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Leading Council

VIEWS: 2 PAGES: 71

									                                Priority 7. Be a leading council

Contents                                                                            ‘RAG’     Page
                                                                                    Rating   Number

1. High Risk Budgets - Revenue
     CSF Further Management Action                                                            5
     Waste Management                                                                         5
     Routine Maintenance                                                                      6
     Winter Maintenance                                                                       6
     Firefighters Pay                                                                         7
     Capital Financing and Interest on Balances                                               7


2. Other Key Budget Variances - Revenue
     ACS Support Services                                                                     8
     Strategic Planning and Information                                                       8
     Information Technology                                                                   8
     Civic Buildings                                                                          8


3. Capital Budget
     Non Schools capital maintenance budget                                                   8
     PC Purchasing project                                                                    8
     Central Resource Library                                                                 8


4. Prudential Indicators
     Capital Financing Indicators                                                              9
     Treasury Management Indicators                                                           11
     Performance & activity measures                                                          12
     Lending, Borrowing and Risk                                                              15
     Speed of Payments                                                                        16
     Days debt overdue to the County Council                                                  18
     Debt overdue by up to three months                                                       19
     Debt over three months but under nine months overdue                                     20
     Debt over nine months overdue                                                            21
     Improvement measures                                                                     22
     Accounts Payable                                                                         23


5. Indicators & Performance Measures
     % of voluntary turnover                                                         ↑        24
     Agency spend (£)                                                                ↓        25
     Agency spend (%)                                                                ↓        25
     Monthly Sickness Monitoring - All HCC                                                    26
     Average days sickness per employee                                              ↑        27
     Staff Vacancies                                                                 ↑        28
     PMDS                                                                                     29
     NI 178 - Bus services running on time                                           ↓        29
     NI 179 - Value for money – total net value of on-going cash releasing value     ↑        30
      for money gains that have impacted since the start of the 2008-9 financial
      year

                                                   1
     Residual household waste per household                                           ↑   31
     NI 193 - Percentage of municipal waste land filled                               ↑   32
     Pathfinder (Corp)                                                                ↔   32
     Hertfordshire Waste Procurement Programme                                        ↔   33
     Carriageway Maintenance - Maintenance Programme                                  ↑   34
     Carriageway Maintenance - Condition Targets                                      ↔   34


6. Council for the Future
     Simplifying the customer journey – Workstream (1)                                ↔   34
     Localism and engagement - Workstream (4)                                         ↔   35
     Enhanced commissioning and procurement - Workstream (5)                          ↔   35
     Best use of assets - Workstream (6)                                              ↔   36
     Organisational design and operation - Workstream (7)                             ↔   37
     Working for Hertfordshire County Council - Workstream (8)                        ↔   37
     Right level of publicly financed services - Workstream (9)                       ↔   38


7. Resilience & Health and Safety indicators
     HSE notifiable accidents                                                             39
     Violent incidents by department (Employees only)                                     40
     HSE notifiable violent incidents by school category                                  40


8. Customer Care and Public Satisfaction and Comms
     Complaints - Stage 1                                                             ↓   41
     Complaints - Stage 2                                                             ↓   42
     Complaints - Stage Ombudsman                                                     ↓   43
     Compliments                                                                      ↓   44
     Customer Satisfaction - Web                                                          44
     Customer Satisfaction - Telephone                                                    46
     Avoidable contact                                                                    47
     Comms Department – Department, Number of Articles                                    49
     Comms Department -EAV by Title                                                       50
     The Big 6                                                                            51
     Satisfaction of Customers                                                            52


9. Risk Register
     CSHF0002 - Economic conditions or poor investment decisions give rise to             53
                                                                                       ↔
      poor investment performance of the LG pension fund
     HFRS0004. To ensure that national training requirements are met and that         ↔   53
      all operational personnel are fully trained and competent in their roles.
     HP0014. Health and Safety risks are identified but the risk of them not being        54
      actioned exists. These include Asbestos, Legion Ella and Glass Safety Filming.
      Includes contractors working in schools using devolved/delegated funds not       ↔
      complying with H&S policies and regulations and failure to procure property
      services contracts for asbestos removal, R&M and capital works.
     ICT0008. Loss/Disclosure of personal data extracted from computer                    55
                                                                                       ↔
      systems, including the electronic transfer of personal data by email.
     HFRS0011. To ensure that service delivery is aligned to local needs and              55
      priorities within the context of the efficiency savings required by central      ↔
      Government of public services.
     HP0012 - The recession and credit crunch will cause a severe drop in land            56
      values and demand for sales resulting in a dramatic reduction in anticipated     ↔
      sales of assets

                                                   2
   SERMU0001 - As a result of a failure of the Local Resilience forum to provide         56
    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
   CSHF0005 - Failure of budgetary control leading to overspending                   ↔   57
   CSCE0009 - Failure to comply with safe staffing legislation and agreed HCC            57
    policy and practice leads to lack of protection for HCC service users (e.g.       ↔
    children and vulnerable adults)
   CSCE0002 - Legal action is instigated against the authority for policies or           58
    decisions that are judged to be discriminatory or non-compliant with              ↔
    equalities legislation (incl equal pay risks)
   CSCE0003 - As a result of a failure to undertake the relevant actions in the          59
                                                                                      ↔
    Use of Resources Improvement Plan, the accounts remain qualified.
   CSCE0007 - Failure to attract, recruit and retain the right people and right          60
    skills particularly in shortage and key/specialist skill areas - groups of
                                                                                      ↔
    employees leave HCC at the same time or over a short period (COVERS
    CSHF0003, HR0008, HR0009, ICT0004]
   CFTF0006 - Given the size of the ‘Council for the Future’ transformation              61
    programme it is likely to include a number of projects that have the potential
    to lead to industrial action if satisfactory terms of agreement are not
    reached with trade unions - the most immediate risk being failure to gain         ↔
    trade union agreement on redundancy provisions. A further potentially
    significant influence on industrial relations at the local level stems from any
    change(s) to the nature of the national industrial relations climate.

   CFTF0003 - As a result of a significant proportion of the Council’s                   62
    expenditure being accounted for by externally commissioned services -
    when compared to spend on directly employed staff – there is a risk that
    insufficient investment in commissioning/contract management skills and           ↔
    competencies may result in only the partial meeting of savings target(s), for
    example, the inability to effectively manage external relationships in a
    challenging economic climate.
   CFTF0005 - As a result of the influence from the changing national political          63
    context, there is a risk that progress with ‘Council for the Future’
                                                                                      ↔
    transformation projects may be adversely impacted upon - particularly in
    response to any changes to local finances and/or decision making.
   AUDIT0001 - As a result of the current recession there is an increased risk           64
                                                                                      ↔
    that the Council experiences significant fraud
   BS0001 - As a result of activity from our competitors within the private              65
    sector and manoeuvring within the public sector. There is a risk that
                                                                                      ↔
    competitors may attract HBS existing customers putting pressures on the
    services ability to meet targeted contributions
   CFTF0007 - As a result of the strong financial thrust for change the most             66
    serious risk would come from failure to deliver the efficiency/ effectiveness
    savings identified in the ‘Council for the Future’ programme. There is an
    additional associated risk that if transformation is not effectively managed
    from a cultural, as well as operational perspective, the values underpinning      ↔
    ‘Council for the Future’ will fail to be taken up (lost), which may have
    negative consequences for the Council in terms of savings delivery, service
    quality and staff performance - for example, Corporate Plan and
    Safeguarding.
   HC0001 - As the current funding arrangements are due for review in 2011,              67
    there is a risk of the non renewal of government funding (non renewal of the
    circa £1.3M grant for HCC) as a result there would be a need for a significant
                                                                                      ↑
    increase in the cost of school meals particularly to parents of primary school
    children, which could lead to a decrease in the uptake making the business
    less viable.
   SERMU0002 - As a result of a failure to prepare adequate Corporate and            ↑   68

                                                 3
    departmental eneric BCP plans. There is a risk that, should a major incident
    take place (to building, technology & 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. (FORMALLY
    SERM0005)
   ICT0009 - Virus attack or security breach - hacking or malicious internal              68
                                                                                       ↔
    action - which causes significant service disruption
   CFTF0001 - As a result of HCC relying heavily on the goodwill and                      69
    commitment of staff across all areas of the organisation – with colleagues
    frequently working in excess of their contractual hours – there is a risk that
    transformative change, particularly change predicated on reducing the
                                                                                       ↔
    Council’s operating costs, will unsettle staff and their relationship with the
    organisation, potentially resulting in reductions in service performance and a
    negative internal perception of HCC’s reputation as a high standard
    employer.
   CFTF0002 - As a result of the need to retain the right people to deliver               70
    ‘Council for the Future’, there is a risk that if staff do not have a good
    understanding of the change programme, how they can contribute to its
                                                                                       ↔
    development and the shape HCC will take in the future, skilled and
    experienced staff crucial to leading and driving operations in the new
    organisation will leave.
   CFTF0004 - As a result of complex public perceptions concerning (reduced)              71
    levels of service delivery for Hertfordshire's communities – including the
    impact of changes to HCC’s workforce size and structure (i.e. redundancies)
                                                                                       ↔
    – there is a risk that failure by the Council to engage with its stakeholders, -
    informing them about transformation - may result in significant damage to
    its reputation.
   BS0021 - A reduction in departmental budgets will reduce Reprographics                 71
    turnover resulting in a reduction of profit                                        ↔




                                                  4
High Risk Budgets – Revenue

                                        CSF Further Management Action

                                        CSF Further Management Action

                                                  Projected Spend        Latest Approved Budget

                       0
                                2009/10         QUARTER 1         QUARTER 2        QUARTER 3         QUARTER 4
              (400,000)        OUTTURN
     £'000




              (800,000)

             (1,200,000)

             (1,600,000)


                                                     Commentary
 £1.110 million or 88.80% overspend

  The Director of Children, Schools & Families has set a target of £1.25 million to be achieved by the department from
 in-year savings, from freezing expenditure where possible and other courses of action still to be identified. So far
 savings of £140,000 against this target have been reflected in the variances reported above. The remainder has yet to
 be found.


                                               Waste Management

                                               Waste Management

                                                Projected Spend        Latest Approved Budget

             38,000
             37,000
             36,000
     £'000




             35,000
             34,000
             33,000
             32,000
                           2009/10          QUARTER 1          QUARTER 2          QUARTER 3          QUARTER 4

                                                     Commentary
 £0.103 million or 0.27% underspend

 £100,000 of the savings for Waste Management will be made by drawing down funds from a balance sheet provision.
 The other £3,000 are apportioned support cost reductions.




                                                     5
                                              Routine Maintenance

                                      Routine Maintenance (incl. CAT 1)

                                              Projected Spend         Latest Approved Budget

              21,000
              20,000
              19,000
      £'000




              18,000
              17,000
              16,000
              15,000
                          2009/10          QUARTER 1         QUARTER 2         QUARTER 3       QUARTER 4

                                                    Commentary
£509,000 or 2.84% underspend

£500,000 of the routine maintenance savings will be achieved cutting back on sign cleaning and drawing down from
balance sheet provisions. The other £3,000 are apportioned support cost reductions.


                                              Winter Maintenance

                                              Winter Maintenance

                                              Projected Spend         Latest Approved Budget

              5,000
              4,500
              4,000
     £'000




              3,500
              3,000
              2,500
                         2009/10          QUARTER 1          QUARTER 2          QUARTER 3       QUARTER 4

                                                    Commentary
£0.003 or 0% overspend

£3,000 of savings are apportioned support services cost reductions.




                                                    6
                                                   Firefighters Pay

                                                   Firefighters Pay

                                                Projected Spend         Latest Approved Budget

             26,500

             26,000
     £'000




             25,500

             25,000
                          2009/10           QUARTER 1           QUARTER 2          QUARTER 3          QUARTER 4

                                                      Commentary
£200,000 or 0.46% underspend

The underspend was as a result of vacancies until August 2010 when recruit squad joins.


                                  Capital Financing and Interest on Balances

                                    Capital Financing & Interest on Balances

                                                Projected Spend        Latest Approved Budget

             44,000
             40,000
     £'000




             36,000
             32,000
             28,000
                          2009/10           QUARTER 1          QUARTER 2           QUARTER 3          QUARTER 4
                         OUTTURN

                                                      Commentary
£0.775 million or 1.94% underspend

The net forecast underspend of £775,000 mainly results from the impact of an anticipated reduction in short term
interest rates compared to the original estimates. The 2010/11 Original Estimates assumed that average short term
interest rates would be 1%. Base Rate is currently still at 0.5% and is forecast to remain so for some months to come. It
is therefore likely that short term rates will average at less than 1% for 2010/11. Although this will result in a loss of
investment income to the Council, this loss would be more that offset by the resulting reduction in the interest
allocations to schools, which were also set at 1%.




                                                     7
Other key budget variances – Revenue
Other variances exceeding £250,000 related to this priority are:

     ACS Support Services - a planned underspend of £350,000 comprises £250,000 of reduction in
      Learning and Development commitments and £100,000 from bringing forward a review of the
      current organisation structure in the Care Practice team.
     Strategic Planning and Information – a planned underspend of £291,000 will be achieved by drawing down funds
      from the provision for public inquiries in order to produce a revenue saving.
     Information Technology – a planned underspend of £500,000 has been identified from the ICT investment fund.
     Civic Buildings – a planned underspend of £400,000 has been identified from a review of the
      arrangements for security and guarding of HCC premises, including vacant property for disposal.

Key budget variances – Capital

Variances exceeding £250,000 on capital projects related to this priority are:

          £950,000 of the Non Schools capital maintenance budget has been frozen to create a planned underspend in
           order to contribute to overspends elsewhere.
          A hold on expenditure is resulting in a £600,000 underspend on the PC Purchasing project.
          There is projected slippage of £339,000 on the relocation of the Central Resource Library.




                                                      8
Prudential Indicators
                                           th
PRUDENTIAL INDICATORS 2010/2011 – 30 June 2010
The Prudential Code requires the Council to set a range of prudential indicators to demonstrate that the level of capital expenditure is affordable, prudent and sustainable. Performance is
measured against a range of prudential financial indicators and factors that must be taken into account in setting treasury management decisions.

The prudential indicators were approved by the County Council on 23 February 2010 and are set out in the Integrated Plan Part C, The Prudential Code for Capital Finance and Treasury
Management Strategy. The following tables monitor performance against the approved prudential indicators.

