|
|
1. Empower our communities to enhance quality of life |
|
|
||||||
|
Inherent Risk Score |
Current circumstance |
Risk Control |
Residual Risk Score |
Further control to mitigate risk |
Action Owner |
CPTC |
|
||
|
Likelihood 3 x Impact 4 = High 12
|
A. Communities continue to experience lingering impacts of elevated inflation rates, despite a recent decrease. The slow adjustment of pricing is expected to prolong the pressure on the cost of living, further straining local businesses.
B. Communities are impacted through a shortage of housing including affordable housing Supply being delivered within the District.
C. Communities can also require support during significant adverse environmental events.
D. The Council needs to do more to support communities with enhanced digital channels for transacting and communicating with the Council.
E. There will also be some challenges around the delivery of the and Freeport and in the Analogue to digital switchover by 2025. |
A1.Targeted funding streams and support for voluntary and community sectors.
A2. Engagement in discussions of fundamental activities such as Solent Freeport and County Deals.
A3. Close working partnerships with key stakeholders such as the Community Safety Partnership and the Skills Advisory Group.
A4.Collaborative working with key partners through the Cost of Living Steering Group to implement a Poverty Action Plan.
A5. Regular engagement with the voluntary sector
A6. Participation on the board and its sub-committees of Solent Freeport Consortium Limited, ensuring collaborative working and shared goal achievement to advance the economic, social and environmental well-being of the District.
B1. Effectively review and apply the Council's Local Plan, including active monitoring of the implementation, while proactively working with developers to provide enabling infrastructure and continuously reviewing the Local Plan.
B2. The Council’s Housing Revenue Account is actively seeking opportunities to bring forward additional affordable homes within the District, under Council ownership.
C1. The ability for the Council to operate in adverse environmental conditions is set out in its own right under Strategic Risk no.7. This includes the requirement for the Council to step up processes to support impacted communities in emergency situations.
|
Likelihood 2 x Impact 3 = Medium 6
|
1. Allocate resource to support Corporate Plan priorities.
2. Continue to work in partnership for example with the Solent Freeport and with other public sector partners to explore new and existing opportunities to deliver to residents and businesses.
3. Continued support to the Cost of Living Steering Group is provided, bringing a multi-agency approach to tackling issues affecting the most vulnerable in the community, working alongside the Local Partnership Campaign Manager to explore and promote further support to household.
4. Continuing to explore all housing enabling avenues across planning and housing.
5. Roll-out Digital Strategy prioritising customer needs
6. Establishment of a referral system to aid vulnerable residents. |
Strategic Director Corporate Resources S151 and Transformation
Chief Executive
Strategic Director Corporate Resources S151 and Transformation
Assistant Director Housing and Assistant Director Place Development
Assistant Director Transformation
|
PR1
PL1
PL1
PE3
PE1
PE1 |
|
||
|
|
2. Achieving future financial resilience |
||||||
|
Inherent Risk Score |
Current circumstance |
Risk Control |
Residual Risk Score |
Further control to mitigate risk |
Action Owner |
CPTC |
|
|
Likelihood 3 x Impact 3 = High 9
|
A. The Council's Medium Term Financial Plan is affected by numerous external economic factors, such as the high bank base rate and the current rate of inflation (cost of living). These factors place significant pressure on expenditure and impact the ability to generate income, noting the longer-term implications of recovering from economic challenges.
Other factors, more specific to the Council include pay award, levelling up, the fair funding review, the impact of a business rate reset and increased salary costs resulting from a need to align pay with the wider market.
The Council may also need to do more to support communities due to the potential for closure of local businesses and job losses as a result of the cost of living crisis.
Given financial constrains affecting the Local Government sector as a whole, Local Authority Partners, may look to the District Council to support their own respective financial sustainability over the Medium term.
|
A1. Regular review of the Council’s MTFP including reserve levels and future changes to funding.
A2. Annual budget setting for revenue and capital including funding.
A3. Utilisation of external financial support that provides support for funding modelling.
