STRATEGIC RISK BOARD MINUTES

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1 STRATEGIC RISK BOARD Wednesday, 10 September 2014 from 11.30am to 12.20pm MINUTES Present: Apologies: Nick Eveleigh (Chairman), Alison Chessell, Tony Preston, Averil Price, Lita Smith, Dan Wright and Councillor John Galley Ray Joy, Steve Packham and Councillor Roy Whitehead 1. Minutes of Meeting on 19 May 2013 These were agreed as a correct record. 2. Matters Arising Minute 6 Overdue High Priority Risk Recommendations In response to a question regarding outstanding Fire Risk Assessments, Nick Eveleigh clarified that the reserve to ensure timely implementation of high risk recommendations would be set up once it had been approved by Cabinet. In the meantime Directors should if the need arises overspend on their budgets to mitigate high priority operational risks. 3. Strategic Risk Register The Board received a report which provided an update on the Council s Strategic Risk Register since the last meeting of the Strategic Risk Board on 19 May It was noted that the Risk Strategy placed responsibility with the Strategic Risk Board for ongoing monitoring of the Strategic Risks and as such a report would be presented to the Board at each meeting highlighting any changes to existing risks or identifying new risks to be added. The Board was informed that there had been no major changes in the Council s Strategic environment since its last meeting. It was reported that with a general election in the coming year there was a possibility that the next government would seek to make further changes to the financial and regulatory structure of local government as well as seek to devolve further powers and such changes, if enacted, may place additional pressures on Local Government. The Strategic Risk Register was attached as an Appendix to the report and was reviewed by the Board. The following comments were made: SR-001 In order to balance the budget significant reductions in services are required It was noted that if the rebalancing of the budget to remove regular underspends were approved, the Council could deliver a budget with limited impact on services for the coming financial year. Management Team had recently agreed to look at the five year position with informal Cabinet. Councillor Galley expressed some concern regarding the capital budget which was reducing quickly. 1

2 SR-002 Failure to continue to deliver the Council s services as a result of an incident or emergency (e.g. severe weather) It was reported that as a result of recent restructuring Public Health and Protection Services would form part of the Public Services Directorate under Keith Nicholson and therefore it was agreed that the ownership of this risk would be transferred to him. The annual Business Continuity report was made to Management Team annually in February. SR-003 Unable to deliver necessary infrastructure for the city to support housing development and business growth Councillor Galley suggested that the inability to deliver the five year housing supply should be highlighted and David Green would be asked to provide some appropriate wording for this addition. SR-004 Increase in the risk of potential exposure to fraud given the economic downturn both from the public and staff It was mentioned that the transfer of the Council s Fraud Investigators to the Department for Work and Pensions (DWP) could have an impact on this risk as the DWP had different tolerance levels. SR-005 Insufficient funds to replace key assets such as Riverside and High Chelmer car park without undertaking significant borrowing Councillor Galley said that Cabinet Members and Directors needed to prioritise capital funds and until this took place spending on the capital programme needed to be carefully monitored. SR-006 Our ability to attract and retain staff with appropriate skills at a time when our finances are reducing Staff in ICT services with specific skill sets had been recruited to jobs with the Council s suppliers. There could be a skills gap in the future as it was difficult to recruit people to certain posts. It was agreed that the Director of Corporate Services would be assigned ownership of this risk. SR-007 Non-compliance with core policies and procedures exposes the Council to unnecessary costs or legal challenge Some breaches of procedures had resulted in the Council losing money. A report on the matter would be submitted to Joint Management Team in order to improve compliance. AGREED that (a) (b) (c) the report be noted; SR-002 Failure to continue to deliver the Council s services as a result of an incident or emergency (e.g. severe weather) is transferred to Keith Nicholson, Director of Public Services; SR-006 Our ability to attract and retain staff with appropriate skills 2

3 at a time when our finances are reducing is assigned to Louise Goodwin, Director of Corporate Services; and (d) future updates on specific risks are brought to future meetings of the Strategic Risk Board. Action: NE 4. High Value Insurance Claims The Board received a report which provided an update on new high value insurance claims and movements in existing claims since the last meeting of the Board. It was noted that for Public and Employers Liability claims the Council has in place a voluntary excess in the order of 50,000. This varied by policy year and was currently 57,000. The Appendix to the report detailed the high value liability claims with a projected cost exceeding 10,000. It covered claims under investigation; claims being defended; claims being settled; repudiated claims; and settled claims awaiting final payment. It also detailed the type of claim, a limited description and a projected cost of the claim. It was reported that the level of claims was relatively low compared to a lot of authorities. 5. Overdue High Priority Risk Recommendations The Board considered a report on the Council s high and critical priority risk recommendations which had become overdue. It was noted that as at 1 September 2014 there were 5 outstanding Fire Risk Assessments and a detailed breakdown of these by category and business area was attached as an Appendix to the report. A completion date for each of the outstanding risks would be included in future reports. It was reported that an empty building at the Sandford Mill site did not meet the standard requirements and this matter had been outstanding for some time. The Board noted that it would be difficult to resolve this issue as a strategic decision regarding the future use of the site needed to be made. A report had been sent to Nick Wickenden and would be fed through to Jon Lyons. Action: AC 6. Summary of All Risk Recommendations The Board received a report which provided a summary position of all recommendations made by the Council s Fire Risk Assessors, Business Continuity team Corporate Health & Safety team, and Information 3

