HERTFORDSHIRE COUNTY COUNCIL

AUDIT COMMITTEE

MONDAY 24 NOVEMBER 2011 AT 11.00AM

management of resilience risks

[Authors: Peter Hazeldine, Assistant Chief Fire Officer

Owen Tomlinson, Community Protection Manager]

Executive Member: Richard Thake (Environment & Community Safety)

1.  Purpose of Report

1.1. To provide further information regarding the Community Protection risks and controls recorded on the Hertfordshire County Council Corporate Risk Register relating to the inter-agency response to a major incident and the County Council’s business continuity arrangements.

2.  Summary

2.1.  The Audit Committee has requested an update on the above related risks; the assessment and rating of these risks; and the controls in place to minimise their impacts or reduce/avoid the likelihood of their occurrence.

3.  Recommendation

3.1.  The Committee is invited to note and comment upon the information provided in this report.

4.  Background

4.1. Community Protection maintains two entries on the Hertfordshire County Council Corporate Risk Register relating to resilience. The first relates to the ability of the Local Resilience Forum (LRF) to provide adequate inter-agency plans which correctly identify the capabilities required to deal with a major incident in Hertfordshire. The second relates to a failure to prepare adequate corporate and departmental generic Business Continuity Plans (BCP), which in the event of a major incident could result in a high level of disruption to the County Council.

4.2. The LRF is a multi-agency partnership which ensures co-ordination and co-operation in the event of a major incident. The LRF also ensures effective delivery of those Civil Contingencies Act (CCA) duties which need to be undertaken in a multi-agency environment.

4.3. A review of the LRF in 2010 led to a major restructuring with a reduction in the number of groups, less demand placed on agencies’ resources and the adoption of a more innovative and more business focused approach. There is also now a dedicated resource to support the LRF.

4.4. Hertfordshire County Council is a key member of the LRF, and a number of officers undertake important roles on its groups. Many HCC services also contribute either directly or indirectly, via the Resilience Team, to the work of the LRF.

4.5.  There is a long tradition of successful multi-agency working within Hertfordshire through the LRF (known more commonly as ‘Herts Resilience’) and its predecessor HESMIC. The response to a number of high profile major incidents in recent years has clearly demonstrated the strength of this multi-agency working.

4.6.  Hertfordshire County Council’s Resilience Board is responsible to the Strategic Management Board for ensuring that robust resilience arrangements are in place throughout the County Council. The Board meets quarterly and comprises Assistant Directors and senior managers from within each department. The Director Community Protection (Chief Fire Officer) chairs the Board.

4.7.  Earlier this year the County Council’s emergency and business continuity plans were merged into a corporate Incident Response Plan due to the similarities of responding to both types of incident. Plans at a departmental level have also been merged. These plans were tested as part of Exercise Inca in June.