A4. Regular budget monitoring reports and updates to senior officers and Members.
A5. Treasury Management Strategy to ensure the Council is acting within the prudential indicators.
A6. Maintain appropriate level of financial reserves as contingency arrangements to provide resilience over the medium term.
A7. Working with County Council, Towns and Parishes to maximise opportunities for joint working.
|
Likelihood 2 x Impact 3 = Medium 6
|
1. Continue to keep abreast of developments in: · pay award · Fair Funding · National Business Rate Policy · Levelling Up · County Deals
2. Maintain momentum and presence within the delivery of the Solent Freeport.
3. Development of the Transformation Programme to deliver enhanced services and financial efficiencies to support the delivery of the Medium Term Financial Plan.
4. Keep up discussions with upper and lower tier authority partners to ensure effective and efficient service delivery to residents.
5. Implementing and embedding the Transformation Strategy that contains ample measures to support the successful implementation of the plan. This strategy encompasses numerous actions that will aid effective delivery of the transformation plan.
6. Development of savings plans and invest to save initiatives.
7. Development of capital plans in accordance with Capital Strategy with full financial appraisal and revenue implications |
Strategic Director Corporate Resources S151 and Transformation
Strategic Director Corporate Resources S151 and Transformation
Assistant Director Transformation
Chief Executive
Strategic Director Corporate Resources S151 and Transformation
Strategic Director Corporate Resources S151 and Transformation
Strategic Director Corporate Resources S151 and Transformation
|
PR1
PR2
PR3
PE1
PR1
PR1
PR1 |
|
|
|
3. Ensuring efficient and effective internal control, governance and compliance |
|
|
||||||
|
Inherent Risk Score |
Current circumstance |
Risk Control |
Residual Risk Score |
Further control to mitigate risk |
Action Owner |
CPTC |
|
||
|
Likelihood 3 x Impact 4 = High 12
|
A. As a local authority we need to show appropriate compliance and controls: - Financial Regulations - Financial Management Code - Payment Card Industry Data Security Standard Accreditation - Production and publication of various statutory documents - Effectiveness of the Capital Change and Delivery Board - Effectiveness of the new Project Management Framework - Timeliness of External Audit completion
We continue to follow best practise in terms of documenting our Annual Code of Corporate Governance review, and preparation of an Annual Governance Statement, both with actions plans. |
A1. Annual internal audit plan developed by senior officers and members is targeted at key risks areas and responsive to new areas of risk.
A2. External/internal audit regime.
A3. Annual Assurance Statements compiled testing compliance with key business activities, supporting Annual Governance Statement compilation.
A4. Range of performance indicators that monitor internal controls.
A5. Maintenance of a range of policies that underpin the control framework – Financial Regulations, Counter Fraud Strategy, Risk Management Framework, Contract Procedure Rules coupled with staff training.
A6.Regular reporting at Audit Committee.
A7. Compliance with Transparency Code.
A8. Compliance with Local Code of Corporate. Governance.
A9. Key compliance roles identified and assigned i.e., Section 151 Officer, Monitoring Officer, Data Protection Officer, H&S, Facilities Lead etc.
A10. Compliance with information governance including the UK General Data Protection Regulation and Data Protection Act 2018.
A11. Housing and Facilities Compliance reported regularly through EMT.
A12. Information Governance Team in place with regular reporting through EMT.
A13. Financial Regulations and workflows built into core financial system. |
Likelihood 2 x Impact 4 = Medium 8
|
1. Continue through information governance work programme, including updated document retention and destruction schedules for all services.
2. Management to undertake actions from the internal audit reports.
3. Ongoing engagement with external audit.
4. Continue to assess the effectiveness of the new Project Management framework for projects to ensure appropriate Governance arrangements are in place for all projects.