1. Capital Financing Indicators

                                                                                                                   Budget         2010/11       2010/11          2010/11       2010/11
                                                                                                    Integrated
                        Indicator                                 Description                                     2010/11            Q1             Q2             Q3             Q4
                                                                                                     Plan Ref.
                                                                                                                     £M              £M             £M             £M             £M
          Indicators 1 to 3 demonstrate the affordability and sustainability of the capital programme. The projections for financial years 2010/11 to 2012/13 are set out in the
          Integrated Plan.
      1   Capital Expenditure                     Monitors capital expenditure for 2010/11        2.4 Table 1     175,527         212,637
                                                  against the projections set out in the
                                                  Integrated Plan.
      2   Capital Financing Requirement           Monitors the Council’s underlying need to       2.5 Table 2     669,437         659,460
          (CFR)                                   borrow for capital purposes for 2010/11                                       (provisional)
                                                  against the projections set out in the
                                                  Integrated Plan
      3   Ratio of financing costs to net         Monitors the percentage of revenue budget       2.7 Table 3      1.94%           1.94%
          revenue stream                          set aside to service capital financing costs
                                                  (borrowing costs net of lending income) for
                                                  2010/11 against projections set out in the
                                                  Integrated Plan.
          Treasury Position: The Treasury Management Prudential Indicators are set to contain lending and borrowing activities within approved limits. The indicators are set at a
          level that will provide enough flexibility for effective treasury management whilst managing the risk of a negative impact on the Council’s overall financial position in the
          event of adverse movements in interest rates or borrowing decisions. The indicators are also used to demonstrate that Net Borrowing (4C) does not exceed the Capital
          Financing Requirement (2). The projections for financial years 20010/11 to 2012/13 are set out in the Integrated Plan.
    4A    Borrowing                               Monitors gross borrowing limit for 2010/11      5.2 Table 7     381,000         290,785




                                                                                                9
                                           against the projections set out in the
                                           Integrated Plan
4B   Investments                           Monitors estimated lending for 2010/11                5.2 Table 7   30,000        95,458
                                           against the projections set out in the
                                           Integrated Plan
4C   Net Borrowing (4A – 4B)               Indicator 4A less 4B                                  5.2 Table 7   351,000      195,327
4D   Net Borrowing Less than CFR           Indicator 2 compared to 4C                                                          


                                                                                                             Budget           2010/11        2010/11   2010/11   2010/11
                                                                                                 Integrated
                   Indicator                               Description                                      2010/11              Q1             Q2       Q3        Q4
                                                                                                  Plan Ref.
                                                                                                               £M                £M            £M        £M        £M
     Borrowing:     Indicators 5 and 6 control the overall level of borrowing. The limits for 2010/11 to 2012/13 are set out in the Integrated Plan.
 5   Authorised Limit (against maximum     Monitors the borrowing limit for 2010/11              5.5 Table 8   441,000      441,000
     position)                             beyond which borrowing is prohibited
                                           without Member approval.
 6   Operational Boundary                  Monitors the estimated external debt for the          5.5 Table 8   411,000      411,000
                                           financial 2010/11. This is not a limit and
                                           actual borrowing can vary. This estimate acts
                                           as an indicator to ensure the authorised limit
                                           is not breached.




                                                                                            10
2. Treasury Management Indicators

                                                                                                  Integrated         Limit        2010/11      2010/11       2010/11      2010/11
                    Indicator                                   Description
                                                                                                   Plan Ref.       2010/11          Q1            Q2           Q3           Q4
       Interest Rate Exposure:       Indicators 7 and 8 limit the Council’s exposure to both fixed and variable interest rate movements. The limits for 20010/11 to 2012/13 are set
       out in the Integrated Plan.
   7    Upper limit on fixed interest rates    Monitors the limits set for 2010/11 for the           5.6 Table 9     100%          94%
       (against maximum position)              volume and value of the lending /borrowing                          £M 381,000   £M 272,875
                                               portfolios that may be committed for fixed
                                               interest rate investments or borrowing
   8    Upper limits on variable interest      Monitors the limits set for 2010/11 for the           5.6 Table 9      30%          6%
       rates (against maximum position)        volume and value of the lending /borrowing                          £M 114,300   £M 18,000
                                               portfolios that may be committed for variable
                                               interest rate investments or borrowing

                                                                                              Integrated         Limit        2010/11         2010/11      2010/11       2010/11
                    Indicator                                   Description
                                                                                               Plan Ref.       2010/11           Q1              Q2           Q3            Q4
       Maturity structure of fixed rate borrowing (against maximum position): Indicator 9 limits the Council’s exposure to large fixed rate sums falling due for refinancing in
       the same period. The indicators are set relatively high to give the council enough flexibility to respond to opportunities to repay or reschedule debt during the financial
       year, while remaining within the parameters set by the indicators.
 9A    Under 12 months                                                                       5.7 Table 10        25%             2%
 9B    12 months to 2 years                                                                         5.7 Table 10      40%          0%
 9C    2 years to 5 years                                                                           5.7 Table 10      60%          0%
 9D    5 years to 10 years                                                                          5.7 Table 10      80%          0%
 9E    10 years and above                                                                           5.7 Table 10     100%          98%
       Investments greater than 364 days (against maximum limit): Indicator 10 measures the Council’s exposure to investing for periods greater than one year. This
       indicator is required to ensure that the Council is aware of the cashflow implications for long term investments. For 2010/11 it is proposed not to lend any new funds
       for more than 364 days. The indicator therefore reflects the deposits already placed with mature more than 364 days after 31 March 2010, including those at risk in
       Iceland.




                                                                                               11
  10   Investments greater than 364 days                                                      5.8 Table 11   £M 25.000     £M 14.564
       (Maximum Limit)

TREASURY MANAGEMENT QUARTERLY REPORT

Performance & activity measures:

                                                                                                         Integrated       2010/11        2010/11    2010/11      2010/11
                     Indicator                                       Description
                                                                                                          Plan Ref.         Q1             Q2          Q3          Q4
       The CIPFA Treasury Management Code of Practice requires the Council to set performance indicators to assess the treasury function. Group A measures performance for
       “Security, Liquidity and Yield” and Group 2 measures the performance of “Operational Activities”.
       GROUP A: Security, Liquidity and Yield
       Security Indicator: Average Credit    Measured on a 1 to 10 scale, where 1 is a very good Credit      8.1 to 8.3      2.3
       Rating of Investments held            Rating, i.e., government guaranteed
       Liquidity Indicator: Weighted         Measures the liquidity/accessibility of investments in          8.1 to 8.3    56 days
       Average Maturity of investments       average days
       held

                                                                                                             Integrated    2010/11     2010/11      2010/11      2010/11
                     Indicator                                       Description
                                                                                                              Plan Ref.       Q1         Q2           Q3           Q4
       Yield Indicator: Rate of return on    Average 7 day London Interbank Bid (LIBID) was 0.42% for         8.1 to 8.3    0.98%
       lending compared to the 7 day LIBID   Quarter 1.
       rate
       Yield Indicator: Amount of interest                                                                   8.1 to 8.3    £0.207M
       earned on lending
       Yield Indicator: Average Interest                                                                     8.1 to 8.3     4.66%
       rate payable on borrowing portfolio
       Yield Indicator: Amount of interest                                                                   8.1 to 8.3    £3.379M
       paid on borrowing
       GROUP B: Operational Activities




                                                                                         12
LENDING ACTIVITIES
Average size of lending portfolio      Lending Excludes Outstanding Iceland Investments of   8.1 to 8.3      £87.0M
                                       £24.108m at 30/6/2010
                                                                                                           High £139.8M
                                                                                                           Low £16.7M
Number of lending transactions                                                               8.1 to 8.3         92
Average size of lending transactions                                                         8.1 to 8.3       £7.3M
Average term of lending transactions                                                         8.1 to 8.3       9 days
agreed
Number of fixed term counterparties    Debt Management Account Deposit Facility (DMADF)      8.1 to 8.3         1
used
Number of Call Accounts used           Nat West Bank and Bank of Scotland                    8.1 to 8.3         2
Average total balance of Call                                                                8.1 to 8.3       £8.9M
Accounts
Number of Money Market Funds           Blackrock GBP Government Fund Account                 8.1 to 8.3         1
(MMF) used
Average total balance of MMFs                                                                8.1 to 8.3       £3.2M
Banks deleted from lending list due                                                          8.1 to 8.3    Alliance and
to downgrading and amount                                                                                   Leicester /
outstanding                                                                                                Amount: NIL
                                                                                             Integrated      2010/11      2010/11   2010/11   2010/11
              Indicator                                       Description
                                                                                              Plan Ref.         Q1          Q2        Q3        Q4
Breaches of Treasury Management                                                               8.1 to 8.3       None
Policy
Process errors                                                                               8.1 to 8.3       None

BORROWING ACTIVITIES
Average size of borrowing portfolio                                                          8.1 to 8.3      £290.8M

                                                                                                           High £290.8M




                                                                                 13
                                                     Low £290.8M
Number of borrowing transactions        8.1 to 8.3        0
Average size of borrowing               8.1 to 8.3        0
transactions
Number of counterparties used           8.1 to 8.3        0
Average term of borrowing               8.1 to 8.3        0
transactions agreed
Breaches of Treasury Management         8.1 to 8.3      None
Policy
Process errors                          8.1 to 8.3      None




                                   14
Appendix C continued


                                                                         Lending                              Borrowing    Comments
Number of Call Accounts used                                                   2                                    N/A
in Quarter                                                            Nat West,
                                                                Bank of Scotland
Average Total Balance of Call                                             £8.9m                                     N/A
Accounts in Quarter £M
Number of Money Market                                                      1                                       N/A
Funds (MMF) used in Quarter                                     Blackrock GBP
                                                          Government Fund A/C
Average Total Balance of MMF                                            £3.2m                                       N/A
in Quarter £M
Breaches of policy                                                          None                                   None
Banks deleted from lending list                              Alliance & Leicester                                   N/A
due to downgrading (Amount                                                   (Nil)
o/s)
Process errors                                                              None                                   None

Appendix C Continued

Other significant issues arising from the officer weekly treasury meetings

        LENDING ACTIVITIES
             th
       At 30 June 2010, £2m was outstanding with a building society and £2m with a Bank no longer on the Counterparty List. The amount outstanding with banks no longer on the
        Counterparty List has been much reduced following the addition to the Counterparty List of UK banks covered by the Government Credit Guarantee Scheme.
       During the period £0.205m was repaid by the Icelandic bank, KSF.

        BORROWING ACTIVITIES
       No transactions




                                                                                        15
        RISK
       Counterparty risk – low – 100% (92) of fixed term transactions carried out with government-guaranteed Debt Management Account Deposit Facility. 2 Instant Access Call
        Accounts were maintained with UK banks covered by the government credit guarantee scheme. 1 Money Market Fund (MMF) Account was opened which invests in
        government backed securities.

       Liquidity risk – low – the Council had no requirement for temporary borrowing during the quarter.
       Interest Rate risk – high – the interest rate used to set the budget for 2010/11 was 1% and the interest rate earned in the first quarter was below this at 0.98%.


Appendix D
DEBT MANAGEMENT INFORMATION: DEBTORS REPORT

A: Speed of Payments

Customers are required to pay the County Council within 30 days of being invoiced for a service received. The figures below show how quickly the County Council’s customers pay the
invoices issued to them.
The first set of figures show the percentage of the value of invoices raised in a period paid within 30 days i.e. by the due date.
The second set of figures show the percentage of the value of invoices raised in a period still unpaid after 90 days (three months). There are various reasons for this; some will be disputed
where resolution requires budget manager input.

Appendix D Continued


                            July 2008     Aug 2008     Sept 2008     Oct 2008      Nov 2008     Dec 2008      Jan 2009     Feb 2009      Mar 2009      Apr 2009     May 2009     June 2009
                            July 2009     Aug 2009     Sept 2009     Oct 2009      Nov 2009     Dec 2009      Jan 2010     Feb 2010      Mar 2010      Apr 2010     May 2010     June 2010

          Period               £000         £000          £000         £000          £000          £000         £000          £000         £000          £000         £000          £000

                   2008
  Paid by 30                  37.53%       40.35%        43.23%       42.13%        33.94%         34.84%      42.66%       46.15%        41.89%        40.63%       42.90%        47.00%
    Days
                   2009
                              44.08%       45.49%        44.94%       44.28%        42.64%         42.12%      46.17%       44.49%        38.82%        38.98%       42.01%        50.58%




                                                                                              16
Unpaid            2008
                           10.43%     12.01%     9.14%     8.03%        6.87%            6.32%       6.76%        7.69%       7.93%           6.68%          6.12%           7.00%
After 90
 Days             2009
                            7.53%      7.70%     6.95%     7.56%        8.87%            10.52%      9.99%        10.34%      8.31%           10.92%         10.50%          13.70%


                                                    Speed of Payments 3 Month Averages Year on Year
60%



50%



40%

                                                                Paid by 30 Days - 2008
30%                                                             Paid by 30 Days - 2009
                                                                Unpaid After 90 Days - 2008
                                                                Unpaid After 90 Days - 2009
20%



10%



0%
           July          August     September   October    November      December          January     February       March           April            May            June
                                                                         3 months to month end




                                                                                    17
Appendix D Continued

B: Days debt overdue to the County Council

The figures below include all those debts not paid within the required timescales.

The figures vary month on month depending on invoices raised. In particular large invoices issued to health authorities distort the numbers in some months e.g. November and December
2008.


