Emergency Planning Risk Management Strategy - Reading Borough ...

V2Corporate Risk ManagementStrategyManaging the Risk and Realising theOpportunity Risk Managementwww.reading.gov.uk=Good managementRisk Management is Good ManagementPage 1 of 19

V2Contents1. Our Risk Management Vision 32. Introduction 43. The Strategic Risk Management Framework 54. Corporate Risk Management Strategy 6- Aims & Objectives5. Corporate Risk Management Policy Statement 76. Corporate Resilience Policy Statement 87. Corporate Health & Safety Policy Statement 98. Corporate Financial Management Policy Statement 109. Corporate Insurance Policy Statement 1110. Audit & Assurance Policy Statement 1211. Risk Management Roles and Responsibilities 1312. Risk management Training Programme 18Page 2 of 19

V2Our RiskManagement VisionOur vision for Reading is to ‘maintain andimprove the quality of life in Reading,embracing the challenges of a dynamic,inclusive urban community of the 21stcentury. Everyone will have the opportunityto benefit from all that Reading can offer.Everyone has a part to play in shaping ourfuture’.The Council has set a vision for what theorganisation will look like, and for where wewant to and need to be to deliver whatmatters most to the people of Reading: ‘Ahighly regarded, leading Council; ambitiousand focused on what matters most for ourcommunities, delivering value for money andquality services’.This Corporate Risk ManagementStrategy sets out the Council’sRisk management process and the stepsthe Council will take in identifying andmanaging risk within its activities.The Corporate Health & Safety policy formanaging health and safety through outthe Council in accordance with Healthand Safety at Work Act 1974.Resilience policy and responsibilities toensure we are able to respond effectivelyand deliver critical services in the eventof an emergency, whilst ensuringcompliance with the Civil ContingenciesAct 2004.However, we cannot stand still or afford to becomplacent. We need to be better atanticipating change and responding to it aswell as constantly improving what we do.To achieve this we want to ensure that themanagement of risk is inherent in our culture,to help deliver our corporate and futureobjectives.The Council recognises that we live in anuncertain world, where the people,environment and communities of Reading maybe at risk: Risk Management is a framework bywhich the Council can view, manage andrespond to risk, both threats andopportunities, in a robust, systematic anddocumented way.The benefits gained in managing risk areimproved strategic, operational and financialmanagement, continuity of knowledge andinformation management processes, improvedstatutory compliance, meeting best practiceand ultimately improving the services wedeliver.Jo LovelockLeader of the CouncilPage 3 of 19

V2IntroductionRisk Management is an integral part of theCorporate Governance framework. The RiskManagement team within Reading BoroughCouncil brings together the disciplines of RiskManagement, Internal Audit, EmergencyPlanning and Business Continuity. Otherdisciplines such as Health & safety andinsurance working under the Directorate ofCorporate Resources have explicit links withrisk management.This Corporate Risk Management Strategy willassist the Council in practicing good corporategovernance by reducing risk, stimulatingperformance throughout the council, improvingaccess to capital, enhancing the services andimproving leadership, transparency and socialaccountability.‘A highly regarded, leadingCouncil; ambitious andfocused on what mattersmost for our communities,delivering value for moneyand quality services’.How successful we are in dealing with the riskswe face can have a major impact on theachievement of our key objectives and servicedelivery to the Community. The Corporate RiskManagement Strategy will help support theagenda ‘Leading the Way’ and underpin theCouncil’s main priorities:Page 4 of 19

V2The Strategic Risk Management FrameworkCorporate RiskManagementStrategyHealth & SafetyAudit & AssuranceResilianceReadingCommunityFinancialManagementOperationalRiskInsuranceAt the heart of the risk management service is a focus on the following:A Customer Focus – One stop shop foradvice, guidance & trainingB Communications – Internet, Intranet,Newsletter, Guidance documents,BulletinsAssurance on our services provided by:Internal AuditCIPFA benchmarkingC Competence – Qualified & Trained staffD Compliance – Providing assurance ofcompliance with legislation and bestpracticePage 5 of 19

