current Risk
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Risks
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Triggers
Risk Ref
that services will be harder to deliver to service users / quality levels more difficult to maintain
Risk that any contraction in the labour market will push up wage costs/expectations and make it more likely that current staff may  be attracted to move to other boroughs or employers e.g. if they are paying more than TH
Whilst all likely Brexit outcome scenarios will ultimately lead to an end to the free movement of people from the EU and the introduction of a new immigration policy, they differ on the impact they could have:
If the government manages to strike a deal with the EU, free movement will continue until the end of the transition period in Dec 2020
If we have a ‘No Deal’ Brexit, free movement would cease immediately, as soon as Apr 2019 if Article 50 is not extended
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
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Total
I
L
Existing Control Measures
Current Risk
Target Risk
Risks
Consequences
Triggers
Risk Ref
CSDSC0010
Richard Baldwin

9
9
Response to audit‑ Audit action plan.
Now part of LBTH improvement plan as a result of poor Ofsted inspection. This will be monitored via a Children Services Improvement Board and corresponding operational group.
31/12/2018
Required Control Measure Target Date:
Richard Baldwin
 3
 3
 3
 3

A Dynamic Outcomes‑Based Council Using Digital Innovation And Partnership Working To 

The Ofsted Inspection of 2017, highlighted problems with the strength of partnership working and the decision making and timeliness of MASH arrangements.

Since the Ofsted Inspection of 2017, much work has been undertaken to ensure that MASH arrangements are strengthened and improved. Performance data for the past 12 months confirm significantly improved performance.  Ofsted monitoring visits since the inspection have also confirmed progress and improvement.
The audit findings indicate:

Evidence of a service that is below Ofsted standards.
Likelihood of ineffective or poor decision‑making for children.
Partnership work is ineffective.
Potential for change/improvement.

The evidence now clearly suggests improvements have been made and sustained. the threshold document has been reviewed and updated. this has led to clearer decision making for children and a understanding of the statutory thresholds.
CSDSC0015
Richard Baldwin

9
9
Currently under investigation
N/a
04/10/2018
Required Control Measure Target Date:
Richard Baldwin
 3
 3
 3
 3

A Dynamic Outcomes‑Based Council Using Digital Innovation And Partnership Working To 

Payments to providers of accommodation for care leavers are inappropriately being recorded/ disbursed such that the Division has limited oversight of the financials.
Review of payments for care leavers' accommodation
Fraud; financial loss
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
I
L
Existing Control Measures
Current Risk
Target Risk
Risks
Consequences
Triggers
Risk Ref
CSDLA0014
Jill McGinley
Information sent to head teachers/governors to recruit new schools.
Outreach visits to schools to promote scheme. 
Wider promotion of scheme and benefits to school community shared via Families Matter newsletter and central LA comms.
8
6
Continued communication with schools
01/07/2019
Required Control Measure Target Date:
Jill McGinley
 4
 2
 2
 3

A Dynamic Outcomes‑Based Council Using Digital Innovation And Partnership Working To 

No affordable or suitable school premises available for the delivery of the Holiday Childcare Scheme
Maintenance of school premises 
Changes to leadership / governance 
Increased school hire charges
Lack of affordable, suitable school premises to hire for the holiday childcare scheme.

Scheme supports working parents and also vulnerable families through the Short breaks and targeted places initiatives available for 9 weeks school holiday a year. Approximately 170 children 3‑13 years attend each day
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
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Existing Control Measures
Current Risk
Target Risk
Risks
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Triggers
Risk Ref
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 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.
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A Dynamic Outcomes‑Based Council Using Digital Innovation And Partnership Working To 

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.)

On 21 January 2019, the Church of Arches handed down its judgment in respect of the appeal against the decision of the Consistory Court to allow the school to remain. The decision was overturned on appeal with the appellate court confirming that here was no power to grant a confirmatory faculty i.e. to allow the school to remain. Having decided that the lower court had no power to allow the school to remain, the court made a deferred restoration order. This requires the demolition of the school by   1 February 2029. 
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.

There is a right of appeal to the Privy Council on a point of law. They would confirm whether a restoration faculty could be granted, if it can be retrospective and whether the court could use their discretion to allow the building to remain.  There is a 56 day time limit to request permission to appeal the decision of the Church of Arches. Further research is being carried out in respect of the appeal as there have been no such appeals for 90 years.     