                                        July       Aug        Sept        Oct        Nov       Dec      Jan      Feb      Mar         Apr       May        June
                                        2008       2008       2008       2008        2008      2008    2009     2009      2009       2009       2009       2009
                                        July       Aug        Sept        Oct        Nov       Dec      Jan      Feb      Mar         Apr       May        June
                                        2009       2009       2009       2009        2009      2009    2010     2010      2010       2010       2010       2010
              Months                    £000       £000       £000       £000        £000      £000    £000     £000      £000       £000       £000       £000

                        2008 and
                          2009          3,945     4,867       9,274      9,757       15,420   18,006   18,634   11,966    4,609      3,869     4,552      4,723
        0-3
                        2009 and
                          2010          5,097     5,020       4,553      4,497       3,539     4,057   4,281    4,794     4,420      4,939     6,180      7,423

                        2008 and
                          2009          2,189     2,574       2,696      2,268       2,303     1,992   1,680    1,189     1,032       915       900        969
        3-9
                        2009 and
                          2010          1,146     1,299       1,372      1,373       1,350     1,435   1,464    1,542     1,507      1,599     1,659      1,919

                        2008 and
                          2009          2,411     2,745       2,744      2,842       2,959     3,112   3,259    3,263     3,126      2,952     2,836      2,761
        9+
                        2009 and
                          2010          2,679     2,622       2,602      2,571       2,556     2,564   2,685    2,701     2,641      2,462     2,407      2,478




                                                                                              18
Appendix D continued

Debt overdue by up to three months


                                               3 Month Averages - Debt 0 - 3 Months Overdue - Year on Year

                          20
             £ Millions




                          18

                          16

                          14

                          12
                                                                                                                                                       0 - 3 2008 and 2009
                          10                                                                                                                           0 - 3 2009 and 2010

                          8

                          6

                          4

                          2

                          0
                               £000          £000         £000          £000         £000         £000          £000         £000         £000           £000           £000            £000
                                 July 2008     Aug 2008     Sept 2008     Oct 2008     Nov 2008     Dec 2008      Jan 2009     Feb 2009     Mar 2009       Apr 2009          May 2009     June 2009
                                 July 2009     Aug 2009     Sept 2009     Oct 2009     Nov 2009     Dec 2009      Jan 2010     Feb 2010     Mar 2010       Apr 2010          May 2010     June 2010
     0 - 3 2008 and 2009          3,945         4,867        9,274         9,757        15,420       18,006        18,634       11,966       4,609           3,869            4,552        4,723
     0 - 3 2009 and 2010          5,097         5,020        4,553         4,497        3,539           4,057      4,281        4,794        4,420           4,939            6,180        7,423




                                                                                                   19
Customers are chased for this debt on a regular basis to identify causes of non-payment. Many queries are resolved immediately; disputed items are referred back to the owning service
for queries of a technical nature to be clarified more quickly than would otherwise have happened. Arrangements can immediately be made with private customers for instalment
payment in the case of hardship. In a number of cases customers are happy to pay by credit card immediately and the introduction of this facility has been helpful; Cashiers report a
greater uptake of this facility (188 payments in November 2008, 508 in November 2009). This pro-active approach has led to a reduction in overall outstanding debt within this category.

Appendix D Continued

Debt over three months but under nine months overdue



                                            3 Month Averages - Debt 3 - 9 Months Overdue - Year on Year
                     3.0
        £ Millions




                     2.5                                                                                                                          2008 and 2009
                                                                                                                                                  2009 and 2010
                     2.0

                     1.5

                     1.0

                     0.5

                     0.0
                           £000          £000         £000          £000         £000         £000         £000         £000         £000           £000          £000         £000
                             July 2008     Aug 2008     Sept 2008     Oct 2008     Nov 2008     Dec 2008     Jan 2009     Feb 2009     Mar 2009        Apr 2009     May 2009     June 2009
                             July 2009     Aug 2009     Sept 2009     Oct 2009     Nov 2009     Dec 2009     Jan 2010     Feb 2010     Mar 2010        Apr 2010     May 2010     June 2010
      2008 and 2009           2,189         2,574        2,696         2,268        2,303        1,992        1,680        1,189        1,032              915           900          969
      2009 and 2010           1,146         1,299        1,372         1,373        1,350        1,435        1,464        1,542        1,507            1,599       1,659        1,919




                                                                                                 20
This debt is also chased on a regular basis. It includes reducing balances on debts being cleared by instalment, commercial debt where disputes or other issues cannot be resolved quickly
by the owning department and lower value items which have not been as actively chased to date as higher value balances. With higher value items now more controlled, resource is now
focused on following up this mid term debt; a combination of these follow up calls, and a more robust application of legal action where appropriate (e.g. with commercial customers), is
enabling us to reduce the outstanding debt within this category more quickly than has been possible previously. We are currently reviewing how we can accelerate progress on this.

Appendix D Continued
Debt over nine months overdue


                                                3 Month Averages - Debt over 9 Months Overdue - Year on Year
                     3.5
        £ Millions




                     3.0

                     2.5

                     2.0
                                                                                                                                                  2008 and 2009
                     1.5                                                                                                                          2009 and 2010

                     1.0

                     0.5

                     0.0
                           £000          £000         £000          £000         £000         £000         £000         £000         £000          £000           £000         £000
                             July 2008     Aug 2008     Sept 2008     Oct 2008     Nov 2008     Dec 2008     Jan 2009     Feb 2009     Mar 2009       Apr 2009      May 2009     June 2009
                             July 2009     Aug 2009     Sept 2009     Oct 2009     Nov 2009     Dec 2009     Jan 2010     Feb 2010     Mar 2010       Apr 2010      May 2010     June 2010
      2008 and 2009           2,411         2,745        2,744         2,842        2,959        3,112        3,259        3,263        3,126           2,952        2,836        2,761
      2009 and 2010           2,679         2,622        2,602         2,571        2,556        2,564        2,685        2,701        2,641           2,462        2,407        2,478




                                                                                                 21
Work continues on reviewing older debt, including active chasing of individual larger commercial debt.
Improvement measures
As older debt is chased and recovered, customers in receipt of regular invoices are more likely to pay new invoices within terms. Potential disputes on these are now passed more quickly
to the owning department to be resolved when disputed older invoices are discussed with debt recovery officers.

Advice is now being given where necessary about the probability of a debt being recoverable before an invoice is raised. This will reduce the number of disputed items over a period of
time.
Debt management is now proactive rather than reactive, with debt recovery officers taking responsibility to contact customers before they become aged debts. Contacts within the
payments teams of commercial customers have been identified so that there is continuity leading to better recovery. Private customers are encouraged by regular follow up calls to put
proper payment plans in place.




                                                                                            22
Accounts Payable


                                            Percentage of Invoices for Goods and Services Paid within 30 Days
                                                                (3 month rolling average)

                   97.5%


                   97.0%


                   96.5%


                   96.0%
    Success rate




                   95.5%
                                                                                                                                                                                2009/10
                                                                                                                                                                                2010/11
                   95.0%


                   94.5%


                   94.0%


                   93.5%


                   93.0%
                                     y




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This measure relates to the percentage of invoices for commercial goods and services paid by the organisation within 30 days of receipt. The overall average to date for 2010/11 is 96.11%,
this compares to an overall average of 95.8% for 2009/10.




                                                                                             23
                                                             % Turnover
 20

 15

 10

  5

  0
              'Jun 09                    'Sep 09                  'Dec 09              'Mar 10                   'Jun 10
                        Herts CC Overall                                    Herts CC Non-Schools
                        % of compulsory turnover (all HCC)                  % of compulsory turnover (non schools)
                        Adult Care Services                                 CSF Non-Schools
                        Resources and Performance                           Strategy and Partnerships
                        Environment                                         Fire & Rescue
                        Herts. Business Service                             Herts. Catering
                        Libraries                                           Local Gov (07/08 CIPD Survey)


                                        Current Assessment and RAG rating.
      Q2 Jul to Sep 2009          Q3 Oct to Dec 2009           Q4 Jan to Mar 2010            Q1 Apr to Jun 2010
               ↓                          ↓                             ↓                            ↑
                                        Assessment of Current Performance
Please note: Target for 2009/10 was 10-12%. Target for 2010/11 is 5-10% to represent the changing economic
conditions.

Voluntary turnover for all HCC has seen a slight increase this quarter but is still within the HCC target and below last
June's figure. However non schools turnover is still dropping. Retention initiatives continue to take place in key areas
where turnover is above average, such as social care however we are seeing an increase in social worker vacancies in
both ACS & CSF. Catering turnover continues at a manageable level (see below) despite this traditionally being an area
with high turnover and national benchmarks (CIPD Hotels, Catering & Leisure) show voluntary turnover at 15.8%.
Turnover for area team social workers in CSF has seen an increase of 2.4% since June 2009 to 21.2% as at June 2010.
Going forward next quarter we will start to monitor in addition to resignations, voluntary turnover including voluntary
retirements & redundancies.
The voluntary turnover within Herts Catering has dropped from 9.3% in June 09 to 9.0% in June 10. This level of
turnover is now lower than HCC overall turnover (0.4% difference). All HCC turnover excluding Herts Catering
increased from 9.1% to 9.4% while Non Schools excluding Herts Catering remains the same at 5.8% since last quarter.
Risks:
With the country coming out of recession we are continuing to see a drop in voluntary turnover. However we are
seeing cost cutting reductions across local government and this is having an impact on turnover. This has fallen below
the target figure and we run a wider risk of reduced recruitment activity and reduced turnover.

                                                   Actions Required
1. To ensure this a number of key actions are required which will include identifying opportunities within the Council
for the Future programme changes including early retirement opportunities.
2. CSF and ACS to review and monitor turnover of social workers and take appropriate action.




                                                             24
                                                   Agency Spend £'000 (rolling year)
                                            25000

                                            20000

                                            15000
                                £'s
                                            10000

                                              5000

                                                  0
                                                                   Adult                            Herts.                    Resourc Strategy
                                                      Herts CC             CSF Non- Environ Fire &           Herts.
                                                                    Care                           Business          Libraries es &      &
                                                       Overall             Schools ment Rescue              Catering
                                                                  Services                          Service                   Perform Partners

                     'Jun 09                           22,362      9,070     8,061    2,085     36          553         126          342        293       139
                     'Sep 09                           22,336      9,324     8,201    1,845     28          482         125          304        253       140
                     'Dec 09                           21,737      9,103     8,340    1,529     26          430         121          255        239       156
                     'Mar 10                           22,769      9,287     9,442    1,253     29          414         114          197        323       227
                     'Jun 10                           23,201      9,081     10,210   1,157     28          407         102          145       1,018      847
                     2010/11 target: HCC Overall       20,000     20,000     20,000   20,000   20,000      20,000     20,000    20,000         20,000    20,000

                                                   Current Assessment and RAG rating.
    Q2 Jul to Sep 2009                        Q3 Oct to Dec 2009        Q4 Jan to Mar 2010                                       Q1 Apr to Jun 2010
             ↑                                        ↑                         ↓                                                        ↓



            Agency Spend as a Percentage of the Staffing Budget - HCC Overall (rolling year)
                            20%

                            15%

                            10%

                               5%

                               0%
                                                                                                  Herts.                                    Resources Strategy &
                                      Herts CC   Adult Care   CSF Non- Environmen     Fire &                  Herts.
                                                                                                Business                  Libraries             &     Partnership
                                      Overall     Services     Schools      t         Rescue                 Catering
                                                                                                 Service                                   Performanc      s

       'Mar 09                         8.2%        14.4%         8.8%        9.5%      0.1%      9.0%          1.0%           2.5%
       'Jun 09                         7.9%        14.4%         8.3%        8.9%      0.1%      8.6%          1.0%           2.6%            4.1%
       'Sep 09                         8.1%        14.6%         8.4%        7.9%      0.1%      7.5%          1.0%           2.2%            2.9%       3.6%
       'Dec 09                         7.4%        14.2%         8.3%        6.6%      0.1%      6.8%          1.0%           2.5%            2.9%       3.8%
       'Mar 10                         7.7%        14.2%         9.2%        3.9%      0.1%      6.5%          0.9%           1.4%            4.7%       6.2%
       'Jun 10                         8.1%        14.8%         9.8%        5.1%      0.1%      6.9%          0.8%           2.7%            3.6%       7.6%
       2010/11 target: HCC Overall     7.2%        7.2%          7.2%        7.2%      7.2%      7.2%          7.2%           7.2%            7.2%       7.2%
                                           Current Assessment and RAG rating.
      Q2 Jul to Sep 2010             Q3 Oct to Dec 2010             Q4 Jan to Mar 2010            Q1 Apr to Jun 2011
               ↓                              ↑                              ↓                            ↓
                                           Assessment of Current Performance
All temp vacancies non-frontline continue to need vacancy management sign off. ACS hours and spend show an
increase over the last 3 months as does CSF. Libraries is steady over the 3 months, R&P shows an increase during the
quarter but a much greater increase is seen in S&P (89k Apr-167k June). This 87% increase is attributable to
significant increases in spend on temporary staff within the child litigation unit.. Environment also shows an increase
in both spend and hrs as does F&R with Catering remaining steady. The top 3 spenders split by percentage of agency
spend costs are CSF (44%), ACS (39%) & ENV (5%). However only CSF has shown an increase since the last quarter.
Risks: Temp spend may continue to be a problem as we get further into vacancy management and transformation.
There is also a time lag in reporting due to late receipt of information however OLO implementation will ensure that
reporting will be more readily available and real time.
                                                      Actions Required
     1. Continue joint working with the Recruitment Centre in managing temp pay rates.
                                                                        25
2.     Continue targeted work with the highest temp spending units with encouraging temp to perm/fixed term
       where appropriate. Carry out open seminars as mentioned above to encourage T-P/FT.
3.     Continuing with reduction in hours for non front line staff to 35 hours per week.
4.     Encourage CSF Contact Service to continue to recruit to perm and fixed term posts to replace temps, reduce
       costs and improve service.
5.     ACS campaign in Q4/1 resulting is some qualified care posts being filled which will result in reduced interim
       spend.
6.     Implementation of OLO will allow greater visibility of spend (current and projected).


                                   Monthly Sickness Monitoring - All HCC
        1.0



        0.8



        0.6



        0.4
                                                                 Average
                                                                 monthly target
                                                                 required to
        0.2
                                                                 meet annual


        0.0
               Apr     May      Jun      Jul     Aug      Sep       Oct       Nov   Dec      Jan      Feb     Mar

     2008/09   0.59    0.53     0.62    0.54     0.18     0.59      0.69     0.78   0.78     0.74    0.54     0.73
     2009/10   0.39    0.52     0.62    0.53     0.19     0.57      0.69     0.75   0.54     0.62    0.60     0.77
     2010/11   0.35    0.57     0.53




                                                  26
                                        Average Days Sickness Per Employee HCC Only (rolling year)


                  15



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                             'Dec 09                                                                        'Mar 10
                             'Jun 10                                                                        HCC overall 2010/11 target (inc. schools)
                             HCC overall 2010/11 target (excl. schools)                                     CBI Public Sector Average (2007)
                             CIPFA Stat. Neighbours 2007/08 (incl. schools)                                 Local Government Ave. 2007/08 (incl. schools)


                                           Current Assessment and RAG rating.
     Q2 Jul to Sep 2010              Q3 Oct to Dec 2010            Q4 Jan to Mar 2011               Q1 Apr to Jun 2010
              ↔                              ↑                              ↔                               ↑
                                           Assessment of Current Performance
Sickness in all HCC is still below benchmark (8.3 days CBI Public Sector average (2009), but remains above this in non
schools at 9.2 days. An absence strategy has been put together, with action plans and targeted work is taking place in
Departments to tackle sickness levels. This varies from a focus on particular teams to a blanket approach. Risks: MSS is
now the main tool for reporting sickness for the majority of non schools. Improved data capture may lead to an
increase (as inputting and reporting improves) in absence levels. 1. Effects of not addressing sickness is a reduction in
morale for those covering absence. 2.there are enough people to cover workloads left through absence.
                                                     Actions Required
1. Time taken to conclude ill health cases continues to reduce along with the number of outstanding cases. 2. Data
reported to boards and SMB on a quarterly basis. Specific service data sent to managers in key areas. 3. Red, Amber,
Green system in place. HR works with managers to reduce duration and numbers of open cases. Escalation process in
place. 4. Lite bite, MSS and Teamtalk strengthen key messages on ownership, skills development and shared learning.
5. Priority areas identified for more targeted work linked to high levels of sickness absence. All appropriate policies
reviewed to improve clarity around the processes and outcomes. 6. Service level and values for Occupational Health
are incorporated into KPIs and levels of customer service. 7. Regular policies and skills training through Hertfordshire
Manager programme. 8. "Managing Performance" module specifically focuses on capability and attendance. Other
core skills include coaching and mentoring for early intervention on absences. 9. Individual absence data available to
managers through SAP via MSS.