V2Corporate Risk Management StrategyAims and objectivesAims Create an environment where riskmanagement becomes an integral part ofplanning, management processes and thegeneral culture of the Authority ratherthan being viewed or practiced as aseparate function. Achieve better quality decision-makingthat will see a reduction in costs and anincrease in the probability of deliveringthe quality services, which the Council isaiming for. Work with partners, providers andcontractors to develop awareness and acommon understanding of the Council’sexpectations on risk management andbusiness continuity Minimising possible failure through athorough knowledge and acceptance ofpotential impacts of each major decisiontaken. Minimisation of injury, damage, loss andinconvenience to residents, staff, serviceusers, assets etc arising from orconnected with the delivery of Councilservices. Ability to respond to emergencysituations and/or business disruptions.Objectives Implement effective risk management asa key element of good governance andrigorous performance management. Consider risk is an integral part ofcorporate and business planning andservice delivery. Encourage considered and responsiblerisk taking as a legitimate response to Opportunity and uncertainty. Achieve better outcomes for the Councilthrough a more realistic assessment ofthe challenges faced, through improveddecision-making and targeted riskmitigation and control. Engender, reinforce and replicate goodpractice in risk management. Provide and use a robust and systematicframework for identifying, managing,responding and monitoring risk. Provide a comprehensive RiskManagement training and awarenessprogramme. To review and monitor our partnershipsand other stakeholders management ofrisk Ensure corporate wide awareness andunderstanding of the roles andresponsibilities in all areas of RiskManagement. Provide key performance riskmanagement information formanagement.Page 6 of 19

V2Operational RiskCorporate Risk ManagementPolicy StatementThe Council recognises that there are risksinvolved in everything it does and that it hasa duty to manage these risks in a balanced,structured and cost effective way. In doingso, the Council will better achieve itsobjectives and enhance the value of theservices it provides. Some risks will alwaysexist and can never be eliminated: theytherefore need to be appropriately managed.Risk management is about improving thequality of information about the likelihoodand consequences of these events occurringand subsequently using this information tomake informed decisions and judgements.Approval and publication of this PolicyStatement demonstrates this intention. ThePolicy is fully supported by Council Members,the Chief Executive and the CorporateManagement Team who are accountable forthe effective management of risk within theCouncil.The Council’s objectives will beachieved by: Establishing clear roles, responsibilitiesand reporting lines within the Councilfor risk management Incorporating risk management in theCouncil’s decision making andoperational management processes Reinforcing the importance of effectivemanagement of risk through training andproviding opportunities for sharedlearning Incorporating risk managementconsiderations into Service/BusinessPlanning, Project Management,Partnerships & Procurement Processes Monitoring risk managementarrangements on a regular basis Providing financial incentives tofacilitate the proper management of riskIn this way the Council will improve itsability to achieve its corporate objectivesand enhance the value of services it providesto the community.Page 7 of 19

V2ResilienceCorporate ResiliencePolicy StatementReading Borough Council is committed todeveloping and maintaining a prepared andresilient organisation. Resilience at ReadingBorough Council is about ensuring that we,as a council are prepared for any businessinterruption or emergency that may occur,both internally and/or externally to theCouncil that threatens our ability to exerciseour civil protection and/or ordinaryfunctions, as required by the CivilContingencies Act 2004.It is the Council’s policy to ensure that wecan continue to deliver our critical servicesand to support the community andemergency services before, during and afteran incident, in so far as reasonablypracticable. By taking a proactive approachto Resilience the Council will be able toprioritise, deliver and support the criticalactivities that both the Council and thecommunities of Reading rely upon.The Council’s objectives will beachieved by: Safeguarding, as far as practicable, thepeople, property, reputation andfinancial stability of the Council and thecommunities of Reading during and afteran emergency and to build communityresilience with the aim of lessening theimpact of any major incident upon ourcommunity and enhancing thecommunity’s ability to recover. To co-ordinate the council’s response toan emergency To co-ordinate the councils efforts inimplementing the requirements of theCivil Contingencies Act 2004 Give advice and assistance on BusinessContinuity Planning preparation Give advice and guidance to seniormanagers on Emergency & BusinessContinuity Planning and links to RiskManagement Ensuring staff are trained, capable andaware of their roles and responsibilitiesbefore, during and after an incident Actively participating in the ThamesValley Local Resilience Forum Producing and maintaining of Corporateand Service Area Emergency Plans.Page 8 of 19