5. Financial Management Code –complete outstanding actions identified through the initial assessment.
6. Enhance member and officer development by offering continuous training, development and engagement opportunities.
7. Continue to ensure high levels of statutory compliance standards across services.
8. Review and update of Business Continuity Plans
|
Assistant Director Governance
Strategic Director Corporate Resources S151 and Transformation
Strategic Director Corporate Resources S151 and Transformation
Assistant Director Transformation and Assistant Director – Governance
Strategic Director Corporate Resources S151 and Transformation
Assistant Director Governance
Assistant Director Assistant Director Governance
Strategic Director Housing & Communities
|
PL1
PL1
PL1
PL1
PL1
PL1
PL1
PE1
|
|
||
|
|
4. Creating the right culture, capacity and capability |
||||||
|
Inherent Risk Score |
Current circumstance |
Risk Control |
Residual Risk Score |
Further control to mitigate risk |
Action Owner |
CPTC |
|
|
Likelihood 3 x Impact 3 = High 9
|
A. The Council needs to attract, recruit and retain the high calibre of employee that it requires to fulfil its expectations in Service delivery.
B. The Leadership review has concluded and the Council now has a settled top tier leadership structure. There is however a risk around the time required to achieve organisational/cultural change.
|
A1. Employee Forum to encourage collaboration and engender a culture that enables change and innovation.
A2. Learning and development programme to be developed and rolled out to provide training, tools and techniques to develop the necessary skills.
A3. Regular 1-1’s and annual PDI process.
A4. Staff Suggestion scheme.
A6. Staff/union engagement. Project management/capability.
A7. Staff/officer wellbeing and support.
A8. Corporate plan 2020-2024.
A9. Hybrid working increasing potential pool of staff.
A10. More support and training on virtual working/managing staff.
A11. Further ICT training to ensure maximum return on investment.
B1. Communications plan (internal) allowing for regular staff engagement/progress updates.
B2. Performance management and key performance indicators in place.
|
Likelihood 2 x Impact 3 = Medium 6
|
1. Embedding of new Council Leadership structure (including necessary backfill).
2. Progress learnings from employee survey.
3. HR developing plans to work with third parties to deliver a consistent and structured approach to training and development.
4. Keep abreast of developments in pay award negotiations and be ready to respond accordingly.
5. Transformation plan is live and includes design principles for a new operating model, approach, implementation, and necessary resources. A key aspect of the design principles will be our people strategy and organisational development opportunities.
6. Continue to identify opportunities that should be progressed in connection with improving service delivery.
7. Allocate resource to support Corporate Plan ambitions.
8. Investigation and identification of further collaborations that will support building capacity and capability (and resilience) including both public and corporate business.
9. Transformation framework in progress
10. Development of Workforce Strategy and enabling an agile workforce. |
Chief Executive
Assistant Director Transformation
Assistant Director Transformation
Assistant Director Transformation
Assistant Director Transformation
Assistant Director Transformation
Strategic Director Corporate Resources S151 and Transformation
Strategic Director Corporate Resources S151 and Transformation
|
PL1
PL1
PR3
PL1
PL1
PL1
PR1
PR1
PR1
PL1 |
|
|
|
5. Ensuring robust security measures to protect the Council’s digital data and ICT assets from external threats |
||||||
|
Inherent Risk Score |
Current circumstance |
Risk Control |
Residual Risk Score |
Further control to mitigate risk |
Action Owner |
CPTC |
|
|
Likelihood 4 x Impact 4 = High 16
|
A. This risk relates to the Council’s ability to defend itself against the constantly evolving threat from cyber based attack. The Council, in common with other public bodies, should be regarded as a high-profile target given the impact and publicity a successful attack can have.
The current insurance market for public sector cyber risks is volatile. |
A1. Up to date Disaster Recovery plan is in place.
A2. Awareness training of officers and staff on the threats of cyber attacks.
A3. Continued reviewing and tightening of existing IT Security Policy to ensure measures adapt to the changing threat, including awareness, familiarisation and training.
A4. Acceptable use of IT policy to ensure staff are using equipment safely and appropriately.