CORPORATE RISK REGISTER
Risk Number / Risk Owner / Department
CPRES0001 / Peter Hazeldine / Community Protection
Date risk first included on risk register / Strategy for managing the risk / Executive Member
04/01/2010 / Reduce / Richard Thake
Short description of the risk
As a result of a failure of the Local Resilience Forum to provide adequate inter-agency plans which correctly identify the capabilities required to deal with a major emergency in Hertfordshire there is a risk that Hertfordshire's multi-agency response will not be fully effective.
Consequences of the risk
Failure of inter-agency plans may result in damage to reputation, possible legal action or examination at public inquiry and additional suffering caused to those affected by the emergency.
Current controls
LRF business plan to address areas of concern / key priorities
The LRF business plan outlines strategic objectives for 2010-13. As well as providing a framework for multi-agency co-ordination and co-operation, it identifies the agreed key objectives for the year 2011/12, which then form the foundation of the work delivered by the LRF’s groups. It also outlines the performance management mechanism for monitoring the achievement of these objectives, as well as the overall preparedness of the LRF’s multi-agency response.
The current key objectives are:
1. Address highest priority risks from the Community Risk Register (CRR) and react to unanticipated or changing situations and emerging risks.
2. Rationalise existing plans to ensure response arrangements are proportionate to capabilities and level of risk.
3. Deliver a co-ordinated training programme, informed by the CRR and linked to regional and national exercises, to test response arrangements.
4. Improve external focus to fully engage with the public and communities and to tap into wider agendas, partnerships and networks.
5. Prepare for London 2012 Olympics, including competition and training venues and preceding events.
Whilst many objectives are ongoing, the Executive Group has signed off objective two as complete. A comprehensive and rigorous review of 24 multi-agency plans has significantly reduced the number to 12. These are required as they are linked to a very high risk on the CRR, are a legal requirement, are in line with good practice guidance or they complement national resilience arrangements.
The majority of the multi-agency plans that have now been decommissioned were considered to be operational plans which addressed business as usual for key agencies. Others have now been incorporated into the Multi-agency Emergency Response Plan which outlines the LRF’s generic response arrangements.
HCC an active participant in LRF activity
HCC continues to be a key player in LRF activity and its leadership role was reaffirmed by the review. The Executive Group which provides strategic leadership and direction is chaired by the Chief Executive with the Director Community Protection (Chief Fire Officer) acting as the Vice-Chairman.
The Assistant Chief Fire Officer with responsibility for resilience and the Community
Protection Manager who manages the Resilience Team, both sit on the Management
Group, which is responsible for managing the efficient and effective running of the LRF. These officers also have lead responsibility within the LRF for risk assessment and training.
The Assistant Chief Fire Officer also chairs the Response & Planning Group which ensures that robust plans and response arrangements are in place to deal with a wide range of different emergencies. The Community Protection Manager also chairs the People & Communities Group which ensures that the needs of individuals and communities are central to multi-agency response arrangements whilst also encouraging greater community resilience and preparedness.
The County Council employs an LRF Manager who manages the day-to-day business of the LRF, ensuring that its streamlined structure delivers the promised efficiencies, as well as providing support to groups and managing projects. Resilience Officers represent the County Council on groups alongside colleagues from Hertfordshire Fire and Rescue Service. Resilience Officers also lead on task and finish work and undertake a range of other multi-agency projects on behalf of the LRF.
Hertfordshire County Council staff from across a wide range of different services have actively participated in this year’s LRF’s training programme to ensure that they are familiar with multi-agency response arrangements and know how their own response role fits in.
Agreed three year programme of training and exercising in place 2010-2013
Linked to the LRF’s business plan is a co-ordinated multi-agency training programme, informed by the CRR and also taking account of regional and national exercise commitments, particularly those relating to the Olympic Games. The training programme is primarily targeted at Category One responders who have duties under the CCA, but it also involves a wide and diverse range of multi-agency partners. The training programme fulfils a number of different aims and is designed to test and validate multi-agency plans, to provide training in specific response roles and to provide a variety of subject specific workshops and exercises to practice and improve multi-agency liaison and working.
In addition the Resilience Team is responsible for delivering a three year targeted training, exercising and awareness programme across HCC. An important element of this training is ensuring that HCC staff who might be involved as part of the multi-agency response to a major incident are fully trained in their role and able to contribute effectively.
Resilience planning for the Olympics
Resilience planning for next years Olympic Games has been ongoing for some time with both HFRS and the Resilience Team having staff dedicated to Olympics planning activities. The LRF has a multi-agency Olympics sub-group which reports into the Response & Planning Group and the Olympics is a standing agenda item at both Executive and Management Group meetings.