V2Health & SafetyCorporate Health and SafetyPolicy StatementAll employees of Reading Borough Councilhave a responsibility to comply with allrelevant health & safety legislation and toensure that the Council conducts its workactivities in such a manner as to protect thehealth, safety and welfare of its staff,customers and visitors to Reading.The Council’s Health & Safety Team willensure that health and safety remains apriority and forms an integral part of theCouncil’s activities and decision-makingprocesses.To achieve our corporate objectives it isvital that we identify and assess risks andmanage these appropriately. This can beachieved through embedding our riskmanagement framework throughout thecouncil.Reading Borough Council will strive toachieve these aims by integrating safetymanagement into all levels of serviceplanning and delivery. To achieve its aims,the Council will set health and safety targetsand monitor its performance. The Councilrecognises that high standards in health andsafety are of equal importance andcomplementary to delivering a risk managedservice.The Council’s objectives will beachieved by: - Providing and maintaining plant andsystems of work that are safe andwithout risks to health. Making arrangements for ensuring safetyand absence of risks to health inconnection with the use, handling,storage and transport of articles andsubstances Providing such information, training andsupervision as is necessary to ensure thehealth, safety and welfare at work ofour employees. Maintaining any place of work under ourcontrol in a condition that is safe andwithout risks to health and the provisionand maintenance of the means of accessto and egress from it that are safe andwithout risks. Providing and maintaining a workingenvironment for our employees that iswithout risks to health and adequate asregards the arrangements and facilitiesfor their welfare at work. Bringing to the attention of allemployees that they as individuals havea legal responsibility to take care of thehealth and safety of themselves andothers, such as members of the public,who may be affected by their acts oromissions at work. By consulting with employees, others,such as members of the public and theirrepresentatives on all matters that maydirectly affect their health and safety.Page 9 of 19

V2Financial ManagementFinancial ManagementPolicy StatementThe Council’s budget strategy is designed tomeet the challenges ahead and provide someflexibility to deal with varying servicepressures, which may arise. Within the GeneralFund balance the Council holds a number ofother provisions and reserves to meet knownfuture liabilities and as a contingency againstspecific areas of risk.Detailed monthly budget monitoringarrangements are in place across the Council,which have been designed to provide an earlywarning of possible budget variations in orderthat early remedial action can be taken whereappropriate.During the year management will focusresources on key risk areas as part of theoverall monitoring and management ofservices so the risk of overspending isminimised.The Council has for many years undertaken aproactive approach to Treasury Managementand uses specialist advisors to assist theCouncil in maximising the funding position. Atpresent the Council’s long- term borrowingrequirement is fully funded at fixed interestrates.The Council’s objectives will beachieved by: - Optimising the balance betweenspending and tax levels. Hold balances to enable flexibility todeal with the risks the Council facesover the year. Containing demand led budgets(especially Community Care) Responding to the challenge ofSafeguarding Children Transforming and Reshaping ServicesProgrammes Managing the revenue impact of theCapital Programme Achievement of savings and drivingefficiency across the Council Mitigating the adverse impact of theeconomic slowdown such as decliningrevenue and capital income, andpotential service pressures Maximise efficiency and provide valuefor money including the identification ofsavings to help meet GovernmentEfficiency Targets. Strike the right balance betweenresources for day-to-day services andinvestment for the future.Page 10 of 19

V2InsuranceCorporate Insurance PolicyStatementThe availability of insurance is no substitutefor good risk management. By managing riskeffectively, service managers can substantiallyreduce the number and severity of losses. Thisin turn releases resources to enhance servicedelivery and resilience.The efficient handling of claims made againstthe Council’s insurance policies relies heavilyon the co-operation of service managers andtheir staff, through prompt reporting andinvestigation of incidents, completion ofclaim forms, and the supply of informationneeded in order to determine liability andquantum. The implementation of the CivilLitigation Protocol set demanding criteria andtimetables within which managers have tooperate.All services shall take all reasonableprecautions to prevent or mitigate losses orliability arising in connection with the insuredrisks and comply with all statutory obligationsand regulations imposed by any authority.The Council’s objectives willbe achieved by: Providing specialist insurance and riskmanagement advice to all councilservices. Working with the Council’s insurer, tohandle all claims made against thecouncil’s insurance programme. Provision of advice on risk retention orrisk transfer to the insurance market. Provide service managers across theCouncil with pro-active advice:- To inform their decision making- To enable activities to proceed in asafe manner, with proper financialprotection (insurance arrangements) inplace- To reduce the frequency and severityof losses- To protect the reputation of theCouncil- To enable compliance with CivilLitigation ProtocolsPage 11 of 19