A5. Relationships with other agencies to ensure best practice is established. |
Likelihood 3 x Impact 4 = High 12
|
1. Continued development of O365 services to improve email and anti-virus protections.
2. Carry out annual penetration test.
3. Ongoing refresher training on cyber risks for all staff.
4. To look at service provisions externally that can assist with cyber risks.
|
Assistant Director Transformation
Assistant Director Transformation
Assistant Director Transformation
Assistant Director Transformation
|
PL1
PL1
PL1
PL1
|
|
|
|
6. Ability to be agile and shift focus in response to policy and national political change |
|
||||||
|
Inherent Risk Score |
Current circumstance |
Risk Control |
Residual Risk Score |
Further control to mitigate risk |
Action Owner |
CPTC |
||
|
Likelihood 3 x Impact 4 = High 12
|
A. Changes in national politics and the general election (July 2024).
Other legislation that will affect the council include: · The environment bill · Future planning reform · Changes the regulatory landscape to housing · Housing delivery
There is a possibility of experiencing a shift in the political landscape post the general election.
|
A1. Continuous monitoring of political landscape to allow for early indicators of policy change.
A2. Prudent financial and strategy assumptions to allow for agile responses.
A3. Corporate Plan 2024-2028 adopted recently and work is proceeding accordingly.
A4. Section 151 Officer role providing advice to the Council on current/ future financial challenges.
A5. Reports to committee include explicit assessment of implications and therefore should identify/reflect current and future challenges.
A6. The Executive should conduct horizon scanning to proactively anticipate and identify potential challenges and opportunities in order to influence outcomes through consultation.
A7. Membership of Local Government Association etc providing information/insights to the Council.
A8. Members’ roles and responsibilities including involvement in local networks, County Council, other agencies and national forums, enabling insight to be gained and shared with the Council.
A9. Staff membership of professional bodies enabling own development and also providing for insights through membership of challenges that may present themselves to the Council.
A10. Officer/member forums and networks.
|
Likelihood 2 x Impact 4 = Medium 8
|
1. Making sure the workforce is aware that training is available.
2. Ensuring professional training availability as this impacts departments e.g., Planning and Legal
3. Encouraging staff to undertake professional development and service-related training.
4. Prepare and implement the national changes arising out of the new Social Housing Charter, which represents the biggest change in social housing for 40 years. Work has been ongoing for the last 2 years to prepare and implement the necessary changes including reporting to EMT, Housing & Homelessness Overview & Scrutiny Panel and Cabinet.
|
Assistant Director Transformation
Assistant Director Transformation
Assistant Director Transformation
Strategic Director Housing and Communities |
PR3
PR3
PR3
PE3 |
||
|
|
7. Delivering Council Services through adverse environmental conditions |
|
|
||||||
|
Inherent Risk Score |
Current circumstance |
Risk Control |
Residual Risk Score |
Further control to mitigate risk |
Action Owner |
CPTC |
|
||
|
Likelihood 2 x Impact 4 = Medium 8
|
A. The following may affect the delivery of Council Services from a national and local perspective: - Natural disasters / local power outages - Workforce Strike Action - Global Pandemic - Terrorism - Riot/Rebellion - Flooding - Major pollutions of surface waters and groundwaters - Adverse Weather - Fire - Nuclear Powered Vessels related to pollution - Coastal Erosion - Industrial Strikes
The Council has appointed a dedicated resource to lead on Emergency Planning and Business Continuity. |
A1. Business Continuity framework and individual service continuity plans.
A2. Threat response plans which will include ICT Infrastructure response, alternative accommodation provisions and reallocation of staff.
A3. Emergency Planning Strategy and defined roles assigned.
A4. Communication with NFDC residents on all platforms e.g., social media.
|
Likelihood 2 x Impact 3 = Medium 6
|
1. Annual programme of Emergency Planning training to be established. Robust training continues to be arranged and carried out for officers involved in emergency planning. Work continues in ensuring business continuity plans are in place, including for interruptions due to energy outages.