As well as preparing the off-site emergency plan for the Olympic canoe and kayak slalom events at the Lee Valley White Water Centre, the Olympics sub-group is also involved in resilience planning activities around the park and ride arrangements and a number of cultural events, such as the torch relay and the Lady Godiva procession which are both due to pass through the county.
With increased international attention and the population of London expected to increase considerably during the Olympic Games, a key part of national resilience planning for the Olympics is ensuring that wider resilience arrangements are in place and that plans are fit for purpose, particularly in locations such as Hertfordshire. The Olympics sub-group is responsible for responding to these national requirements and has already undertaken an Olympics risk assessment to identify any gaps in resilience arrangements in Hertfordshire and is actively involved in ensuring that the LRF participates effectively in a series of national level exercises.
Current Risk score based on effectiveness of current controls (Q2 2011/12):
Likelihood score: Impact score: Overall score:
2 (unlikely) 16 (very high) 32 (severe)
Reason for inclusion on Corporate Register
Risk that Hertfordshire’s multi-agency response will not be fully effective.
Direction of travel (overall risk score for previous quarters)
Q3 2010/11 Score – 32 / Q4 2010/11 Score - 32 / Q1 2011/12 Score - 32
Target risk score
Likelihood score: Impact score: Overall score:
1 (rare) 16 (very high) 16 (severe)
Reason for changes in risk score.
Additional actions required to manage risk down to an acceptable score
As part of national Olympics preparations the Civil Contingencies Secretariat will require LRF’s and individual agencies with duties under the CCA to provide a written assurance that they are adequately prepared for the Olympics. The next meeting of the LRF’s Executive Group will receive a “health check” report on the performance of the new LRF structure against the mandatory requirements of the CCA. Recommendations from this report will need to be actioned by the LRF. A forthcoming review of the risk assessment process, that underpins development of the CRR, will ensure that the LRF focuses more on the highest risks to Hertfordshire rather than all risks nationally. It is these Hertfordshire risks which should inform the capabilities required to deal with a major incident and determine the multi-agency plans that are required locally.
Known factors that could have a positive effect on the risk
As the new LRF structure and ways of working continue to bed in and are refined then multi-agency co-ordination will have better direction than previously and more efficient and effective use will be made of multi-agency resources.
Known factors that could have a negative effect on the risk
Continued organisational change, particularly within health and the difficulties in ensuring that all the existing and new agencies are effectively represented and involved in LRF work has already been discussed at the Executive Group. The current financial climate and less resources being devoted to resilience planning across a range of partner agencies could also reduce active participation in the LRF. There is also some concern that some partner agencies are not cascading multi-agency plans and information effectively within their own agencies.
Contingency plan
A more rigorous process for ensuring that multi-agency plans are reviewed as appropriate and continue to be fit for purpose is now in place. The Response & Planning Group and People & Communities Group have been allocated ownership of all multi-agency plans and a lead agency has been identified to take responsibility for individual plans. As a result of the recent plan rationalisation process a matrix now exists to ensure that the decision to develop any new multi-agency plans fully takes into account risk assessment and existing capabilities. Concerns about multi-agency partner agencies and their level of involvement and contribution to the work of the LRF will continue to be monitored by the Management Group and if necessary escalated to the Executive Group.
Does the risk present any opportunities that could be exploited
Arrangements for risk monitoring and review
This risk is reviewed quarterly by the Community Protection Senior Leadership Group
Additional comments/context
CORPORATE RISK REGISTER
Risk Number / Risk Owner / Department
CPRES0002 / Peter Hazeldine / Community Protection
Date risk first included on risk register / Strategy for managing the risk / Executive Member
15/01/2009 / Reduce / Richard Thake
Short description of the risk
As a result of a failure to prepare adequate corporate and departmental generic BCP
plans. There is a risk that, should a major incident take place (to building, technology and people) there will be insufficient back up arrangements in place, resulting in a higher level of disruption than anticipated causing increased disruption to key resources.
Consequences of the risk
Failure of corporate and departmental generic BCP plans may result in interruption or disruption to service delivery, damage to reputation, possible legal action and significant disruption for customers, members of the public and partner agencies.
Current controls
Regular reporting to Resilience Board and SMB on plan reviews, training and exercising
The Community Protection Manager reports into the quarterly Resilience Board under two standard agenda items.
The ‘Dashboard’ report, which is maintained by the Resilience Team, details the current status of business continuity, emergency response and incident response plans across HCC. It also highlights departments and services progress in terms of reviewing, updating and testing plans in accordance with HCC’s resilience policy.