Mr Paul Rock, Head of Internal Audit, Fraud and Risk presented the Corporate Risk Register and said this was a regular report to the Committee. He said the report provided an update against the Risk plan and how the Council was performing against key targets. Mr Rock said Directors from the Place Directorate were also present for any questions relating to the Directorate’s risk register. 

Mr Rock also thanked members of the Committee and the Overview & Scrutiny Committee members for attending the risk session that was held on the 24th November and said the matters raised were being prioritised and would be presented to the Corporate Leadership Team. 

In response to questions and comments from members, in relation to the Corporate Risk register the following was noted:

• Ms Charlotte Webster, Independent person stated the Corporate Risk Register, and the Directorate Risk Register were rather long and not easily accessible. She asked if it were possible to pull out and highlight the top risks for each register, with commentary on what progress had been made to lower the risk.

• ACTION: Future reports to the Audit Committee to highlight the top risks for each register and provide a commentary on the action taken to lower the risk.

• In reference to page 52, RS0056, Councillor Khan asked how the additional money from the government, during Covid-19, had been used and accounted for? Mr Kevin Bartle, Interim Corporate Director for Resources and Section 151 said that as far as the risk register is concerned, it was not felt necessary to account separately for Covid grants in relation to whether the Council might overspend overall, although details of Covid related spending is analysed in detail in the regular budget monitoring reports to Cabinet.
• In reference to page 53, BCLR013, Councillor Khan asked about the EU-UK trade and cooperation agreement, and why there was no comment provided under the ‘existing control measures’ column? Mr Rock, Head of Internal Audit, Fraud and Risk responded stating that this was on the corporate risk register as a means of acknowledging that there could be potential or unknown risks to the council over the coming 12 to 24 months during the exit out of the EU. Mr Rock said he would speak to the owner of the risk to see if more specific information and mitigations as required to be added to the risk.
• In reference to page 54, ASD0015 and vulnerable adults, Councillor Khan asked if complaints were used to monitor the progress against the risk. She said the letter she had referenced earlier ought to be included under this risk. Ms Denise Radley, Corporate Director for Health, Adults and Community stated the letter referred to did not relate to Adult Social Care. She explained how issues raised were identified and resolved at the informal stage and how the Directorate Leadership Team reviewed and analysed complaints every two weeks. Ms Radley said they identified emerging themes and triangulated issues before they developed into formal complaints.
• In reference to page 57, PLC0013, Grenfell and cladding, Councillor Khan said the work the Council had done to address this was commendable, however the information in the risk register ought to be in the public domain and accessible to leaseholders.  Ms Karen Swift, Director for Housing, said the information relating to what the Council had done to address fire safety and the Building Safety Bill was on the Council’s Website and there was a whole series of webpages devoted to the topic, which are constantly reviewed and refreshed. 

In response to questions and comments from members, in relation to the Place Directorate Risk register the following was noted:

• In reference to page 73, DTLC0003 Councillor Khan asked if more information could be provided in relation to land searches. Ms Jennifer Peters, Director for Planning and Building Control said there was a significant amount of work to do to ensure the data collected on land searches could be automated and verified. She said this was to avoid human errors. She said this work was progressing and therefore this had been identified as a risk.
• In reference to page 72, DRD0062 Councillor Perry asked what had been done to progress the capital works programme. Ms Vicky Clark, Director of Integrated Growth and Development responded stating the progress on the capital works programme was dependent on funding. She said her team worked closely with the Resources Directorate to ensure schemes identified could be delivered however this was an iterative processing involving consultation with members and senior managers as well as prioritising one scheme over another. 
• In reference to page 72, DRD0062, Councillor Edgar asked about the deadline quoted in the ‘required control measures’ column and why this was out of date. Ms Vicky Clark acknowledged the register needed to be updated and said the Asset Management and Infrastructure Working Group was working closely with clients and project managers to identify and deliver projects, within the resources they had. She said the capital works programme was reviewed frequently.
• In reference to page 79, PLC0013, Councillor Edgar said there was significant detail provided on Grenfell under ‘existing control measures’ and nothing under the ‘required control measure.’ He asked why this column had been left blank. In response Ms Swift stated the Council was working closely with the government and the GLA and a considerable amount of work had been undertaken, with a good working relationship building cross organisations. Ms Swift said this ought to highlighted in the register and that this would be updated. Ms Swift also said that once government funding came to end, the Council would need to look at how it can resource further work, as part of the budget setting process. The Mayor, Mr John Biggs added regular reports came to Cabinet and the Corporate Leadership Team on the progress being made especially as Tower Hamlets had a high concentration of tall buildings.
• In reference to page 82, PMP0006 Town Hall Delivery, the risk register quoted September 2021, as the date for review. Councillor Edgar asked if further information could be provided in relation to this. The Mayor responded stating the external works of the Town Hall would be complete by May 2022, but internal fittings would take some time to progress thereafter.
• In reference to PLC0021, ‘Chater House’, the Chair asked what progress had been made in relation to the building valuation. She asked why the register had not been updated to show the progress made. Ms Vicky Clark responded stating at one of the issues related to the housing management provider and the other related to fire safety. She said action had been taken to mitigate against the fire hazard and remedial work was being undertaken to ensure the building was fire compliant.
• The Chair, Councillor Whitehead commented that there was quite a striking gap between the risk scores and appetite in relation to the Place Directorate’s risk register.
• Councillor Edgar then made several observations regarding the Place Directorate’s risk register, referring to PLC0021, PMP0006 and HPHS0002 as examples and said the register required updating, with more accurate information on how the risks had been mitigated against.

• ACTION: Owners of risks in the Place Directorate to update the risk register to ensure it is current and up to date, stating the remedial action taken against each identified risk.

The Chair thanked the attendees for their participation in the meeting. 

The Audit Committee RESOLVED to:

1. Note the corporate risks, and where applicable request risk owner(s) with risks requiring further scrutiny to provide a detailed update on the treatment and mitigation of their risk including impact on the corporate objectives at the next Committee meeting (or separately before the meeting if urgent).
2. Note the Place Directorate risks and where applicable request risk owner(s) with risks requiring further scrutiny to provide a detailed update on the treatment and mitigation of their risk including impact on the directorate’s objectives at the next Committee meeting (or separately before the meeting if urgent).