V2Audit & AssuranceAudit & Assurance PolicyStatementThe authority is concerned with themanagement of risks impacting on theachievement of corporate and serviceobjectives. Effective risk management willalso enhance service delivery, safeguardemployees, protect assets, preserve andmaintain effective stewardship of public fundsand promote a favourable corporate image.There is a strong link between Internal Auditand risk management. Internal Audit has toprovide assurance to the Council’s Audit &Governance Committee on the internal controlsystems that are controlling the risks to theCouncil achieving its objectives.Internal Audit is well placed to provide theauthority with assurance, advice, independentassessment and scrutiny over its use,management of resources, performance andrisk management arrangements.Internal Audit’s role is to provide independentassurance to management that there aresufficient controls operating effectively tomanage the organisation's risks.The Council’s objectives will beachieved by: -The role of the Internal Audit service atReading with respect to risk managementwill be to provide independent assurancethat: The risk management processes thatmanagement has put in place within theorganisation (covering all riskmanagement processes at corporate,directorate, service, business processlevel, etc) are operating as intended. That these risk management processesare of sound design That a sound framework of controls is inplace to sufficiently mitigate those risksto an acceptable level. Develop risk based internal auditing. Audit the risk management process andits application. Challenge established risk managementprocesses, risk identification andevaluation, and provide assurance toofficers and Members on theeffectiveness of controls.Page 12 of 19

V2Risk Management roles and responsibilitiesThis strategy details our responsibilitiesfor risk management, including resilience,health and safety and financialmanagement for all levels of managementand employees.Leader of the CouncilTo ensure the work of Cabinet and FullCouncil is conducted in accordance withCouncil policy and procedures formanagement of risk and with due regardfor any statutory provisions set out inlegislation.Chief ExecutiveThe Chief Executive takes overallresponsibility for the Council’s riskmanagement performance and inparticular is required to ensure that: Decision-making is in line with Councilpolicy and procedures for managementof risk and any statutory provisions setout in legislation; Adequate resources are made availablefor the management of risk; Management of risk performance iscontinually reviewed; Suitable action plans for improvinghealth and safety are developed andimplemented; There is an understanding of the risksfacing the Council and the Borough. There is an active and supporting roleprovided by Council Officers to thecommunities of Reading in times ofemergencyCabinet Approve and review the Council’s riskmanagement strategy Require officers to develop andimplement an effective framework forrisk management Have an understanding of the risksfacing the Council and the Borough ofReadingMembers Take reasonable steps to consider therisks involved in the decisions taken bythem Have an understanding of the risksfacing the Council and the Borough. Take an active and supporting role toCouncil Officers and communities ofReading in times of emergency Ensure that all the decisions they makeare in line with Council policy andprocedures for health and safety andany statutory provisions set out inlegislation.Audit & Governance Committee Agree and endorse the Corporate RiskManagement Strategy Review and scrutinise theimplementation and effectiveness of theCorporate Risk Management Strategy Monitor the Council’s Strategic RiskRegister Receive an annual review of theCouncil’s approach to CorporateGovernance, including risk management,from Internal Audit.Page 13 of 19