                                                                                27
                             Advertised Vacancies over the past 12 Months (rolling year)
     2500

     2000

     1500

     1000

       500

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                                  'Jun 09              'Sep 09               'Dec 09               'Mar 10                'May 10



                                           Current Assessment and RAG rating.
     Q2 Jul to Sep 2009              Q3 Oct to Dec 2009              Q4 Jan to Mar 2010              Q1 Apr to Jun 2010
              ↓                               ↑                               ↓                              ↑
                                           Assessment of Current Performance
Vacancies raised in ACS went from 44 in Apr, 28 in May and back up to 46 in Jun, CSF went from 22 to 43 and then
down to 32 in June, Libraries went from 9 in April to 1 in June. F&R, HBS & ENV show very minimal no's with Catering in
the 40's and 50's which could be down to an increase in clients.R&P are on decrease from 12-8 in the 3 months and
S&P stay in single figures from 9 to 2 to 4 in June. (note these figures include permanent, fixed term and
secondments). Risks: Qualified care vacancies in both CSF and ACS still proving difficult to attract and retain with CSF
showing approx 60 QSW vacancies at any one time. This is resulting in high expenditure still in temp/interim spend.
The external perception analysis carried out for ACS by Tribal for qualified care shows that base salaries are low in
comparison to market. There is also some resistance by ACS unit managers to raise vacancies (unqualified support
workers), preferring the flexibility of temp staff unfortunately resulting in high temp spend still.
                                                      Actions Required
A project group has now been set up to look at a joint attraction strategy across HCC social care which then divides
into the 2 areas of ACS and CSF. This group will also look at the employee holistic proposition and barriers to
employment ie welcome payments, intensive driving lessons, open days to encourage T-P/FT. CSF have greatly
tightened vacancy management and also extended it to include front line QSW, with recruiting new heads matched
against budget rather than establishment. Changes in govt strategy re limits on international sponsorship may affect
our international plans going forward. We are currently requesting our quota is increased in CSF QSW area.




                                                                    28
                                              Performance Agreement and Personal Development Plan Status
                                                               as at July 2009 (HCC Only)                                                                                             % Staff with a Performance
  100%
                                                                                                                                                                                      Agreement
   90%
   80%                                                                                                                                                                                % Staff without a
                                                                                                                                                                                      Performance Agreement
   70%
                                                                                                                                                                                      for an acceptable reason
   60%
                                                                                                                                                                                      % Staff without a
   50%                                                                                                                                                                                Performance Agreement
                                                                                                                                                                                      without an acceptable
   40%                                                                                                                                                                                reason
                                                                                                                                                                                      % Staff unaccounted for
   30%                                                                                                                                                                                (status unknown)
   20%
   10%                                                                                                                                                                                % Staff with a Personal
                                                                                                                                                                                      Development Plan 2010/11
     0%
               Performance



                               Partnerhsips




                                              Commercial



                                                                 Environment




                                                                                      Adult Care



                                                                                                      Libraries




                                                                                                                         CSF Non



                                                                                                                                           Fire & Rescue



                                                                                                                                                           HCC Overall
               Resources &




                                                                                                                         Schools
                                Strategy &




                                                                                       Services
                                               Services




                                                                                                                                                                                      % Staff who had an Annual
                                                                                                                                                                                      Review/Appraisal 2009/10




                                                             Assessment of Current Performance
HCC overall: In comparison to the data for 2009 initially it appears that overall HCC is performing less favourably than
in 2010. Some areas have not been able to report as completely as last year due to the introduction of PMDS in their
departments, restructures and changes within their areas. Commercial Services reflect the lowest return overall for
staff with a performance agreement, the greatest number of staff with no agreement falling within Herts Catering.
                                                                                       Actions Required
All departments to ensure that Managers are aware of the need to complete the PMDS process and to ensure that
completed PMDS are in place where appropriate.

Strategy & Partnerships: A major re-structuring of Strategy and Communications will be completed by March 2011 and
by then Heads of Service will be in place and teams will have clear work programmes and new PMDS in place to reflect
new agenda. Ensure new 2012 Olympic team have PMDS in place by September 2010.


                                      Based on NI 178: Non frequent bus services running on time
                                                           NI 178                                                 09/10 target                                             10/11 target

          100%


            80%


            60%


            40%


            20%


             0%
                         Qtr 4 (08/ 09)        Q t r 1 ( 0 9 / 10 )            Q t r 2 ( 0 9 / 10 )   Q t r 3 ( 0 9 / 10 )         Q t r 4 ( 0 9 / 10 )              2 0 0 9 / 2 0 10        Q t r 1 ( 10 / 11)
 N I 17 8                    9 1.4 %                 9 0 .4 %                      9 1.8 0 %                       9 4 .1%             8 5 .4 0 %                        9 0 .2 0 %             8 3 .10 %
 0 9 / 10 t a rge t          8 3 .0 %                8 3 .0 %                       8 3 .0 %                      8 3 .0 %               83%                               83%                    83%
 10 / 11 t a rge t            85%                      85%                           85%                           85%                   85%                               85%                    85%

                                                                Current Assessment and RAG rating.
     Q3 Oct to Dec 2009                                    Q4 Jan to Mar 2010            2009/2010                                                                               Q1 Apr to Jun 2010
              ↑                                                    ↓                          ↑                                                                                          ↓

                                                                                             29
                                         Assessment of Current Performance
The variations are explained by a combination of: a) extreme weather conditions in that period b) roadwork activity
levels Risks: More comprehensive Automatic Vehicle Location data may lead to further variations in performance of
this indicator
                                                    Actions Required
In the long term, Automatic Vehicle Location will provide more comprehensive, reliable data. Roadwork programmes
will continue to be integrated to minimise disruption. Monitoring will continue to be targeted on problem corridors as
appropriate with significant problems being reported to the Traffic Commissioner


                                         NI 179 - Value for money (Accumulative 3 year)

            70000

            60000

            50000
  Thousands £




            40000

            30000

            20000

            10000

                  0      Qtr 1 (09/10)          Qtr 2 (09/10)        Qtr 3 (09/10)   Qtr 4 (09/10)   Qtr 1 (10/11)

                Actual      27,079                 32,119               30,976          32,259          60,799
                Target      35,155                 35,155               35,155          35,155          59,360

                                           Current Assessment and RAG rating.
           Q2 Jul to Sep 2009        Q3 Oct to Dec 2009            Q4 Jan to Mar 2010           Q1 Apr to Jun 2010
                    ↑                         ↑                             ↑                             ↑
                                           Assessment of Current Performance
2008-11 cumulative Value for Money (VfM) gains (NI 179) at quarter one were £60.799m, which is now £1.439m above
the three year efficiency target of £59.360m. This has increased from when the budget was set in February due to a
number of changes. The main changes are:
 A decrease in the increased enablement, early rehab and intervention through enhanced intermediate care
     arrangements of (£580,000) due to delays in the project commencing.
 An increase in savings from the Manpower contract of £1.186 million arising from bulletin and website campaigns
     and temp to perm usage higher than estimated
 Manpower KPI savings - an overall increase of £1.186 million is being achieved on the Manpower contract. These
     savings are attributable to not increasing temp rates to take account of the Working Time Directive (£200,000); a
     lower rate of pay for temps than the permanent post being covered (£300,000); discount on rates for posts filled
     by secondments (£92,000); reduction on temporary to permanent placements (£98,000); posts filled from the
     Bulletin and Website reducing the need for advertising (£300,000); and posts filled from campaigns reducing
     individual costs (£196,000).
                                                    Actions Required




                                                                30
       Based on NI 191: Residual household waste per household (Financial Year Projection)

                          750

                          700

                          650

                          600
                           Kg
                          550

                          500

                          450

                          400
                                   End Qtr 1   End Qtr 2   End Qtr 3               End Qtr 1   End Qtr 2   End Qtr 3               End Qtr 1
                                                                       2008/2009                                       2009/2010
                                    (08/09)     (08/09)     (08/09)                 (09/10)     (09/10)     (09/10)                   0/1 )
                                                                                                                                    (1 1
       Herts                         671         653         637         642         591         586         586         580         545
       Target                        714          714         714         714        688         688         688         688         573
       East Regio n A ve (08/09)     607         607         607         607         607         607         607         607         607

                                           Current Assessment and RAG rating.
     End Qtr 2 (09/10)                End Qtr 3 (09/10)                 2009/2010                  End Qtr 1 (10/11)
             ↑                               ↔                              ↑                              ↑
                                           Assessment of Current Performance
Hertfordshire householders are recycling more of their waste, and presenting less waste for disposal via their black
wheelie bins / sacks. Also, the recession has an impact on the amount of waste produced. One District Councils is
introducing food waste collections this financial year, one is implementing glass collections and different Districts may
or may not start to recycle a wider range of plastics. Also, Stevenage Borough Council will be changing their service to
an alternate weekly collection (AWC) system, which can increase recycling and reduce residual waste by around 10%.
East Herts District Council has also changed to AWC within the past year and is seeing further levels of waste
minimisation. At the household waste recycling centres, soil and rubble recycling has been rolled out to another site.
PLEASE NOTE THAT THE FIGURE FOR THE NUMBER OF HOUSEHOLDS IN HERTFORDSHIRE FOR 2010/11 WILL NOT BE
PUBLISHED UNTIL THE END OF THE FINANCIAL YEAR AND THIS AFFECTS THE OUTTURN.
                                                     Actions Required
Residual waste throughput is monitored on a regular basis, including which specific areas of Hertfordshire see any
fluctuations.




                                                                31
       Based on NI 193: Percentage of municipal waste landfilled (Financial Year Projection)

                      60%



                      40%



                      20%



                        0%         End of Qtr 1   End of Qtr 2   End of Qtr 3               End of Qtr 1   End of Qtr 2   End of Qtr 3               End of Qtr 1
                                                                                2008/2009                                                2009/2010
                                     (08/09)        (08/09)        (08/09)                    (09/10)        (09/10)        (09/10)                    (10/11)

       Herts                         53.60%         52.90%         51.60%        52.00%       50.60%         50.34%         50.7%         50.64%       46.01%

       Target                         56%            56%            56%           56%          55%            55%           55.0%          55%          47%

       East Region Ave (2008/09)     53.80%         53.80%         53.80%        53.80%       53.80%         53.80%         53.80%        53.80%       53.80%

                                          Current Assessment and RAG rating.
   End of Qtr 2 (09/10)            End of Qtr 3 (09/10)              2009/2010                 End of Qtr 1 (10/11)
           ↑                                 ↓                           ↑                               ↑
                                          Assessment of Current Performance
Residents are recycling more of their waste, diverting more material from landfill each year. New initiatives by District
Councils introduced this financial year will see hundreds more tonnes of waste recycled instead of landfilled. We also
have new waste disposal contracts taking effect this year which will mean we can deliver some residual waste to
energy from waste facility instead of to landfill.
                                                    Actions Required
Continued monitoring of indicator data, including which areas of the county are seeing levels of change with regards
to the amount of waste sent to landfill.

Project title PATHFINDER (CORP) / Quarter 1 (Apr – June 2010)
Project Lead               Helen Style             SMB Sponsor               John Wood
Project End Date               2012
On Target for delivery to time and cost. No concerns about achieving outcomes.
Minor concerns, no major delays but some uncertainty /risks to outcomes remain                                                                         √
Significant concerns to achieving outcomes, major delays, failure to meet key milestones
and/or significant risks being realised
Objectives of Project:

To improve two tier working in Hertfordshire with 3 key objectives – improving customer focussed services, creating
more sustainable service provision and enabling effective and efficient local government. The main themes of the
project are: shared support services; customer access and engagement; children’s services in partnership; waste
partnership for Hertfordshire; planning and development; safer cleaner and greener; economic development, and
sustainability.

The project began in late 2007/08 and is a national two tier pilot status awarded by CLG.
    -
Key Achievements and Progress in Qtr 1 (Apr 10 to Jun 10):
 Hertfordshire County Council’s Member Scrutiny Topic Group held a scrutiny on the Pathfinder programme on
      st
    21 June. Members received presentations from county and district colleagues on achieving the efficiency target
    set out in the original bid and how customer access to services has improved so far. Colleagues from Office of
    Public Management also attended to provide a national perspective. Members found this session extremely
    useful and the full report including recommendations can be found via the below link:

    http://www.hertsdirect.org/havesay/scrutiny/scrutinycomm/topics/16169613/


                                                                        32

                                                                      th
    Customer Access workshop for Chief Executives was held on 8 June. CExs requested an immediate strategic
    review of web infrastructure possibilities for Herts alongside the service finder portal work.

   Customer Access group agreed recommendations for common set of minimum standards across the councils for
    responses to telephone, email and letter enquiries.

   Audit task force group have designed a shared audit service model due April 2011. Onward decisions within
    councils to be taken forward by HCFOs for those wishing to join. Timeline decisions/HR issues need to be
    mapped in detail and costings are still to be finalised.

The Hertfordshire Two Tier working exhibition and material was prepared for LGA Annual Conference in July in
Bournemouth. (See below.) ePathfinder Summer 2010 newsletter has been produced and is now due for circulation.

Good News / Quick Wins:

Collectively Hertfordshire officers; throughout the Pathfinder working groups, have found £26 m in efficiencies since
late 2007/08. This exceeds 0.5 % per year target of £4 m, which over 2 years is £8 m accumulative.

Hertfordshire was featured as a best practice two tier area by the Local Government Association. A short film was
produced and shown at the annual conference via Local Gov TV Channel. The film features senior county council
officers talking about the benefits of the Pathfinder programme and colleagues at Watford and Three Rivers
showcasing their shared back office arrangement. It can be viewed on hertsdirect at:

http://www.hertsdirect.org/yrccouncil/pathfinder/pathfindervids/nationallga/
Key Project Risks:
 Work streams are partly reliant on external funding.
 Potential lack of officer support for alternative shared services arrangements and a preference for status quo.