4 Management team. The Board was informed that the Risk & Insurance team monitored compliance with recommendations arising from statutory inspections and professional opinions in order to reduce the Council s exposure to physical loss and ensure staff and visitors were protected whilst on Council premises. Each recommendation was the responsibility of a particular directorate to implement in order to mitigate risk. 7. Litigation Update Contract Management The Board considered a report which outlined the Woodland vs Essex County Council case, set out the decision made by the Supreme Court and considered some of the potential implications for the delivery of Council services and use of contractors. The Board was informed that the Court decision implied that if the delivery of a statutory duty were outsourced the Council would retain liability for any negligence on behalf of the contractor. It could not argue that it selected an apparently qualified independent contractor. Chelmsford City Council was relatively well insulated from the immediate effects of this Court ruling because it did not deliver social services and was not a highways or educational authority. Therefore the Council had a relatively limited exposure to parties vulnerable and dependent on the protection of the Authority test. However it was likely that the Council s Homelessness Service, with a duty to house priority cases, may constitute such a vulnerable individual on the basis of the cause of their priority need. This meant that the Council could be responsible for the negligence of any partner or contractor it used to discharge a duty, be it either a Housing Association or private landlord. It was therefore advisable to review the contracts and agreements in place with respect to the landlords appointed by the Council to discharge its duty under the Housing Act and ensure they had appropriate insurance and inspection procedures in place to satisfy the Council that the risk of an incident was minimised and that the Council held an appropriate level of indemnity in the event of any claim against us. Averil Price mentioned that the Essex Safeguarding Board was carrying out a countywide piece of work on this matter. Alison Chessell said she would be meeting the Housing Manager to discuss the impact of the ruling and a report on how we can mitigate the risk would be brought to a future meeting of the Board. AGREED that (a) (b) a risk analysis is completed on any outsourced services to consider the impact of the extension of non-delegable duty of care; a risk assessment of Contractors on the approved supplier s database is undertaken by the risk team to ensure sufficient and adequate indemnity and insurance provisions in the event that a claim is made for 4

5 outsourced statutory duty functions; (c) (d) (e) new guidance and approval process is produced in consultation with the Procurement Team for new suppliers involved in the provision of services for vulnerable people; a meeting with the Housing Services Manager is arranged to discuss the impact of the ruling for the management of their homelessness provision; and a further report be brought to a future meeting of the Board. Action: AC 8. Inspections Procedure Update The Board received a report on progress against improving the Council s inspections and maintenance procedures to assist in the defence of insurance claims. The Board was informed that the Risk & Insurance team had identified and tested a new inspection procedure and had begun further discussions with services on implementing this procedure. The next step in developing the inspection procedure was to discuss the recommendations with premises managers via the premises manager user group. An analysis of through flow would also be required to prioritise defects for repair. In addition a process for recording and monitoring defect repair would need to be implemented through the Council s frontline building maintenance helpdesk. If the Council could successfully develop an effective inspections and maintenance procedure and maintain its properties above the recognised intervention level then it should provide sufficient evidence to allow the Council to defend a high proportion of slip, trip and fall claims more robustly and reduce the cost of these claims. However, it was noted that as a high number of slip and trip claims occurred in the Council s car parks it might not be possible to realise savings until investment was made in improving the quality of car park surfaces. A review of car park inspections was attached as an Appendix to the report. 9. Any Other Business (i) Work Programme It was reported that a copy of the Board s work programme for 2014/15 had been sent to members of the Audit Committee in accordance with the minutes of the Committee s meeting on 25 June (ii) Replacement Telephone System In response to a question regarding replacement of the Council s telephone system, Tony Preston advised the Board that components began to fail when they were around ten years old. Failure of components could result in the 5

6 Council being without a system. 10. Date of Next Meeting AGREED that 24 November 2014 at 10.00am. be confirmed as the date and time for the next meeting of the Board. Action: LS 6

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