Attachment 3
Tower Hamlets
02 April 2019
Appendix 4 – Governance Risk Register
CPT
Responsibility
Total
I
L
Required Control Measures
Total
I
L
Existing Control Measures
Current Risk
Target Risk
Risks
Consequences
Triggers
Risk Ref
SR0002
Asmat Hussain

20
10
Risk assessment in process to eliminate any risk to staff
2 registrars have to attend each wedding. External weddings, especially at the weekend, can start after 5pm. 
Legally we have to return the wedding registers and certificates after the last wedding and deposit them in the safe which has specific specifications to protect said registers.
The building is not manned or supervised after 6pm and the surrounding area is known for drug dealing and anti-social behaviour.
It would not be deemed safe for staff to return after 6pm to deposit the registers.
We are ensuring that Registrars liaise with the porters to stay on a little later than usual on days where we have later weddings so the registers can be deposited. In future this will not be a risk as we have been notified that the registers will shortly not be needed at weddings and replaced with schedules
29/03/2019
Required Control Measure Target Date:
Kathy Constantinou
 5
 4
 2
 5

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

Failure to perform statutory obligation of depositing registers and certificates after weddings due to building being locked and unsupervised
Weddings at approved premises outside of normal working hours
Danger to staff and breach of statutory obligations
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
Page 1 of 6
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
LPGBR0002
Asmat Hussain

12
8
Ensure that appropriate Brexit related risks are identified, assessed and mitigation actions are in place.
Departmental risks identified and added to risk registers.
Weekly Brexit planning and reporting.
29/03/2019
Required Control Measure Target Date:
Afazul Hoque
Compliance with Data Protection law, including SAR and IRRs, FOI & transparency code.
The ICO position at present is know where your data flows are in and out of the EU, and if we don't have an adequacy ruling, be sure the contracts in place deal with data protection and security.
29/03/2019
Required Control Measure Target Date:
Ruth Dowden
 4
 3
 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.
‑ Data handling including data handling for any outsourced services.
‑ All regulatory services for which the department is responsible.
‑ Local partnership working with key statutory and strategic partners.
Leaving the European Union on the 29th March 2019 without a negotiated withdrawal agreement.
Disruption to services provided by the directorate.
LPGBR0007
Ruth Dowden

9
0
Map data flows in and out of UK.
Review all policy /documentation for EU references.
Maintain awareness for other changes. 
Adequacy Decision required to transfer data with Europe
Required Control Measure Target Date:
Ruth Dowden
 3
 3

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

Identification of where data is held which could be affected by legislative changes.
Leaving the European Union on the 29th March 2019 without a negotiated withdrawal agreement. Or at a later date without withdrawal agreement.
Disruption to council processes and services.
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
Page 2 of 6
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
LPGCOM0002
Andreas Christophorou
Corporate PR programme that provides regular flow of positive case studies to the media
On track and detailed programme of case studies and daily news releases being prepared and subject to mayoral discussion and clearance
Position LBTH as sector expert on various local government issues

Programme of media training for key spokespeople
A programme of training will be organised to equip council spokespeople (members and officers) for the media challenges/opportunities.
Media and Branding protocol in place to ensure all proactively issued publicity is accurate and fully signed off.

24/7 on call Communications Advisor to deal quickly and efficiently with reactive media issues within timeframes set by journalist

Media monitoring tools used to ensure that negative mentions of the borough are quickly picked up and can be responded to prompt

Setting the Record Straight page of the website used to correct inaccuracies

6
4
Work to build reputation of borough with key journalists, opinion formers & other 3rd parties via planned publicity to key
 outlets.
31/01/2019
Required Control Measure Target Date:
Andreas Christophorou
Refresh programme of media training for key spokespeople
compile programme
31/01/2019
Required Control Measure Target Date:
Kelly Powell
Promotion of the work of the Transparency Commission and ongoing transparency about decisions through proactive communications
In progress
31/01/2019
Required Control Measure Target Date:
Andreas Christophorou
 3
 2
 2
 2

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

Publication or broadcast of content that presents reputational risk to the Council
Negative article in the media or failure of service
Poor perception of the borough
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
Page 3 of 6
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
LPGBR0006
Kathy Constantinou

4
4
Assisting EU nationals.
Sign up to host an Identity Verification or Assisted Digital Service, within your local registration service to help EU Citizens progress their digital application. 
Contact paul.dumke@southwark.gov.uk for identity verification or homeoffice@we‑are‑digital.co.ukl for assisted digital.

12/03/19
The Registration Service has begun offering the European Settlement Service from the 18th March 2019; firstly to all Tower Hamlets EEA nationals and the service will open to all residents/customers from the 18th March 2018
This service is now active and has taken many bookings for residents and staff
Required Control Measure Target Date:
Kathy Constantinou
 2
 2
 2
 2

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

EU Settlement Scheme 

Supporting registrations for EU nationals
Leaving the European Union on the 29th March 2019 without a negotiated withdrawal agreement.
Disruption to council processes and services.
LPGIGC0004
Ruth Dowden
Statutory and corporate Complaints procedures in place.

Corporate leadership buy into effective resolution.

Independent investigation process/stages in place.

4
0
Learning from complaints.
Established process for using complaints to improve services.
Required Control Measure Target Date:
Ruth Dowden
 4
 1

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

Failure to ensure complaints are effectively handled and resolved resulting in financial loss and reputational damage to the Council.
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
Page 4 of 6
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
LPGBR0003
Janet Fasan

0
0
Start working with those you are in contract with to ensure agreements are Brexit‑proof.
Required Control Measure Target Date:
Janet Fasan

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

Risk that suppliers to the Council are in breach of contracts. 
This could have both a financial and service delivery impact on the Council. 
As provider of last resort will need to have alternative arrangements for delivery of services, especially statutory services such as social care.
Leaving the European Union on the 29th March 2019 without a negotiated withdrawal agreement.
Disruption to services.
LPGBR0004
Janet Fasan

0
0
In the event of No Deal, familiarise with any new approaches that would be taken.
Create local networks for sharing best practice and outline what are the steps to take if things go wrong.
Required Control Measure Target Date:
Janet Fasan

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

Changes in the model of economic co‑operation between the UK and EU and any subsequent amendments to specific legal and regulatory frameworks will impact council services such as procurement (for example, if OJEU is replaced), trading standards and state aid.

The Council needs to be aware of resources needed to process and respond to post‑Brexit legal changes and updates
Leaving the European Union on the 29th March 2019 without a negotiated withdrawal agreement.
Disruption to services.
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
Page 5 of 6
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
LPGBR0005
Asmat Hussain

0
0
New Governance structures.
Establish an effective governance model that enables decisions relating to Brexit to be taken in real time and information to shared effectively and efficiently.
Required Control Measure Target Date:
Asmat Hussain

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

Brexit will require Tower Hamlets to be agile in its approach to setting organisational priorities and responding to an environment that is increasingly dynamic.
Leaving the European Union on the 29th March 2019 without a negotiated withdrawal agreement.
Disruption to council processes and services.
For more information contact the Risk Management Team on Ext: 0738 or 4051 Email: risk@towerhamlets.gov.uk
Page 6 of 6
Risk & Controls Progress Report (with Control Target Date) 6.rpt