To allow time to consider the submission by OSP on the issue of fees the court agreed to extend the deadline to 15 February 2019 to respond.
‑ 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.

It is likely that if the Privy Council agreed that there were grounds for appeal, the matter could be referred back  to the Court of Arches for them to either apply their discretion to grant a confirmation faculty or not.  As there are so few judges that deal with ecclesiastical matters, it is possible that the matter is heard by the some or all of the judges that heard the decision being appealed. Further legal costs will be incurred in appealing the decision and there is a risk of the same decision being reached. Additionally there is a risk of adverse publicity to the council.

The cost to the Council for the case could be up to £400,000. On top of 
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
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The Order was made because the court considered that the erection of the school was unlawful and had taken place despite the council/ Governors etc.  having been formally notified in Autumn 2012, before the start of its erection, that there was a statutory prohibition on building on the burial ground.  The deferred Restoration order will allow time for the occupants of the school to relocate. Undertakings were given to the court by  Rector and Church Wardens, Governors of the school, and the London Borough of Hamlets, in respect of landscaping and public access to other parts of the churchyard (including the site of the school itself after demolition), which allow for access to the site until the  Restoration Order comes into force. .

Having agreed the costs split with the other Building Parties (3 way split)  and prepared a consent order to  send to the court, the Open Space Parties have decided to ask for their ‘inter parties’ costs to be paid for by the BP’s. The 
this is the possibility of a further £250,000 if the Court accept the request from OSP for their costs to be paid by the Council/other parties.
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
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court ordered in its judgment that each party should pay its own legal costs i.e. between client/solicitor.   The BP’s solicitor has today provided lengthy submissions as to why the BP’s should pay their costs. The submissions have been sent to our Counsel for her to consider and advice on whether we should provide submissions in response or agree. Propose to pay for half of those costs with the other BP’s.
CSDR0008
Sailesh Patel
Schools Finance Standards requirements
Schools who exceed the threshold are required to submit expenditure plans for their surplus balances; these are routinely highlighted to Schools Forum who are informed that they can collectively take a decision to clawback balances.
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Regular reporting to Schools Forum
We are currently reporting on this issue to Schools Forum at each meeting, there is discussion on the actions available to Schools Forum if the surplus balances are not brought to within the required limits.
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A Dynamic Outcomes‑Based Council Using Digital Innovation And Partnership Working To 

There is a risk that the surplus balances exceeding 5‑8% for Secondary and Primary schools are seen as excessive and are at risk of clawback.
Surplus balances exceed 8% for Primary Schools and 5% for Secondary Schools.
There is potential for this to become an issue which is recognised by the DfE, this could go against the Council in any responses to DSG reductions.
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
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Richard Baldwin

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Brexit impact assessment on services related to vulnerable children and young people.
Updates from the ‘Procurement across London (PAL) members report on Brexit issues

The main meat, frozen and ambient food suppliers are stock piling some key products. Meat supply would be sustained until the Summer break and after this it is possible that substitute products would need to be considered
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Richard Baldwin

A Dynamic Outcomes‑Based Council Using Digital Innovation And Partnership Working To 

Vulnerable children and young people

Risk we will not be able to visit CLA placed outside of the borough if fuel supplies or transport are affected 

Risk some children will find it difficult to return to the UK if International Borders are affected

Risk that schools meals service will be disruption and/or of reduced quality if food supplies are unavailable

There are some specific concerns related to vulnerable children and young people which are highlighted here:

We have children looked after (CLA) placed outside of the borough in other parts of the UK (who we regularly visit) and some children who visit or reside in countries outside of the UK

School meals are the only hot meal in the day for some pupils and therefore a vital part of maintaining their health and wellbeing 
the ‘Procurement across London (PAL) group have had discussions with 
Leaving the European Union on the 29th March 2019 without a negotiated withdrawal agreement.
Services could be disrupted as supply chains and contracts are reassessed, potentially increasing costs and reprioritisation of resources.
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
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suppliers about their plans to support catering services in certain Brexit scenarios but  no one is certain what food availability will be and it is therefore difficult to predict impacts
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
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