Project title - Hertfordshire Waste Procurement Programme - Quarter 1 (April – June 2010)
Project Lead               Richard Brown           SMB Sponsor               John Wood
Project End Date               April 2015
On Target for delivery to time and cost. No concerns about achieving outcomes.                    √
Minor concerns, no major delays but some uncertainty /risks to outcomes remain
Significant concerns to achieving outcomes, major delays, failure to meet key milestones
and/or significant risks being realised
Objectives of Project:
To secure economically and environmentally sound residual waste management through procurement of appropriate
facilities/ services.

Key Achievements and Progress in Qtr 1 (Apr 10 to Jun 10):
 ISDS (Invitation To Submit Detailed Solutions) submissions returned and evaluated.
 Officer recommendations made on shortlist of two bidders.

Good News / Quick Wins:
Programme has attracted strong field of leading companies.

Key Project Risks:
 Preferred bidder fails to achieve planning permission.
 Third party objection/ challenge leads to stalling or stopping of programme.
 Communications not managed effectively leads to significant public/ political opposition.
NB: A risk register accompanies the programme and is kept under continuous review.




                                                   33
Project title Carriageway Maintenance - Qtr 1 2010/11
Project Lead               Mike Younghusband          SMB Sponsor                John Wood
Project End Date               Annual Programme
Programme on target for delivery to time and cost in 1st Qtr                                                  √
Condition Targets - significant risks being realised due to impact of severe winter and                       √
funding reductions
Objectives of Project:
To extend the life of Hertfordshire’s roads to ensure they meet their full service potential and that their value to
Hertfordshire is preserved

The condition of the highway network is measured through National Indicators and through an Average Condition
Indicator, developed by HCC to reflect better the value of the strategic approach to maintenance encouraged by the
Asset Management regime.

Key Achievements and Progress in Qtr 1 (Apr 10 to Jun 10):
     IWP agreed by Cabinet
     Original programme planned and profiled

Good News / Quick Wins:
The surface dressing programme is well under way, with good progress made due to the fine weather.

Key Project Risks:
Bouts of severe weather struck in December and January, which had the multiple effects of creating greater damage
than the previous winter and disrupting the planned delivery programme leading to programme slippage.



Council for the Future workstream (1): Simplifying the Customer Journey - Qtr 1 2010/11

Work-stream Lead           Paul Jackson               SMB Sponsor                John Sellgren
Work-stream End Date
On Target for delivery to time and cost. No concerns about achieving outcomes.
Minor concerns, no major delays but some uncertainty /risks to outcomes remain                           
Significant concerns to achieving outcomes, major delays, failure to meet key milestones
and/or significant risks being realised
Objectives of Work-stream:
    - To save money
    - To transform the customer journey by focussing on some practical developments of current practice
               A ‘customer led’ approach where customers are able to self-serve at times and in places which are
                  most convenient to them.
               A ‘tell us once’ approach where customers are able to provide information once and this is shared
                  across the council’s and other appropriate public services.
               A ‘one and done’ approach where customers are able to give information at the first point of
                  contact and where as much of the service response as possible can be provided at that initial point
                  of contact.
    -

Key Achievements and Progress in Qtr 1 (Apr 10 to Jun 10):
 Budget ownership lies with the service departments, so to ensure departmental buy in a project team has been
    established with senior level service engagement supported by a core team. Service representatives: Earl
    Dutton/Adrian Smith (ACS), Michael Francis (CSF), Allison Short (Env & CS), Tom Hennessey (Highways). Core
    team: David Robinson, Sharon Robinson, Bob Breakey, Sanjay Jethwa.
 Challenged the services to identify potential projects based on the principles set out in the scoping document and
    the Project Initiation Document. Initial list of 19 separate potential projects identified.
 Completed an initial high level assessment of potential scale in order to prioritise the potential projects.
 Initiated work in the service departments to develop outline business cases by Sep ‘10 for the high priority
    projects and to obtain departmental sign up to delivery of the savings.
 Published a customer journey mapping and business process redesign toolkit on Compass

                                                    34
Key Work-stream Risks:
   Competing workload demands result in the failure to develop outline business cases by September, hence
     flagged as amber at this stage



Council for the Future workstream (4): Localism and Engagement (Hertfordshire Local) - Qtr 1
2010/11

Work-stream Lead           Jan Hayes-Griffin       SMB Sponsor               John Sellgren
Work-stream End Date           2012
On Target for delivery to time and cost. No concerns about achieving outcomes.
Minor concerns, no major delays but some uncertainty /risks to outcomes remain                           
Significant concerns to achieving outcomes, major delays, failure to meet key milestones
and/or significant risks being realised
Objectives of Work-stream:

  To place people more clearly in control of issues that affect their lives so they become less dependent on the
   state and on what we do.
  A shift towards participatory democracy where local solutions and priorities are increasingly provided by
   residents working with their elected representatives, rather than by professionals.

Key Achievements and Progress in Qtr 1 (Apr 10 to Jun 10):

  The Locality Budget scheme is now in its second year with County Councillors making up to £10,000 available for
   the benefit of their divisions. More can be found at:
   www.hertsdirect.org/yrccouncil/councillors/localitybudgetscheme09
  The council’s email sign-up is now live: www.hertsdirect.org/interactive/regemalrt
  Take Part Hertfordshire is developing well as a project that seeks to get the people of Cowley Hill in
   Borehamwood, and Black and Minority Ethnic communities in Stevenage more involved in decision-making. Visits
   to centres of democracy that include local councils and Parliament supplement training that builds confidence
   and community leadership skills. The project’s website can be found at: http://e-voice.org.uk/takepartherts

Key Work-stream Risks:

  The newly appointed Assistant Director Strategy and Communications, Jan Hayes-Griffin, is currently undertaking
   a review of the Hertfordshire Local programme management arrangements. She will be appointing a new
   Programme Manager and is in the process of re-casting the projects and activity that make up the programme to
   ensure they are in keeping with overall aims and objectives. The projects will be managed as a series of
   workstreams with identified leads each reporting to the Programme Manager.



Council for the Future workstream (5): Enhanced Commissioning and Procurement - Qtr 1
2010/11

Work-stream Lead           Peter Maguire           SMB Sponsor               John Wood
Work-stream End Date          ongoing
On Target for delivery to time and cost. No concerns about achieving outcomes.
Minor concerns, no major delays but some uncertainty /risks to outcomes remain                                      
Significant concerns to achieving outcomes, major delays, failure to meet key milestones and/or significant
risks being realised
Objectives of Work-stream:
     - To oversee all commissioning and procurement initiatives
    -   To use a rigorous commercial approach to driving value
    -   To provide professional procurement input into a greater volume of transactions
    -   To target procurement resources on priority areas.

                                                  35
    -   To maximise the use of HCC-wide contracts.
    -   To further enable joint procurement and commissioning, within and outside county boundaries.
    -   To reduce tendering and contract management costs.
    -   To drive down unit costs and volumes.


Key Achievements and Progress in Qtr 1 (Apr 10 to Jun 10):
   SMS contract approach end of detailed dialogue
   Commencement of major property and highways procurement projects
   Capability delivered for 10 of the projects
   Introduction of Category management in ACS progressing.
   Successful meetings with Bus, coach and taxi providers

Key Work-stream Risks:

The highways procurement and its associated projects report severe risk as savings cannot be validated until tenders
are returned (January 2012)
The project to reduce fees on high cost Learning Difficulty (LD) and Physical Disability (PD) placements reports severe
risk of key providers not engaging in the process.
The supporting people efficiencies project reports severe risks in relation to increasing complaints as presence of
wardens in sheltered housing is lessened, worries about destabilisation of the market and providers not agreeing new
terms and conditions.



Council for the Future workstream (6): Best Use of Assets – Workstream 6 - Qtr 1 2010/11

Work-stream Lead            Trevor Mose            SMB Sponsor                Roy Wilsher
Work-stream End Date
On Target for delivery to time and cost. No concerns about achieving outcomes.
Minor concerns, no major delays but some uncertainty /risks to outcomes remain                                      
Significant concerns to achieving outcomes, major delays, failure to meet key milestones and/or significant
risks being realised
Objectives of Work-stream:
The end objective is to save money and improve service delivery by achieving efficiencies through the better use of
existing buildings, vehicles and technology.
Key Achievements and Progress in Qtr 1 (Apr 10 to Jun 10):
 Integrated Plan projects around replacement of PCs and monitors delivered. Replacement of Lotus Notes
     currently being implemented.
 Review of security and guarding of sites held for disposal being delivered.
 SAP road map has been developed and being taken forward.
 Scope of project to rationalise vehicle ownership and use and promote sharing of buildings has been to Senior
     Management Board.
 High level support for rolling Electronic Document Records Management System (EDRMS) has been agreed.
     Postal scanning to be implemented at County Hall starting August 2010.

Key Work-stream Risks:
 Risk of not achieving maximum savings potential from key enabling projects like Electronic Document Records
    Management System (EDRMS) and it costing more to implement than it saves.
 Delays to tender process for new managed print services may lead to reduced savings in year 1.
 Risk flagged at Amber subject to service departments identifying and delivering efficiencies on the back of the
    new technology. Key role of Business Improvement.




                                                   36
Council for the Future workstream (7): Organisational design and operation - Qtr 1 2010/11

Work-stream Lead     Chris Badger                    SMB Sponsor                Caroline Tapster
Work-stream End Date    March 2014
On Target for delivery to time and cost. No concerns about achieving outcomes.
Minor concerns, no major delays but some uncertainty /risks to outcomes remain                              
Significant concerns to achieving outcomes, major delays, failure to meet key milestones
and/or significant risks being realised
Objectives of Work-stream:
    Deliver 25% savings in M4 and above management costs
    Ensure the Council is organised in a way to ensure transformation is delivered effectively, and services deliver
     high performance at lower cost
    Explore and implement, where appropriate, alternative means of service delivery


Key Achievements and Progress in Qtr 1 (Apr 10 to Jun 10):
 Development of outline business case for Libraries Transformation
 Appointment of specialists to conduct feasibility study for the creation of a Local Authority Traded Company
 Comprehensive analysis of management structures across the organisation, including analysis of spans of control,
    managerial layers etc.
 Good progress in designing and agreeing new management structures to meet 25% cost-reduction objective
 Amber status flagged due to the risks as noted below

Key Work-stream Risks:

    Risk of disruption to service performance caused by uncertainty surrounding restructures
    Risk of ineffective change management support unless changes are profiled and staggered in a coherent
     programme




Council for the Future workstream (8): Working For Hertfordshire - Qtr 1 2010/11

Work-stream Lead            Caroline Butler        SMB Sponsor                Mike Parsons
Work-stream End Date            tbc
On Target for delivery to time and cost. No concerns about achieving outcomes.                             
Minor concerns, no major delays but some uncertainty /risks to outcomes remain                   Some for T&C Project
Significant concerns to achieving outcomes, major delays, failure to meet key milestones
and/or significant risks being realised
Objectives of Work-stream:

   Modernisation of the Hertfordshire employment package including a review of Terms and conditions for both staff
    and Senior Managers and of lease cars.

   To enable staff and managers to work in a way that will support transformation and will support the delivery of
    other strands of C4F:

    -   Development and embedding of a set of generic and leadership behaviors (linked to organisational values) for
        use in the PMDS process
    - Identification, development and retention of talent within the organisation, supported by a clear succession
        planning process
    - Defining the role of the manager, being clear about expectations and providing just in time development to
        help them lead and manage their teams effectively
   To balance some of the cost saving measures identified in the review of terms and conditions and maintain
    employee engagement throughout the change process the following strategies are being developed to sit
    alongside the terms and conditions review and to support the wider C4F programme:
    - Pay and Reward
    - Wellbeing
                                                    37
    -   Employee Engagement
    -   Recruitment, attraction and retention – right people in the right roles, reducing costs increasing efficiency


All ‘Green’ as on target to planned timescales. Some risks for terms and conditions project, these are outlines below in
Risks section which could have potential to move this project to Amber.

Key Achievements and Progress in Qtr 1 (Apr 10 to Jun 10):

   Revised Lease car scheme implemented for staff
   Negotiations for Terms and Conditions Project are continuing to progress despite a number of regional and
    national difficulties
   Hertfordshire’s Values have been launched
   Revised PMDS scheme has been launched
   Workshops/Focus Groups have been undertaken to help scope Hertfordshire Manager

Key Work-stream Risks:

   Values and Behaviours are not imbedded into all teams across the Council
   Industrial Action/Failure to Agree on Terms and Conditions – currently have formal dispute logged by Unison


Council for the Future workstream (9): Right level of publicly funded services - Qtr 1 2010/11

Work-stream Lead           Patricia Orme             SMB Sponsor                Mike Parsons
Work-stream End Date          None
On Target for delivery to time and cost. No concerns about achieving outcomes.                     Please see below*
Minor concerns, no major delays but some uncertainty /risks to outcomes remain
Significant concerns to achieving outcomes, major delays, failure to meet key milestones
and/or significant risks being realised
Objectives of Work-stream:

            -      Greater emphasis on the responsibilities of individuals and communities to be self-reliant.
            -      Balance services, charges and taxes
            -      Explore options for offering more choice, whilst
            -      Maintain strong provision of core services to the most vulnerable in society.
            -      Seek to identify other services which can be provided to the same standard but at lower cost
                   through contracted arrangements.

Key Achievements and Progress in Qtr 1 (Apr 10 to Jun 10):
 All Tier 3 projects which are in year reductions in grants or services have been made and budgets reduced. All
    savings made as anticipated.
 Adult Care Services Charging Policy (Tier 2) – public consultation underway – project on schedule to deliver savings
    2011/12 onwards.
 Two new Environment and Commercial Services ( Tier 2) projects to be presented to SMB – 16 August
                                                                                                th

 Eight Tier 0 projects awaiting Cabinet approval ( added to work stream in July)
 Revenue income optimisation (Tier 2) - PWC project – savings anticipated 2011/12
 2 further tier 1 projects underway – no savings anticipated

Key Work-stream Risks:
*The projects awaiting cabinet approval are likely to have risks attached but these will be confirmed following Cabinet
decision.




