REPORT

Item No: 22

SUBJECT:

TO:

Lead Officerfor Report:

Author(s) ofReportDATE:

Risk Management

Joint Integration Board

Chief Accountable Officer

eN'−w

Health&Social CareON1041511 North Lanarkshire

Head of Planning, Performance and Quality Assurance

05.07.17

1. PURPOSE OF REPORT

1.1 To provide an update to the Performance, Scrutiny and Assurance sub−committee on riskmanagement for the Health and Social Care Partnership.

2. SUMMARY OF KEY ISSUES

2.1 Following development sessions, the risk register for the IJB was created, outlining 10 keycurrent risks around strategic planning and finance for the Board.

2.2 In addition, operational registers are in place for health and social work, to supportescalation of risks onto the corporate registers of NHS Lanarkshire and North LanarkshireCouncil respectively.

2.3 North Lanarkshire Council is currently reviewing its risk management policy and is procuringa new electronic system for the management of risks. In line with this process, the SocialWork risk register is currently under review and will be presented back to the CorporateManagement Team in July 2017

2.4 Ten JIB risks have been identified and are presented in appendix 1.

3. RECOMMENDATIONS

3.1 The sub−committee is asked to;

Approve the content of the report

4. BACKGROUND AND CONTEXT

4.1 New, closed or emerging risks and current risk profile

4.1.1 There are currently 10 live risks identified on the IJB register.4.1.2 The current risk profile and scoring template are set out below:

1

ScoreAlmost 5CertainLikely 4P o i b l e

__•Unlikely 2Rare 1

IMPACT

Low Minot Moderate1 2 1 3

Risk Score Number of RisksLow (1−3) 0Moderate (4−9) 2High (10−15) 5Very High (16+) 3

4.2 Very High Graded Risks

aor I Extreme4 1 5

4.2.1 The three very high business risks within this period will potentially have the highest impacton effectiveness for the JIB:

4.2.2 The three very high risks will be subject to continuous review on at least a monthly basisuntil the risk level is reduced.

4.3 High Graded Risks and Risks Exceeding Tolerance

4.3.1 From the 10 risks identified, all 10 currently have an assessed level of risk higher than thetolerance set, mainly as a consequence of having been newly identified with further workrequired. Members are asked to focus on the key actions identified to ensure mitigation totolerance level.

• :1− o v n •,',,.,'ç

•• •:;.AM

I J B2Future budgetsettlements

Janice 2MED 1. JIB Finance and Audit CommitteeHewitt 2. HSCP Budget monitoring meetings SILT,

3. Budget monitoring and oversight Finance4. Prescribing Action Plans and Audit5. Capacity plans to maximise efficiency sub, JIB6. Regular budget meetings with ChiefExecutives and Directors of Finance

IJB3Failure of strategic Janicecommissioning plan Hewitt

NHSL/NLC unable orIJB4 unwilling to

implementdirections

IJB5Unable to enactculture change

lJ B6

IJB7

11 6H−iM 2MED 1. Joint Strategic Needs Assessment2. Locality Profiles3. Strategic Planning Group4. Locality engagement events5. Commissioning Plan ProgrammeBoard and workstreams6. Communication and engagement

SLT, PS&ASub, JIB

Janice 13HIGHE 2MED 1. JIB Finance and Audit CommitteeHewitt 2. HSCP Budget monitoring meetings

3. Budget monitoring and oversight4. Support, Care and ClinicalGovernance committee5. Workforce Plan

JaniceHewitt

S LT,Financeand auditsub, PS&ASub, JIB

FGHM 2MED 1. Communication and EngagementStrategy SLT, PS&A2. Strategic Planning Group Sub, JIB3. User and Carer Forum4. Partnership Boards − user and carersrepresented5. Use of PPF and Community Forums

Unable to prevent or Janicedetect fraud Hewitt

Unable to mitigaterising demand

2MED 1. Fraud awareness e−learning2. National Fraud initiative SLT,3. Locality/SW Enablement Groups Finance4. Segrgation of duties in relation to and Auditauthorising and processing direct sub, JIBpayments5. Raise fraud awareness through teambriefings6. Whistle blowing