V2Director of Corporate Resources Director of Corporate Resources as theDirector with existing responsibility forEmergency Planning, Insurance, Health& Safety, Risk Management and InternalAudit, is the Corporate sponsor and willlead on risk management issues.The key tasks of the Director of CorporateResources are to: Ensure that a Risk Management Policyand Strategy is developed and reviewedannually to reflect the changing natureof the Council. Inform CMT on a regular basis ofdevelopments in the risk managementprocesses and outcomes. Champion the process of riskmanagement as good managementpractice and a valuable managementtool.Corporate Management Team Approve the corporate risk managementstrategy and related policies andprocedures Promote and oversee theimplementation of the Corporate RiskManagement Strategy Take a lead in identifying and analysingsignificant corporate and crosscuttingrisks and opportunities facing theauthority in the achievement of its keyobjectives; determine RBC’s approach torisk and set priorities for action. Support and promote risk managementthroughout the Council. Ensure that (where appropriate) “keydecision” reports include a section todemonstrate that arrangements are inplace to manage any risks. Identify and manage the Strategic RiskRegister on a six monthly basis Have an understanding of the risksfacing the Council and the Borough ofReadingDirectors Ensure that the risk managementprocess is an explicit part of all majorprojects, partnerships and changemanagement initiatives within theirDirectorates. Responsible for production, testing andmaintenance of business continuityplans and allocation of resources To be trained and be an active memberof the Council’s Emergency ManagementTeam (EMT) in order to effectivelyrespond to an emergency situation orbusiness disruption Ensure that Risk Management roles andresponsibilities and performancemanagement targets are included withinappropriate job descriptions Ensure the Corporate Health and SafetyPolicy and any guidance/procedures areimplemented and managed effectivelywithin their areas of responsibility To have an understanding of the risksfacing the Council and the Borough To implement the Corporate Health andSafety Policy and proceduresStrategic Risk ManagementGroup Identify any trends, which require crossdirectorateaction and make appropriaterecommendations to CMT. Co-ordinate Risk Management activitiesacross the council Share good practice on all aspects ofRisk Management Feed into strategy development andreview Assess the Strategic, Directorate &Service Risk Registers Assess Resilience PlansPage 14 of 19

V2Heads of Service/ManagersWill take primary responsibility foridentifying and managing significantstrategic and operational risks arisingfrom their service activities. They willensure that their teams carry out riskassessments where appropriate as aroutine part of service planning andmanagement activities. Promote Risk Management and ensurethat the strategy is implementedeffectively across services Ensure that all employees are aware ofthe risk assessments appropriate to theiractivity To report and investigate accidents andincident, diseases and dangerousoccurrences in accordance with RBCprocedure and implementrecommendations and remedial actionfollowing the accident, whereappropriate Review Service risk registers quarterly Responsibility for production, testingand maintenance of Business ContinuityPlans Provide support and resources in orderto effectively respond to an emergencysituation or business disruption To ensure that all employees are madeaware of their responsibilities and dutiesin respect of health, safety and welfareand that they are provided withsufficient information, instruction,training and supervision to enable themto carry out their duties effectively andsafelyAll Staff To report potential hazards to linemanagers To follow the Corporate Health andSafety Policy and procedures formanaging health and safety To support continuous service deliveryand any emergency response To work in a safe manner not puttingyourself or others at riskSchoolsAll schools should be aware of theCorporate Health and Safety Policy andhave a local school policy in place.Schools should be aware of the in theSchools Emergency response Plan(Rainbow Plan) and have localarrangements in place.Partners and ContractorsThe Council expects third parties uponwhich it relies (including contractors,partners, associates and commissionedindependents) to: Work safely, comply with all relevanthealth and safety legislation and have inplace appropriate sources of health andsafety advice. Provide and evidence allBusiness Continuity procedures thatrelate to services provided andadditional support that has been agreed Comply with the Risk Managementpolices and procedures and demonstrateexemplary standards in health andsafety. Establish training requirements withregard to strategy implementationDirectorate Risk ChampionsDirectorate Risk Champions will representtheir Directorate on the strategic RiskManagement Group and are responsiblefor maintaining the Directorate’s riskregister and action plan. This will involveensuring that the risk register is reviewedfrequently, are kept up to date with newand emerging risks and receive progressreports from action owners on riskmitigation.Directorate risk champions are responsiblefor ensuring that risk registers arereported to the SRMG annually for review.Page 15 of 19