                                                    38
                                           HSE Notifiable Accidents (Quarterly)

                100

                 80                                                74

                                                   58
                 60
                                                                                     44
                 40         34
                                                                             26
                                      19                     17                                19
                 20                                                                                     15
                                                                                                                  12


                   0
                          Q1 2009/10             Q2 2009/10       Q3 2009/10       Q4 2009/10         Q1 2010/11
    Accidents Schools            34                     58              74                44                 15
    Others                       19                     17              26                19                 12


                                        Assessment of Current Performance
The last quarter (Q1 Apr-Jun 10/11) Health and Safety Executive (HSE) notifiable accident counts for schools as well as
non-schools were below average - when compared with the previous 3 quarters and also - when compared with the
same quarter the previous year.
                                                  Actions Required




                                                        39
   Violent Incidents by Department - Employees Only (Quarterly)                                           HSE Notifiable Violent Incidents by School Category (Quarterly)
         250                                    237
                                                                                                           7

         200                                                                                               6
               168                                                167                                                                                                      5
                                                                                                           5
         150
                                                                   128
Number




                                                                                                           4




                                                                                                      Number
                                                 111

         100                    8787                                               55
                                                                                                           3
                 70
                                                                                                                              2               2
          50                                                                                               2
                                                                                                                 1                                              1
                                                                                  10
                                                                                                           1
           0
                 Q1 2009/10       Q2 2009/10         Q3 2009/10     Q4 2009/10     Q1 2010/11
                                                                                                           0
                                                                                                               Q1 2009/10   Q2 2009/10    Q3 2009/10    Q4 2009/10   Q1 2010/11
         CSF Schools          CSF Others       ACS       ENV      CSF LIB    FR        RP   CS
                                                                                                                                    Schools            Others




                                                                                                 40
                                      Number of Stage 1 Complaints (Quarterly)
 550

 500

 450

 400

 350

 300

 250

 200

 150

 100

  50

   0
              Apr-Jun 09               Jul-Sep 09               Oct-Dec 09               Jan-Mar 10           Apr-Jun 10

                Number of Stage 1 Complaints        ACS                                  CSF: Education
                CSF: Social Care                    CSF: Libraries, Culture & Learning   Statutory Services
                Fire & Rescue                       Corporate Services                   Environment

                                           Current Assessment and RAG rating.
       Q2 Jul to Sep 2009            Q3 Oct to Dec 2009             Q4 Jan to Mar 2010            Q1 Apr to Jun 2010
                ↓                            ↓                               ↑                              ↑
                                           Assessment of Current Performance
Total numbers of stage 1 complaints for this quarter have remained on par with recent quarters.
The total of libraries complaints shows an marginal decrease on the last quarter report (290 to 292). This includes a
marked increase in complaints about staff/ customer service (95 to 119) balanced by a marked drop in complaints about
buildings and property (69 to 49). No discernable trends are causing either of these changes
CSF Social Care (74) - a decrease on the previous quarter and a return to the usual volumes.
ACS - (34) overall numbers of complaints remain broadly consistent.
Environment & Commercial Services and Education numbers are consistent with previous quarters.
                                                     Actions Required
Complaints managers continue to work with front line services to develop customer care, including learning from themes
and issues from complaints to develop working practices and providing training/support on complaints issues.




                                                               41
                                    Number of Stage 2 Complaints (Quarterly)
    20
    18
    16
    14
    12
    10
     8
     6
     4
     2
     0
              Apr-Jun 09              Jul-Sep 09               Oct-Dec 09               Jan-Mar 10           Apr-Jun 10
               Number of Stage 2 Complaints        ACS                                  CSF: Education
               CSF: Social Care                    CSF: Libraries, Culture & Learning   Statutory Services
               Fire & Rescue                       Corporate Services                   Environment

                                            Current Assessment and RAG rating.
    Q2 Jul to Sep 2009                Q3 Oct to Dec 2009            Q4 Jan to Mar 2010             Q1 Apr to Jun 2010
            ↔                                 ↓                              ↑                              ↓
                                            Assessment of Current Performance
There are no library stage 2 complaints as the majority of issues are resolved at stage 1.
Within CSF the numbers of social care Stage 2 complaints have decreased from 2 years ago and remain at a consistent
level.
There are three Environment and Commercial Services and one Fire and Rescue Stage 2 this quarter. Two of the
Environment stage 2's were not upheld and on the third action is being taken to resolve the complainants concerns.
Approximately 12% of stage 1 complaints escalate to Stage 2.
The new procedures for ACS mean that there is not a formal stage two but a review stage. One complaint investigation is
in process following review of a complaint plan.
                                                      Actions Required
CSF and ACS are finalising a commissioning exercise for Investigating Officers for stage 2 complaints to ensure that the
quality and price of investigations is more consistent. Due to the volume and unpredictability of when these arise it is
more cost effective to outsource this than resource internally.
Complaints Managers continue to share learning from stage 2 complaints with front line managers to improve customer
care and practice - this includes reminding staff about the importance of communication and timely, full stage 1
responses in order to resolve complaints.




                                                             42
                                     OMBUDSMAN Complaints (Quarterly)
    10


     8


     6


     4


     2


     0
             Apr-Jun 09             Jul-Sep 09             Oct-Dec 09                 Jan-Mar 10            Apr-Jun 10
                OMBUDSMAN                        ACS                                   CSF: Education
                CSF: Social Care                 CSF: Libraries, Culture & Learning    Statutory Services
                Fire & Rescue                    Corporate Services                    Environment

                                          Current Assessment and RAG rating.
    Q2 Jul to Sep 2009              Q3 Oct to Dec 2009            Q4 Jan to Mar 2010              Q1 Apr to Jun 2010
             ↓                              ↑                               ↓                             ↓
                                          Assessment of Current Performance
In CSF approximately 10% of stage 2 complaints proceed to stage 3 - this is around 1 in every 150 complaints - one Stage
3 panel was held this quarter.
Complainants may go to the Local Government Ombudsman - across HCC our timescales of responding to LGO enquiries
improved in 2009/10, with overall numbers decreasing.
                                                     Actions Required
Implementation of learning points and recommendations from stage 3 panels and reviews are to be integrated into
working practices. Timescales for arranging Stage 3 panels and reviews to be improved and timescales for LGO enquiries
to be maintained.
As from January 2010 HCC has removed the stage 3 process (although this will remain as part of the statutory children's
complaints process). This means complainants will have the right to take their complaint to the Local Government
Ombudsman (an independent external government body) at an earlier stage and under new procedures for ACS, the
complainant can refer to the LGO following first response. Evidence that LGO recommending speedy remedy at early
stage in the process




                                                          43
                                           Number of Compliments (Quarterly)
   200

   175

   150

   125

   100

    75

    50

    25

     0
              Apr-Jun 09                   Jul-Sep 09               Oct-Dec 09          Jan-Mar 12         Apr-Jun 10
             ACS                                      CSF: Education                    CSF: Social Care
             CSF: Libraries, Culture & Learning       Statutory Services                Fire & Rescue
             Corporate Services                       Environment

                                          Current Assessment and RAG rating.
    Q2 Jul to Sep 2009             Q3 Oct to Dec 2009            Q4 Jan to Mar 1010            Q1 Apr to Jun 2010
             ↑                              ↑                             ↓                             ↓
                                          Assessment of Current Performance
Numbers of compliments are consistent with previous quarters.
Departments often share these good examples in staff newsletters and as best practice in team meetings.
The online complaints form was amended in Jan 2010 to also accept compliments.
ACS will report for Quarter 1 and Quarter 2 compliments in the next quarterly report.
                                                   Actions Required



                                        Customer Satisfaction – Web (Quarterly)




                                 43.0%                                                          44.0%




                                                                  13.0%
                                                 Good             Average        Poor

                                            Assessment of Current Performance
4,280 hertsdirect.org pages were rated by web users during the last quarter and 44% of those pages were rated “Good”.
This score was identical to the score for the previous quarter.
                                                     Actions Required




                                                                44
             Web Satisfaction
                                                                   Web Satisfaction                             Web Satisfaction
             Apr to Jun 2010
                                                                   Apr to Jun 2010                              Apr to Jun 2010
                   ACS       42%                                         CSF                                       Libraries 42%
                                                                           42%
                                         Good                                                                                          Good
                                                    12%                                 Good
17%                                      Avera ge                                                                                      Avera ge
                                                                                        Avera ge   13%
                                         Poor                                                                                          Poor
                                                                                        Poor
                                                                46%                                                 45%
                   41%




                                                      Web Satisfaction                                   Web Satisfaction
             Web Satisfaction                                                                            Apr to Jun 2010
                                                        Apr to Jun 010
             Apr to Jun 2010                                                                              Environment
                                                      Trading Standards
              Registrations                                                      45%
      15%
                                                                                                   59%
                                25%                                                    Good                                        Good
                                      Good
                                                     12%                                                                           Avera ge
                                      Avera ge                                         Avera ge

                                                                                       Poor                                        Poor
            60%                       Poor
                                                                   43%                                            31%


                                                                                                    10%




                                                                                  45
                                    Customer Satisfaction - Telephone (Quarterly)

                                                     6.0% 2.0%




                                                                     92.0%
                                            Good               Average          Poor

                                           Assessment of Current Performance
Caller satisfaction with the Customer Service Centre (CSC) remained high during the last quarter –
92% of callers surveyed rated the call as “Good” compared to 94% during the previous quarter.
                                                   Actions Required



       CSC Telephone Satisfaction                                          CSC Telephone Satisfaction
            Apr to Jun 2010                                                     Apr to Jun 2010
                  ACS                                                                 CSF

                                10%
                                                                                                        4%
                                               Good
                                                                                                             Good

            88%                                Avera ge                                                      Avera ge
                                    2%                                          93%
                                                                                                        3%
                                               Poor                                                          Poor




       CSC Telephone Satisfaction                                        CSC Telephone Satisfaction
            Apr to Jun 2010                                                   Apr to Jun 2010
                Libraries                                                       Environment



                                    2%        Good                                                    4%     Good

          97%                                 Avera ge                       95%                             Avera ge
                                    1%                                                                1%
                                              Poor                                                           Poor




                                                          46
                        Avoidable Contact                                                Customer Service Centre: Avoidable Contact by Category
                                                                              Jan to Mar 2010, showing number and percentage of calls that were avoidable by
                         Apr to Jun 2010
                                                                                                         service area (Quarterly)
                      HCC Overall (Quarterly)

                                                                                                                                                                                       A CS - Case
                                                                                                          3000
                                                                                                                                                                                       A CS - Enquiry

                                                                                                                                                                                       CSF - A dmissio ns
                                                                                                          2500
                                                                                                                                                                                       CSF - Case




                                                                              Number of Avoidable Calls
                                                                                                                                                                                       CSF Co nsultatio n
                                                                                                          2000                                                                         CSF - Enquiry
                                                         Avoidable
                                                         contacts                                                                                                                      District Co uncil Call

                                                                                                          1500                                                                         Libraries
                    95.7%                                Non-                                                                                                                  6.00%
                                                                                                                 3.36%                                                                 Libraries H.A.L.S.
                                                         avoidable
                                                                                                                             3.53%                     4.66%                           Enviro nment - Highways
                                                         contacts                                         1000        6.18
                                                        3.76%                                                                            100%                        13.09%            Enviro nment - P TU
                                                                                                                         3.84%
                                                                                                                                                     0.66%           8.31%             Enviro nment - Waste
                                                                                                                                     4.10%                   3.60%
                                                                                                           500
                                                                                                                                                                                       Enviro nment - Other
                                                                                                                                 3.03%        0.62                           1.80%     Fire & Rescue
                                                                                                             0                                                                         General Enquiries/co rpo rate
                                                                                                                                     Jan to Mar 2010


                                                                       Assessment of Current Performance
3.76% of calls to the Customer Service Centre (CSC) were recorded as avoidable during the last quarter compared with 4.25% during the previous quarter.

The most frequently occurring types of avoidable contact during the last quarter were –

       Progress chasing
       Calls for other organisations

NB Indicator NI14 has now been removed from the national indicator set and therefore HCC will not be required to report externally on this in future. However, we will continue to




                                                                                                                 47
monitor and to seek to reduce avoidable contact to ensure we deliver the most cost-effective services to our customers.

A further change has taken place in the way that avoidable contact is monitored at the Customer Service Centre (CSC) during the last quarter. To ensure greater consistency,
avoidable contacts are obtained from the call types within the Customer Service Centre’s (CSC’s) client logging system. This means that we are not reliant on advisors determining if
the call is avoidable or not. By obtaining results directly from the system, the calls can be kept shorter and performance improved.

A breakdown of avoidable contact by department is still being calculated as part of the new method of measurement and so is currently unavailable for the last quarter. This
information will be reported next quarter.

                                                                                 Actions Required




                                                                                             48
                                                       Number of Articles (Quarterly)

   45

   40                                                                                                                                                  Negative
                                                                                                                                                       Neutral
   35
                                                                                                                                                       Positive
   30

   25

   20

   15

   10

    5

    0
        April    May      June   April    May      June     April    May       June     April    May      June     April    May      June    April    May      June

            Fire and Rescue         Environment and       Children, Schools & Families Strategy and Partnerships     Adult Care Services    Performance and Resources
                                 Commercial Services (inc        (inc Libraries)
                                       Highways)



                                             Assessment of Current Performance
Hertfordshire County Council featured in 247 local press stories during Q1. The coverage received is monitored by the
press office and categorised as positive, neutral or negative. 'Positive' articles generally stem from press releases and
result in articles that effectively communicate county council messages to the public. 'Neutral' articles include the county
council's perspective on the story but are usually generated by journalist or members of the public. 'Negative' articles are
critical of the county council and its services and do not include a response from the communications team. The lower
volume of coverage during Q1 - there were 383 articles published during the previous quarter - reflects the election in
May and associated purdah period.
                                                       Actions Required




                                                                            49
                                                      EAV by Title




                  Welwyn and Hatfield
                        Times

                     Watford Observer


              St Albans/Welwyn Review


                 Royston Weekly News


                         Royston Crow

                   Hitchin & Stevenage
                        Advertiser
  Newspaper




                 Hertfordshire Mercury
                         Series

                     Herts/Harpenden
                        Advertiser

                Herts & Essex Observer

                  Hemel Hempstead
                Gazette/Herald Express

                 East Herts/Hoddesdon
                         Herald

               Comet Series/Stevenage                                                           April     May

              Borehamwood and Elstree                                                           June
                      Times

                                         0        5,000           10,000          15,000         20,000          25,000
                                                                       EAV in £s

                                              Assessment of Current Performance
This chart reflects both the volume and favourability of county council coverage across the local press in the form of EAV.
Equivalent Advertising Value (EAV) is an indicator used by the PR-industry to measure press coverage. EAV shows the
value of editorial if it had been paid for as advertising. The largest value of coverage during Q1 featured in the
Hertfordshire Mercury Series, which published £63,544-worth of stories. This was followed by the Comet Series with
£29,078 and the Hemel Gazette with £21,176. Total figure for EAV in qtr 1 is £207,043.
                                                        Actions Required




                                                          50
The Big 6 – Q1 April – June 2010

This report profiles six of the biggest news stories about the county council during the first quarter of 2010. There were 74
stories published in the local press during April, with 61 stories published in May and 112 in June. This lower volume of
coverage is due to the May election and the restrictions placed on news media during the purdah period.

