August
June Risk Risk
Risk Title Description of Risk Director Lead Actual Risk
Ranking Movement
Ranking
Appendix 1
Stoke on Trent PCT Corporate Risk Register Report – as at
August 2007
Risk Title Description of Risk Director June Risk Risk August
Lead Ranking Movement Actual Risk
Ranking
Pandemic Flu Plan High Level of sickness in staff and
not completed / patients - requirement for PCT
updated business continuity plan. Disruption Giri
25 20
Rajaratnam
of services and inability to provide
full range of care
Post Exposure Currently only available for cases of
Prophylaxis (PEP) sexual exposure via GUM Dept.
Giri
for HIV following The guidance states needs to be 16 16
Rajaratnam
Sexual Exposure available from A&E.
Westcliffe heating Failure of heating system. Only
Tina
system. remedial works carried out due to 16 16
Cookson
closure. System repairs limited
Westcliffe Fire Deterioration of structure could lead
Tina
Escapes to failure. 16 16
Cookson
Patients being Patients who access care facilities
injured from slips, often have some level of disability
trips and falls or reduction in mobility. Hence have Provider
16 16
a greater chance of suffering a slip, Services
trip or fall (especially Intermediate
Care patients)
Infectious Disease No formal service level agreement
advice in place for agreed infection control
doctor sessions This situation will
impact upon infection control
Jan Warren 20 16
committee and professional support
for the infection control nurses.
Transfer of care High level of delayed discharges -
both acute and non-acute create a
clinical and financial risk and
Jan Warren 16 16
potential problems with reduced
acute capacity and Fit For the
Future
Lack of agreed Lack of agreed action plan to
action plan to address issues identified from the
address Infection North Staffs decontamination data
Control issues collection exercise
identified from the Jan Warren 20 16
North Staffs
decontamination
data collection
exercise
Page 1 of 3
August
June Risk Risk
Risk Title Description of Risk Director Lead Actual Risk
Ranking Movement
Ranking
Failure to reduce The level of Health Care Acquired
Health Care Infections within the health
acquired infections economy is above the agreed
performance target
Jan Warren 16 16
Lack of activity Lack of complete and up to date
information from activity information from providers
providers prevents the PCT from accurately
valuing its financial position
Jim Rowley 20 15
Achieve financial Risk that the PCT does not achieve
surplus financial surplus (£2m) as set out in Jim Rowley 15 15
the financial plan
Failure to Failure or interagency
adequately arrangements to properly safeguard
safeguard children vulnerable children. High workload
Jan Warren 15 15
within Stoke on of Child Protection team failure to
Trent PCT commission a paediatric liaison
service
The inability to The inability to undertake effective
Giri
undertake effective TB contact tracing due to reduction 16 12
Rajaratnam
TB contact tracing in TB team at UHNS
Failure of Floor The risk is that the Floor Target
Target Action Plan Action Plans (FTAP) for Infant
Giri
to deliver Mortality, Life Expectancy, Teenage 16 12
Rajaratnam
Pregnancy don't deliver the
expected benefits
Failure of staff to Failure of staff to undertake
attend mandatory required mandatory training and / or
training failure to record Richard
16 12
Carroll
Teenage Risk of insufficient appointments.
Giri
Pregnancy Service issues requiring service 15 12
Rajaratnam
review
Continuing Care Financial risk of up to £3m, should
Financial Risk the DOH introduce revised
guidance regarding eligibility for
continuing health care and new fees
for NHS funded nursing care. The Jim Rowley 16 12
PCT view is that the risk is less than
the £3m identified by the SHA, and
provision has been made for £600k
for 2007/08.
The PCT does not PCT does not sustain Financial
sustain Financial Surplus. Critical co-dependency on
Surplus business plans to support demand
Jim Rowley 15 12
management schemes, securing
early agreement with providers in
changes to pathways
Page 2 of 3
August
June Risk Risk
Risk Title Description of Risk Director Lead Actual Risk
Ranking Movement
Ranking
Failure to achieve Delays in patients seeking tests and
48 hour access advice from GUM leads to spread of
target in GUM infections resulting in complications.
Giri
A public health issue with 20 9
Rajaratnam
increasing numbers of infections
diagnosed and many not known
(undiagnosed).
Achieving demand Impact on £5m savings expected in
management and LDP
secondary-to- Tina
16 9
primary care shift Cookson
Re-planning non- A&E targets are not met and £1.5m
elective pathways savings expected in LDP not Tina 9
16
achieved Cookson
Transfer of GP The Directorate of Provider
practices from Services is continuing to manage
SOTPCT to another these practices during the transfer
provider(s) from the PCT to another provider. Tina
16 8
The process of transfer is having Cookson
significant impact due to a reduction
in management and admin staff
causing reduced capacity.
Improving Mental Failure to meet NSF targets and Tina
16 6
Health services services remain too bed focused Cookson
Choosing Health Choosing Health plans slower to
Giri
progress implement than planned with lack of 16 4
Rajaratnam
associated health improvement
Page 3 of 3