J a n i c e I 3 H l G H I 2MED I 1. Joint Strategic Needs AssessmentHewitt 2. Performance, Scrutiny and Assurance SLT,

Sub−Committee Finance3. Strategic Planning Group and audit

I

4. Locality engagement sessions sub,PS&A

5. Partnership Boards Sub, JIB

I J B8

1J89

Lack of operationaloversight

Availability of GPs

Sustainability ofIJBIO Carer Support

Services in 2017/18

S. CONCLUSIONS

JaniceHewitt

JaniceHewitt

JaniceHewitt

2MED 1 1. Finance and Audit Sub−Committee2. Performance, Scrutiny and AssuranceSub−Committee3. HSCP operational structures4. Support, Care and ClinicalGovernance5. Senior Leadership Team

2MED 1. GP Clusters2. Sustainability AssessmentFramework3. Engagement with LMC4. Primary Care Dept. Contingencyplans5. Primary Care Transformation Board6. SG Recruitment and Retention Fund1. NL Carers Strategy ImplementationGroup2. Working Group for roll out of CarersAct3. NL reps on key national workinggroups for Carers Act4. Carer representation on IntegratedService Review Board

SLT,Financeand auditsub, PS&ASub, JIB

SLT, JIB

SLT, JIB

5.1 The JIB Risk Register was reviewed at the Performance, Scrutiny and Assurancesub−committeeand by officers at the end of June 2017, with risk descriptors, mitigating controls

and actions and the assessed level of risk updated accordingly.

5.2 Work continues in North Lanarkshire Council to procure a new electronic recording systemfor risks and roll out the updated Risk Management policies. The Social Work risk register isundergoing a review, which will be completed in July 2017.

5.3

6.

Appendix two sets out proposals for the frequency of review of operational risks.

IMPLICATIONS

6.1 NATIONAL OUTCOMESThe risk management strategy will assist the identification, recording and mitigation of risks,thereby supporting the achievement of organisational outcomes by prioritising andmanaging risks which may threaten them.

6.2 ASSOCIATED MEASURE(S)No further measures.

6.3 FINANCIALThe risk management strategy will support the identification, prioritisation and managementof risks which may threaten financial balance and governance.

6.4 PEOPLEThe risk management strategy will support the identification, prioritisation and managementof risks which may threaten the safety of staff and patients/service users.

6.5 INEQUALITIESThe risk management strategy will support the identification, prioritisation and managementof risks which may impact on inequality.

7. BACKGROUND PAPERSNil

8. APPENDICES

Appendix 1: JIB Risk RegisterAppendix 2: Frequency of review

CjCHIEF ACCOUNTABLE OFFICER (or Depute)

Members seeking further information about any aspect of this report, please contact Ross McGuffieon telephone number 01698 858 119.

Appendix 2: Level 2 risk registers should be reviewed as shown in the table below:

North Health and Social Care Partnership

Committee/Group & Purpose Frequency Key Areas

Integration Joint Board Assurance Every meeting • Very High Graded Risks

North H&SCP Core Senior Review Every meeting • Level 2 Risk ProfileLeadership Team • NHSL Corporate Risks with

H&SCP co−ownership• All Very High graded risks

across the operating unitswithin the Partnerships

• Risks Exceeding toleranceNorth H&SCP Senior Leadership *Review and Every meeting • Level 2 Risk ProfileTeam Monitoring • NHSL Corporate Risks with

H&SCP co−ownership• All Very High graded risks

across the operating unitswithin the Partnerships

• Risks Exceeding toleranceFinance and Audit Sub− Assurance Every meeting • Level 2 Risk ProfileCommittee and Review • Risks with this Committee

identified as the assurancesource

• All Very High graded risksacross the operating unitswithin the Partnerships

• Risks Exceeding tolerance

Performance, Scrutiny and Assurance Every meeting • Level 2 Risk ProfileAssurance Sub−Committee and Review • Risks with this Committee

identified as the assurancesource

• All Very High graded risksacross the operating unitswithin the Partnerships

• Risks Exceeding tolerance

Support, Care and Clinical Assurance Every meeting • Level 2 Risk ProfileGovernance Committee and Review • Risks with this Committee

identified as the assurancesource

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