East of England Plan Scrapped (ENV)

The scrapping of housing targets for Hertfordshire set out in the now defunct East of England plan proved a popular story for
the county’s press. Journalists followed proposals to build more than 100,000 homes in Hertfordshire closely and the decision
to abolish the plan was welcomed. Robert Gordon, Leader of the Council, was interviewed on BBC Look East TV. And Derrick
Ashley, Executive Member for Planning, appeared on local radio station Heart FM.
Articles appeared in the East Herts Herald, Herts Advertiser, Hemel Gazette, Hertfordshire Mercury Series and the Welwyn and
Hatfield Times.

School Admissions Change (CSF)

Changes made to the school admissions policy for 2011 were warmly received in Hertfordshire’s press. The county council will
move from a ‘shortest designated route’ to a ‘straight line’ measurement in deciding which school places are given to which
applicants. The story was covered in the Herts Advertiser, Hemel Gazette, Hertfordshire Mercury, St Albans Review and
Watford Observer. John Harris, Director of Children, Schools and Families, was interviewed on Heart FM.




Distracted Drivers (ENV)

A campaign publicising the results of a distraction driving survey received widespread coverage during the second-half of Q1.
Press releases distributed to the local news media highlighted unsafe activities spotted by council officers from juggling to
using a mobile phone. Articles appeared in the Hemel Hempstead Gazette, Hertfordshire Mercury Series, Stevenage
Advertiser, Stevenage Comet and Watford Observer. Stuart Pile, Executive Member for Highways and Transport, was
interviewed about the campaign on local radio stations Heart FM and Jack FM.

Our Dinners are Winners (CSF)

The increase in popularity of school dinners was publicised by the communications team and received positive coverage. A press
release highlighted that 40,000 school meals are served each day in the county’s primary schools – an 18.5 percent increase
over three years. The story featured in the East Herts Herald, Hemel Hempstead Gazette, Hertfordshire Mercury Series and
Royston Weekly News. Lin O’Brien, Head of Hertfordshire Catering Service, was interviewed on Heart FM.

Cadet is Life Saver (FIR)

The local press picked up on the story of a fire cadet with severe learning disabilities who saved her dad after he was injured
in an accident. The roles were reversed when Lauren Burnett summoned help for carer father Alan after a serious fall left him
unconscious. The story and photos of Fire Chief Roy Wilsher presenting Lauren with her award appeared in the Hertfordshire
Mercury Series, the Stevenage Advertiser, the Stevenage Comet and the Royston Weekly News. Lauren’s mother, Barbara
Burnett, was interviewed on BBC 3 Counties Radio.

Locality Budgets (S&P)

While not a single story in itself, coverage of projects funded by the locality budgets received more coverage in the county’s
press during the quarter than any other story. County councillors were given £10,000 each to back worthwhile community
projects in Hertfordshire and press releases issued about their grants by the communications team. Publicity was put on hold
during the purdah period, but 21 stories appeared after restrictions on the press were lifted.




                                                        51
                                             Satisfaction of Customers

   2009        12                                     61                                         18          7    2


   2008        13                                     60                                         18          7    2


   2007        9                                 59                                        16           11       4


          0%                       25%                        50%                       75%                      100%


       Very Satisfied     Fairly Satisfied    Neither Satisfied or Dissatisfied   Fairly Dissatisfied   Very Dissatisfied

                                                        Commentary
Nearly three quarters (73%) of residents express satisfaction with HCC in this survey which is the same as 2008. The
proportion reporting dissatisfaction this year is also the same as levels in 2008 at 9% but it is 6% points lower than
2007 (which is a significant difference).




                                                        52
Date of report: 30-Jul-10



                                                                            Risk and Controls Progress Report

 Risk Description
                                                                                                    Control Measure
 Corporate Priority               Current Risk   Risk owner        Progress Update - Risks                                                           Progress Update - Controls    Target Risk
                                                                                                    Owner - Status - Target Date
Category                             Score                                                                                                                                           Score
CSHF0002
                                  Very Severe    Claire Cook       Risk reviewed, progress noted.   -    CSHF0002/001                                CSHF0002/001                   Very Severe
 Corporate                            48                           01-Jul-2010                           Ensure diversity of investment strategies                                      32
                                                                                                                                                     Investment Strategy will be
                                                                                                         Patrick Towey - Existing -                  reviewed in December 2010.
Economic conditions or poor       Probability:                                                                                                       Control owner amended
investment decisions give          Possible                                                                                                          01-Jul-2010                   Probability:
rise to poor investment                                                                                                                                                             Unlikely
performance of the LG
                                    Impact:
pension fund                                                                                                                                                                        Impact:
                                   Very High
                                                                                                                                                                                   Very High
Created: 16/01/2009

P7. Being A Leading
Council


HFRS0004
                                  Very Severe    Peter Hazeldine   Risk & Control Measures          -    HFRS0004/001                                HFRS0004/001                     Severe
 Corporate                            48                           Reviewed by ACO Hazeldine             Integrated Personal Development System                                         24
                                                                                                                                                     Risk & Control Measures
                                                                   23/07/2010 - No Change                Peter Hazeldine - Existing -                Reviewed by ACO Hazeldine
                                                                   23-Jul-2010                                                                       23/07/2010 - No Change
There is a risk that failure to   Probability:
meet national training             Possible                                                                                                          23-Jul-2010                   Probability:
requirements will result in a                                                                                                                                                       Possible
poor operational
                                    Impact:
performance from personnel                                                                                                                                                           Impact:
                                   Very High
who are not fully trained and                                                                                                                                                         High
competent in their role.

Created: 22/01/2009

P7. Being A Leading
Council




                                                                                                    53
Created by SERMu
Date of report: 30-Jul-10



                                                                        Risk and Controls Progress Report
 Risk Ref
 Risk Description
                                                                                              Control Measure
 Corporate Priority               Current Risk   Risk owner   Progress Update - Risks                                                               Progress Update - Controls          Target Risk
                                                                                              Owner - Status - Target Date
Category                             Score                                                                                                                                                Score
HP0014
                                  Very Severe    Tony Comer   Risk reviewed - consider risk   -    HP0014/001                                       HP0014/001                           Very Severe
 Corporate                            48                      owner at next review                 Property database provides a framework for                                                32
                                                                                                                                                    Control reviewed, consider
                                                              29-Jun-2010                          identifying and controlling hazards              changing control owner in
                                                                                                   Keith Hutt - Existing -                          Autumn in view of property
Health and Safety risks are       Probability:
identified but the risk of them    Possible                                                                                                         restructure                         Probability:
not being actioned exists.                                                                    -    HP0014/002                                       01-Jul-2010                          Unlikely
These include Asbestos,                                                                            Policies and processes for controlling hazards   HP0014/002
                                    Impact:                                                        are in place.
Legionella and Glass Safety                                                                                                                         Control reviewed, no change          Impact:
                                   Very High                                                       Chris Hinge - Existing -
Filiming. Includes                                                                                                                                  01-Jul-2010                         Very High
contractors working in
schools using                                                                                                                                       HP0014/003
                                                                                              -    HP0014/003
devolved/delegated funds                                                                           A survey of condition of safety glazing and      Control reviewed - no change
not complying with H&S                                                                             programme of corrective works to be put in       01-Jul-2010
policies and regulations and                                                                       place.                                           HP0014/004
failure to procure property                                                                        Chris Hinge - Proposed -                         Control reviewed, no change
services contracts for                                                                                                                              01-Jul-2010
                                                                                              -    HP0014/004
asbestos removal, R&M and
                                                                                                   Hazards can be reported via the Property         HP0014/005
capital works. [COVERS
                                                                                                   Helpline                                         Control reviewed - still in pilot
HP0015,HP0019 and
HP0020]                                                                                            Chris Hinge - Existing -                         01-Jul-2010
                                                                                                                                                    HP0014/006
Created: 21/01/2009                                                                           -    HP0014/005                                       Review in Autumn in new HP
                                                                                                   Asbestos re-survey programme is in pilot         structure
P7. Being A Leading                                                                                phase                                            29-Jun-2010
Council                                                                                            Keith Hutt - In Progress -                       HP0014/008
                                                                                                                                                    Control reviewed - amend control
                                                                                              -    HP0014/006                                       owner at next review
                                                                                                   Improvement plan to be developed to cover        01-Jul-2010
                                                                                                   contractors working in schools
                                                                                                                                                    HP0014/009
                                                                                                   Keith Jennings - In Progress -
                                                                                                                                                    Assessments going ahead
                                                                                                                                                    29-Jun-2010
                                                                                              -    HP0014/008
                                                                                                   asbestos and legionnella working groups
                                                                                                   Chris Hinge - In Progress -



                                                                                              -    HP0014/009
                                                                                                   A phased programme of water risk
                                                                                                   assessments is taking place including the
                                                                                                   implementation of water risk logs
                                                                                                   Keith Hutt - Existing -




                                                                                              54
Created by SERMu
Date of report: 30-Jul-10



                                                                         Risk and Controls Progress Report
 Risk Ref
 Risk Description
                                                                                                  Control Measure
 Corporate Priority             Current Risk     Risk owner     Progress Update - Risks                                                              Progress Update - Controls           Target Risk
                                                                                                  Owner - Status - Target Date
 Category                          Score                                                                                                                                                    Score
ICT0008
                                Very Severe      John Alleyne   Risk reviewed - control measure   -    ICT0008/001                                   ICT0008/001                           Very Severe
 Corporate                          48                          002 updated                            Corporate Communication                                                                 32
                                                                                                                                                     Control reviewed no change
                                                                05-Jul-2010                            John Alleyne - Existing -                     06-Jul-2010
Loss/Disclosure of personal      Probability:                                                                                                        ICT0008/002
data extracted from               Possible                                                                                                                                                Probability:
                                                                                                                                                     July 2010 Tightening up
computer systems, including                                                                       -    ICT0008/002                                   procedures and strengthening          Unlikely
the electronic transfer of                                                                             Recommunicate policy                          policy in relation to dealing with
                                   Impact:                                                             John Alleyne - Existing -
personal data by email                                                                                                                               sending sensitive/personal            Impact:
                                  Very High
                                                                                                                                                     information by fax                   Very High
Created: 24/01/2008                                                                                                                                  05-Jul-2010
                                                                                                  -    ICT0008/003
P7. Being A Leading                                                                                                                                  ICT0008/003
                                                                                                       Link HCC into the Government's secure
Council                                                                                                network                                       Measure reviewed - no change
                                                                                                       John Alleyne - Existing -                     05-Jul-2010
                                                                                                                                                     ICT0008/004
                                                                                                       ICT0008/004                                   Control reviewed no change
                                                                                                  -                                                  06-Jul-2010
                                                                                                       Research and implement additional security
                                                                                                       features                                      ICT0008/005
                                                                                                       John Alleyne - In Progress -                  measure reviewed - no change
                                                                                                                                                     05-Jul-2010
                                                                                                  -    ICT0008/005
                                                                                                       Implemented additional encryption security
                                                                                                       features to cover personal and confidential
                                                                                                       data in emails
                                                                                                       Elizabeth Wainman - Existing -

HFRS0011
                                Very Severe      John Mills     Risk & Control Measures           -    HFRS0011/001                                  HFRS0011/001                            Material
 Corporate                          40                          Reviewed 23/07/2010 by DCO             A fire cover review will be undertaken in                                               8
                                                                                                                                                     Risk & Control Measures
                                                                Mills - No Change                      2009/10 for discussion of proposals and       Reviewed 23/07/2010 by DCO
                                                                23-Jul-2010                            implementation from 2010/11                   Mills - No Change
There is a risk that in           Probability:                                                         Martin Blunden - In Progress -
aligning delivery of services   Almost Certain                                                                                                       23-Jul-2010                          Probability:
by HFRS within the context                                                                                                                                                                  Likely
of efficiency savings
                                   Impact:
required by Government,                                                                                                                                                                     Impact:
                                    High
this may result in changes to                                                                                                                                                                 Low
the way services are
delivered to HCC residents.

Created: 27/01/2009

P7. Being A Leading
Council




                                                                                                  55
Created by SERMu
Date of report: 30-Jul-10



                                                                          Risk and Controls Progress Report
 Risk Ref
 Risk Description
                                                                                                  Control Measure
 Corporate Priority               Current Risk   Risk owner     Progress Update - Risks                                                                   Progress Update - Controls         Target Risk
                                                                                                  Owner - Status - Target Date
Category                             Score                                                                                                                                                     Score
HP0012
                                  Very Severe    Tony Comer     Risk reviewed                     -    HP0012/002                                         HP0012/002                            Severe
 Corporate                            32                        01-Jul-2010                            monthly updates in the resources and                                                       16
                                                                                                                                                          Control reviewed, no change
                                                                                                       performance management board with director         01-Jul-2010
                                                                                                       Dick Bowler - Existing -
The recession and credit          Probability:
crunch will cause a severe          Likely                                                                                                                                                   Probability:
drop in land values and                                                                                                                                                                        Likely
demand for sales resulting in
                                    Impact:
a dramatic reduction in                                                                                                                                                                       Impact:
                                     High
anticipated sales of assets                                                                                                                                                                   Medium

Created: 14/01/2009

P7. Being A Leading
Council


SERMU0001
                                  Very Severe    John Boulter   Risk reviewed, many works         -    SERMU0001/001                                      SERMU0001/001                       Very Severe
 Corporate                            32                        continue to ensure capabilities        LRF business plan to address areas of                                                      32
                                                                                                                                                          on going
                                                                are sufficient.                        concern / key priorities                           23-Jul-2010
                                                                23-Jul-2010                            Julia Draycon - Existing -
As a result of a failure of the   Probability:                                                                                                            SERMU0001/002
Local Resilience forum to          Unlikely                                                                                                                                                  Probability:
                                                                                                                                                           Efficiency review of LRF
provide adequate inter-                                                                           -    SERMU0001/002                                      underway by the Resillience team    Unlikely
agency plans which correctly                                                                           HCC an active particpant in LRF activity           23-Jul-2010
                                    Impact:                                                            Julia Draycon - Existing -
identify the capabilities                                                                                                                                                                     Impact:
                                   Very High
required to deal with a major                                                                                                                                                                Very High
                                                                                                                                                          SERMU0001/003
emergency in Hertfordshire
there is a risk that                                                                                   SERMU0001/003                                      Key exercise(exercise Orion) due
                                                                                                  -                                                       for september
Hertfordshire’s multi- agency                                                                          programme of training and exercising to
response will not be fully                                                                             prepare managers for their role and                23-Jul-2010
effective                                                                                              responsibilities in a major incident response      SERMU0001/004
                                                                                                       Julia Draycon - Existing -                         on going
(formally SERM0002)                                                                                                                                       26-Jul-2010
                                                                                                       SERMU0001/004                                      SERMU0001/005
Created: 15/01/2009                                                                               -
                                                                                                       Resillience planning for the Olympics              new control
P7. Being A Leading                                                                                    Julia Draycon - In Progress -                      26-Jul-2010
Council