2. Review and challenge of functional Service Continuity Plan and conclude Business Continuity Planning.
3. Regular reporting to EMT on progress against Emergency Planning and Business Continuity action plan
4. Continuity to increase capacity for service to manage this risk.
5. Set up links to Town and Parish councils as they would be involved in implementing actions through adverse conditions. |
Strategic Director Housing & Communities
Strategic Director Housing & Communities
Strategic Director Housing & Communities
Strategic Director Housing & Communities
Strategic Director Housing & Communities |
PR1
PL3
PL3
PL3
PL3
|
|
||
|
|
8. Responding to the Climate and Nature Emergency |
||||||
|
Inherent Risk Score |
Current circumstance |
Risk Control |
Residual Risk Score |
Further control to mitigate risk |
Action Owner |
CPTC |
|
|
Likelihood 4 x Impact 4 = High 16
|
A. NFDC declared a Climate Change and Nature Emergency in 2021 in response to global temperature rise and the associated impacts on natural and built environments. Declaring an emergency demonstrates NFDC’s commitment to the legally binding target set by Central Government for the UK to reach net zero carbon by 2050, however progress in achieving the agreed targets is significantly off track at national and global levels.
As a result of climate change, the New Forest area is expected to experience: Hot drier summers and warmer winters More frequent and extreme heatwaves, droughts flooding and coastal erosion
Failing to reduce emissions, improve environmental quality and adequately adapt to climate change will have impacts for NFDC residents, tenants, businesses, visitors, and the economy.
Responding at a pace and scale comparable to the declared emergency will ensure that the environmental, social, financial and reputational risks to NFDC are minimised, and any opportunities arising from the changing climate are maximised. National and local actions are key to achieving environmental goals, which include grid decarbonisation, policy planning, and enabling a green economy. However, funding these initiatives is challenging and could affect residents' costs of living.
|
A1 Deliver organisational and area-wide actions to reduce emissions, adapt to climate change and safeguard the natural environment, as outlined in the Climate Change and Nature Emergency Action Plan.
A2. Deliver, monitor and report on four key programmes of work: carbon reduction, climate adaptation, nature recovery and programme management.
A3. Governance and oversight from Climate and Nature Steering Group and Environment Overview and Scrutiny Panel.
A4. Climate Change and Nature Emergency Annual Report to inspire behaviour change, demonstrate corporate leadership and ensure transparency, accountability, and governance - detailing action to date, progress against targets and future actions.
A5. Consideration of climate change and sustainability issues in the early stages of all activities, including projects, plans, strategies, and procurements.
A6. Prioritisation of climate change and sustainability in the Corporate Plan, Local Plan and other key strategies.
A7. Ensuring adequate resources for climate and sustainability efforts including third party financial support. |
Likelihood 3 x Impact 4 = High 12
|
1. Successful delivery of projects within the organisational and area-wide Climate Change and Nature Emergency Action Plan.
2. Climate and Sustainability to be identified as key priorities in the new Corporate Plan, Local Plan and other key strategies e.g., Greener Housing Strategy
3. Development of policy framework to ensure business as usual activities of NFDC services contribute positively to climate and sustainability objectives.
4. Creation of a 5-year strategy and action plan with aligned resources and targets.
5. Inclusion of climate change risks in service level risk assessments and business continuity plans.
6. Training for officers and members, particularly O&S panel members, on climate change, nature and sustainability issues.
7. Aligning level of resourcing to meet emerging corporate priorities.
8. Review of Coastal Strategy and Actions. Climate Change Action Plan with Ongoing partnership working.
9. Service risk assessments and business continuity plans to be developed. |
Strategic Director Place Operations & Sustainability
Strategic Director Place Operations & Sustainability
Strategic Director Place Operations & Sustainability
Strategic Director Place Operations & Sustainability
Strategic Director Place Operations & Sustainability
Strategic Director Place Operations & Sustainability
Strategic Director Corporate Resources S151 and Transformation
Strategic Director Place Operations & Sustainability
Strategic Director Corporate Resources S151 and Transformation and Strategic Director Housing |
PL2
PL2
PL2
PL3
PL2
PL2
PL2
PL2
PR1 |
|
