Risk Management Arrangements
1. Purpose of report
The purpose of this report is to provide an update on progress and to propose the future actions that are required to develop risk management arrangements and embed risk management within the Integration Joint Board (IJB).
2. Recommendations
The IJB is asked to note the content of this report. Board Members are asked to note the update provided on the risk management arrangements for the Board.
3. Considerations
Background
2.
3.
3.1 Section 13 of the Integration Scheme for Dumfries and Galloway Health and Social Care Partnership set out the proposals for development of risk management arrangements as follows:
“13. Risk Management
13.1 A standing risk management sub-group, consisting of voting and non-voting members of the IJB, will be established. The sub-group will:
13.1.1 Develop a risk management strategy by 31 December 2015 for approval by the IJB
13.1.2 Advise on the appropriate risk appetite for the IJB
13.1.3 Advise on any subsequent changes to the strategy and risk appetite, for approval by the IJB
13.1.4 Consider the effectiveness of the risk management process, ensuring that significant risks are being adequately managed
13.1.5 Monitor implementation of improvement action plans
13.2 The risk management strategy will:
13.2.1 Include the responsibilities of the Chief Officer, risk owners, and the Parties
13.2.2 Describe acceptable processes for mitigating risks
13.2.3 Propose that significant risks be reviewed every quarter by the risk management sub-group, along with progress on agreed actions
13.2.4 Set out the agreed reporting standard that will enable significant risks identified by the Parties to be compared across the Parties. These risks will be reviewed either annually or every six months. Information on risks will be effectively communicated through the use of a shared system to record and monitor any action being taken
13.3 The Parties will jointly identify, assess and prioritise risks related to the delivery of services under integration functions, particularly any which are likely to affect the IJB’s delivery of the Strategic Plan, by 1 April 2016. Amendments to the risk register will be subject to scrutiny by the risk management sub-group.
13.4 The Parties will provide appropriate resource to ensure that the risk management of the IJB is delivered to a high standard.”
Progress to Date
3.2 The IJB is now a member of CNORIS, a risk sharing insurance scheme. In other areas progress to date has been limited. Discussions have taken place across the respective risk leads in Health and Local Authority to consider options for development of risk arrangements for the IJB, with an update provided to the Health and Social Care Executive Group during 2015.
3.3 A number of proposals have been considered including:
· The need to develop a risk management strategy for the IJB
· Development of a risk appetite statement
· Development and review of the IJB corporate risk register
· Ensuring operational staff have clarity of direction around risk matters including incident reporting/ departmental risk register development etc.
Proposed Future Actions
3.4 As per the integration scheme a sub-group will be established to assume responsibility for the development and implementation of appropriate risk management within the IJB. This sub-group to include lead risk officers from both partners as well as voting and non-voting members of the IJB.
3.5 A workshop session be arranged to help establish the risk strategy and appetite of the IJB. This workshop will consider existing arrangements within the parties, the needs of the IJB and the outcomes would include:
· A statement of the IJB’s risk appetite and associated tolerances
· A description of how the systems currently used within the parties operate and how they will link with each other and the needs of the IJB
· A description of how the IJB’s system of risk management will work, including the methods for identifying, classifying and reporting risk
· What the reporting requirements of the IJB will be
· What potential exists for unifying risk strategy and systems across the partners
3.6 This workshop should ideally take place before July and after the partners have reviewed or updated their own risk management arrangements.
3.7 Implementation of the risk management strategy and policies will lead to the establishment of the IJB’s own risk register, to be updated as new risks transpire. This register will be focus on risks that the partners’ own registers do not address and will relate to the risks related to carrying out integration functions and decisions or actions that the IJB will need to implement to address such risks.
4. Governance Assurance
Consultation on this paper has been with the Governance and Assurance workstream, the Chief Officer, lead risk officers for both NHS and council.
5. Impact Assessment
As this report does not propose a change in policy/ strategy/ plan / project, it is not necessary to complete an Impact Assessment.
Author(s)
NAME / DESIGNATION / CONTACT DETAILSBruce McLintock / Partnership Finance Manager /
Approved by
NAME / DESIGNATIONKaty Lewis / Chief Finance Officer
Health and Social Care Integration
Appendices - none
Background Papers – none