V2Internal Audit Provide assurance on theimplementation of the Corporate RiskManagement Strategy Provide assurance on the robustness ofthe Council’s management of risks Provide assurance on Resilience(Emergency Planning and BusinessContinuity)Corporate (EmergencyPlanning) & Risk ManagementOfficer Support the process for the developmentof the Corporate Risk ManagementStrategy Promote, support and oversee itsimplementation Monitor and review the effectiveness ofCorporate Risk Management Strategy Identify and communicate RiskManagement issues to services, projectmanagers, contractors and partnerorganisations. Assist services in Risk Managementactivity through training and/or directsupport To ensure compliance with legislationthrough monitoring systems, Health &Safety, Risk Management and the CivilContingencies Act 2004 Preparation of risk registers for services,projects and partnershipsPage 16 of 19

V2InsuranceResilienceThe Principal Accountant (Insurance) willprovide advice on operational risk, riskretention and transfer, by placingtransferred risk with a reputable insurer. Provision of operational riskmanagement advice and guidance Working with the Council’s insurer,provide claims management andinvestigation services for claims madeby and against the Council under itsinsurance policies. Providing advice and guidance withregard to insurance requirements,indemnities and legal liabilities Managing the day to day use of theinternal insurance fund for payment ofself-insured losses Provision of a buy back insurance servicefor schoolsHealth & SafetyThe Corporate Health and Safety Managerand officers will act as the Council’scompetent persons as required by theManagement of Health and Safety at Workregulations. The Manager and team will provideexpert health and safety advice andsupport to all levels within theorganisationThe Emergency Planning Team will aim toensure that RBC is prepared and able torespond to an emergency situation orbusiness disruption, in compliance withthe CivilContingencies Act 2004 through theprovision of: Expert advice, assistance and support toMembers, Officers and Service Areas inthe event of an emergency and/orbusiness disruption Advice and assistance in establishing theCouncil’s Critical Services and functions Provide expert professional advice andguidance Expert advice and support onpreparedness and response to all Councilservices and teams Production and validation of plans andprocedures, including training andawareness 24hr/365 Days integrated LocalAuthority on-call service Facilitation of Resilienceimplementation, awareness, trainingand exercising Regular monitoring, review and refreshof Resilience plans, procedures andreports Develop Health and Safety Policy andprocedures Support the health and safety trainingprogramme Carry out health and safety audits andinspections of Council establishments Evaluate accident/incident near missreports and carry out accidentinvestigations of serious accidents Liaise with enforcing authoritiesPage 17 of 19

V2Risk Management training programmeThe Risk Management Group will annuallyset out a risk management trainingprogramme which will includes businesscontinuity.The programme will contain a mixture ofboth formal and informal trainingsessions. The programme will remainflexible and be able to adapt to changingrisks within the business.Managers will be responsible for ensuringemployees within their departmentreceive adequate Risk Managementtraining and that records of training areretained.The team offers risk related training onHealth & safety, Fire Risk and the controlof substances hazardous to Health.Emergency planning training is deriveddirectly from the latest national guidancepublications; 'Emergency Preparedness'and 'Emergency Response and Recovery'and other relevant guidance. Training iscommissioned via the Emergency PlanningCollege and collectively by subject areaexperts within the Thames Valley LocalResilience Forum. Local in house specifictraining on operational awareness isavailableFurther employee training will be subjectto their role and responsibility’s for RiskManagement issues.The Council’s Learning and Developmentand Health & Safety Teams provide theHealth & Safety training programme. TheL&D and H&S teams offer a number ofscheduled courses, training can also bedelivered within teams. All new startersshould automatically be invited to H&SLevel 1 course.Monitoring and ReviewA framework will be put in place to ensure effective monitoring of the risk managementwithin the council.Risk Management Support and AdviceThe following risk management functionsare within the Directorate of CorporateResources Risk management Insurance Resilience: Including Business Continuityand Emergency Planning.Risk Management Guidance can be foundon IRIS under Corporate Resources/RiskManagement.For further information about thisdocument please contactPaul Harrington, Head of Audit and RiskManagement. Brett Dyson, EmergencyPlanning & Risk Officer. Derek Crisp,Principal Accountant Insurance). RobinPringle, Health & Safety Manager.Managing the Risk and Realisingthe OpportunityRisk Management is Good ManagementPage 18 of 19

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