                                                                                                  -    SERMU0001/005
                                                                                                       review of LRF structure to identify efficiencies
                                                                                                       Julia Draycon - In Progress -




                                                                                                  56
Created by SERMu
Date of report: 30-Jul-10



                                                                         Risk and Controls Progress Report
 Risk Ref
 Risk Description
                                                                                                     Control Measure
 Corporate Priority            Current Risk   Risk owner       Progress Update - Risks                                                                    Progress Update - Controls        Target Risk
                                                                                                     Owner - Status - Target Date
Category                          Score                                                                                                                                                       Score
CSHF0005
                               Very Severe    Claire Cook      New controls identified and           -    CSHF0005/001                                    CSHF0005/001                         Material
 Corporate                         32                          raised due to a failure in                 Ongoing training and induction for new budget                                          8
                                                                                                                                                          All budget managers have signed
                                                               budgetary control leading to               managers                                        for their budgets. New reports
                                                               overspending. The review of the            Andrew Nightingale - Existing -                 are being rolled-out by
Failure of budgetary control   Probability:
                                                               risk by R&P Board 14 July 2010                                                             September                         Probability:
leading to overspending          Likely
                                                               increased the probability to likely        CSHF0005/002                                    01-Jul-2010                          Rare
                                                               and escalated the risk to the
                                                                                                     -
Created: 16/01/2009                                                                                       Actions to mitigate impact of in year          CSHF0005/002
                                 Impact:                       Corporate Register.                        overspends are developed and monitored
                                  High                         15-Jul-2010                                                                               Action plans being developed by      Impact:
P7. Being A Leading                                                                                       Claire Cook - Proposed -                                                             High
                                                                                                                                                         ACS and CSF
Council                                                                                                                                                  15-Jul-2010
                                                                                                     -    CSHF0005/003
                                                                                                                                                         CSHF0005/003
                                                                                                          Provide a revised Rev & Cap budget to
                                                                                                          members in July; include a series of proposals New control measure raised
                                                                                                          to mitigate impact of in year overspends       01-Jul-2010
                                                                                                          Claire Cook - In Progress - 30/07/2010


CSCE0009
                               Very Severe    Louise Tibbert   Progress and updates to risk and      -    CSCE0009/001                                    CSCE0009/001                       Very Severe
 Corporate                         32                          controls noted. Risk reviewed by           Robust policy and practice agreed by                                                   32
                                                                                                                                                          Control measure reviewed, no
                                                               R&P Board 14th July 2010.                  Safeguarding Board                              changes
                                                               15-Jul-2010                                Louise Tibbert - In Progress -                  06-Jul-2010
Failure to comply with safe    Probability:
staffing legislation and        Unlikely                                                                                                                  CSCE0009/002                      Probability:
agreed HCC policy and                                                                                -    CSCE0009/002                                                                       Unlikely
                                                                                                                                                          Control measure reviewed, no
practice leads to lack of                                                                                 Regular review and monitoring of policy and
                                 Impact:                                                                                                                  changes
protection for HCC service                                                                                practice to comply with emerging legislation                                       Impact:
                                Very High                                                                                                                 06-Jul-2010
users (e.g. children and                                                                                  and good practice requirements
                                                                                                                                                                                            Very High
vulnerable adults)                                                                                        Louise Tibbert - In Progress -


(Formerly risk ref
CSCE0005)

Created: 10/10/2009

P7. Being A Leading
Council




                                                                                                     57
Created by SERMu
Date of report: 30-Jul-10



                                                                        Risk and Controls Progress Report
 Risk Ref
 Risk Description
                                                                                                  Control Measure
 Corporate Priority              Current Risk   Risk owner     Progress Update - Risks                                                                Progress Update - Controls         Target Risk
                                                                                                  Owner - Status - Target Date
Category                            Score                                                                                                                                                  Score
CSCE0002
                                 Very Severe    Mike Parsons   Progress and updates to controls   -    CSCE0002/001                                   CSCE0002/001                          Severe
 Corporate                           32                        noted. Risk reviewed by R&P             Effective use of Equality Impact assessments                                           24
                                                                                                                                                      Single Equality Strategy agreed,
                                                               Board 14th July 2010.                   throughout HCC                                 including commitment on EQIAs.
                                                               15-Jul-2010                             Chris Badger - In Progress -                   A streamlined approach has been
Legal action is instigated       Probability:
against the authority for          Likely                                                                                                             agreed for transformation.         Probability:
policies or decisions that are                                                                    -    CSCE0002/002                                   28-Jun-2010                         Possible
judged to be discriminatory                                                                            Regular equal pay audits to identify risks
                                   Impact:                                                             Louise Tibbert - Existing -
or non-compliant with                                                                                                                                 CSCE0002/002                         Impact:
                                    High
equalities legislation (incl                                                                                                                                                                High
                                                                                                                                                      Control measure reviewed, no
equal pay risks)                                                                                                                                      changes
                                                                                                  -    CSCE0002/003                                   06-Jul-2010
Created: 21/05/2009                                                                                    Addressing any equal pay risks identified
                                                                                                                                                      CSCE0002/003
                                                                                                       Louise Tibbert - In Progress -
P7. Being A Leading                                                                                                                                   Control measure reviewed, no
Council                                                                                                                                               changes
                                                                                                                                                      06-Jul-2010
                                                                                                  -    CSCE0002/004
                                                                                                       Robust management of pay practice              CSCE0002/004
                                                                                                       Louise Tibbert - Existing -                    Control measure reviewed, no
                                                                                                                                                      changes
                                                                                                                                                      06-Jul-2010
                                                                                                       CSCE0002/006                                   CSCE0002/006
                                                                                                  -
                                                                                                       Regular review of employment policy and        Control measure reviewed, no
                                                                                                       practice to respond to emerging case law and   changes
                                                                                                       legislation                                    06-Jul-2010
                                                                                                       Louise Tibbert - Existing -




                                                                                                  58
Created by SERMu
Date of report: 30-Jul-10



                                                                     Risk and Controls Progress Report
 Risk Ref
 Risk Description
                                                                                               Control Measure
 Corporate Priority           Current Risk   Risk owner     Progress Update - Risks                                                             Progress Update - Controls         Target Risk
                                                                                               Owner - Status - Target Date
Category                         Score                                                                                                                                               Score
CSCE0003
                              Very Severe    Mike Parsons   Progress and updates to risk and   -    CSCE0003/002                                CSCE0003/002                          Severe
 Corporate                        32                        controls noted. Risk reviewed by        Valuation and Asset Accounting Project -                                            16
                                                                                                                                                Bring in line with Risk review
                                                            R&P Board 14th July 2010.               processes and procedures being formalised   23-Jul-2010
                                                            15-Jul-2010                             Keith Jennings - In Progress -
As a result of a failure to   Probability:                                                                                                      CSCE0003/003
undertake the relevant         Unlikely                                                                                                                                            Probability:
                                                                                                                                                The necessary adjustmenets to
actions in the Annual                                                                          -    CSCE0003/003                                the 2009/10 accounts have been        Rare
Governance Report Action                                                                            Manage the implementation of IFRS in line   made. The re-statements
                                Impact:                                                             with statutory requirements
Plan, the accounts remain                                                                                                                       necessary for 2010/11 will be       Impact:
                               Very High                                                            Claire Cook - Existing - 01/11/2010
qualified                                                                                                                                       undertaken in the Autumn in        Very High
                                                                                                                                                relation to IFRS
Created: 10/10/2009                                                                                 CSCE0003/004                                01-Jul-2010
                                                                                               -
                                                                                                    Six monthly review of Annual Governance
P7. Being A Leading                                                                                                                             CSCE0003/005
                                                                                                    Report Action Plan to Audit Committee
Council                                                                                             Claire Cook - Existing -                    Control transferred from
                                                                                                                                                CSCE0001 (due to abolition of
                                                                                                                                                CAA).
                                                                                               -    CSCE0003/005                                VAA project: still to completely
                                                                                                    Completion of Annual Governance Report      finalise procedures
                                                                                                    action plan                                 Working papers: now have
                                                                                                    Claire Cook - In Progress - 30/11/2010      improved cross-cutting working
                                                                                                                                                papers, but work will not be
                                                                                                                                                completed until the autumn, when
                                                                                                                                                audit testing will occur
                                                                                                                                                06-Jul-2010




                                                                                               59
Created by SERMu
Date of report: 30-Jul-10



                                                                         Risk and Controls Progress Report
 Risk Ref
 Risk Description
                                                                                                   Control Measure
 Corporate Priority               Current Risk   Risk owner     Progress Update - Risks                                                                   Progress Update - Controls      Target Risk
                                                                                                   Owner - Status - Target Date
Category                             Score                                                                                                                                                  Score
CSCE0007
                                  Very Severe    Mike Parsons   Progress and updates to controls   -    CSCE0007/001                                      CSCE0007/001                       Severe
 Corporate                            32                        noted. Risk reviewed by R&P             Regular monitoring and workforce planning                                              16
                                                                                                                                                          Control measure reviewed, no
                                                                Board 14th July 2010.                   Louise Tibbert - Existing -                       changes
                                                                15-Jul-2010                                                                               06-Jul-2010
Failure to attract, recruit and   Probability:
retain the right people and        Unlikely                                                                                                               CSCE0007/002                    Probability:
right skills particularly in                                                                       -    CSCE0007/002                                                                         Rare
                                                                                                                                                          Control measure reviewed, no
shortage and key/specialist                                                                             Line managers identify critical posts and post
                                    Impact:                                                                                                               changes
skill areas, and maintain                                                                               holders via workforce planning                                                     Impact:
                                   Very High                                                                                                              06-Jul-2010
staff engagement - groups of                                                                            Louise Tibbert - Existing -                                                       Very High
                                                                                                                                                          CSCE0007/003
employees leave HCC at the
same time or over a short                                                                               CSCE0007/003                                      Control measure reviewed, no
                                                                                                   -                                                      changes
period (COVERS                                                                                          Maintain PMDS system, finance career
CSHF0003, HR0008,                                                                                       scheme, training scheme                           01-Jul-2010
HR0009, ICT0004]                                                                                        Claire Cook - Existing -                          CSCE0007/004
                                                                                                                                                          Control Measure reviewed - no
Created: 15/10/2009                                                                                                                                       change
                                                                                                   -    CSCE0007/004
                                                                                                        ICT career scheme to encourage                    05-Jul-2010
P7. Being A Leading
                                                                                                        development and retention                         CSCE0007/006
Council
                                                                                                        John Alleyne - Existing -                         Control Measure reviewed - no
                                                                                                                                                          change
                                                                                                        CSCE0007/006                                      05-Jul-2010
                                                                                                   -
                                                                                                        Ensure that quality of outsourced                 CSCE0007/007
                                                                                                        arrangements not ony meet SLAs, KPIs etc,         Control Measure reviewed - no
                                                                                                        but are delivered by suitable experience/skills   change
                                                                                                        mix                                               05-Jul-2010
                                                                                                        John Alleyne - Existing -
                                                                                                                                                          CSCE0007/008
                                                                                                   -    CSCE0007/007                                      Control measure reviewed, no
                                                                                                        Ensure the ability to call upon key service       changes
                                                                                                        providers to meet any short term in-house         06-Jul-2010
                                                                                                        IS/IT skills gap
                                                                                                        John Alleyne - Existing -
                                                                                                   -    CSCE0007/008
                                                                                                        Regular monitoring of the employment
                                                                                                        'package' to help ensure HCC remains an
                                                                                                        Employer of Choice
                                                                                                        Louise Tibbert - Existing -




                                                                                                   60
Created by SERMu
Date of report: 30-Jul-10



                                                                         Risk and Controls Progress Report
 Risk Ref
 Risk Description
                                                                                          Control Measure
 Corporate Priority               Current Risk   Risk owner     Progress Update - Risks                                                        Progress Update - Controls   Target Risk
                                                                                          Owner - Status - Target Date
Category                             Score                                                                                                                                    Score
CFTF0006
                                  Very Severe    Mike Parsons                             -    CFTF0006/001                                                                    Severe
 Corporate                            32                        29-Jul-2010                    Procedure to engage with recognised Trade                                         16
                                                                                               Unions
                                                                                               Iain Taylor- Allen - In Progress - 29/03/2013
Given the size of the             Probability:
‘Council for the Future’            Likely                                                                                                                                  Probability:
transformation programme it                                                                                                                                                  Unlikely
is likely to include a number
                                    Impact:
of projects that have the                                                                                                                                                     Impact:
                                     High
potential to lead to industrial                                                                                                                                                High
action if satisfactory terms of
agreement are not reached
with trade unions - the most
immediate risk being failure
to gain trade union
agreement on redundancy
provisions. A further
potentially significant
influence on industrial
relations at the local level
stems from any change(s) to
the nature of the national
industrial relations climate.

Created: 12/07/2010

P7. Being A Leading
Council




                                                                                          61
Created by SERMu
Date of report: 30-Jul-10



                                                                      Risk and Controls Progress Report
 Risk Ref
 Risk Description
                                                                                       Control Measure
 Corporate Priority            Current Risk   Risk owner     Progress Update - Risks                                                     Progress Update - Controls   Target Risk
                                                                                       Owner - Status - Target Date
Category                          Score                                                                                                                                 Score
CFTF0003
                               Very Severe    Mike Parsons                             -    CFTF0003/001                                 CFTF0003/001                    Severe
 Corporate                         32                        29-Jul-2010                    A protocol focussed on how to engage with                                      24
                                                                                            recognised trade unions around procurement   29-Jul-2010
                                                                                            activity has been developed
As a result of a significant   Probability:                                                                                              CFTF0003/002
                                                                                            Mike Parsons - In Progress - 27/03/2013                                   Probability:
proportion of the Council’s      Likely
expenditure being                                                                      -    CFTF0003/002                                                               Possible
                                                                                                                                         29-Jul-2010
accounted for by externally                                                                 ‘Do, Buy, Share’ model of procurement
                                 Impact:                                                    Mike Parsons - In Progress - 29/03/2013
commissioned services -                                                                                                                                                 Impact:
                                  High
when compared to spend on                                                                                                                                                High
directly employed staff –
there is a risk that
insufficient investment in
commissioning/contract
management skills and
competencies may result in
only the partial meeting of
savings target(s), for
example, the inability to
effectively manage external
relationships in a
challenging economic
climate.

Created: 09/07/2010

P7. Being A Leading
Council




                                                                                       62
Created by SERMu
Date of report: 30-Jul-10



                                                                       Risk and Controls Progress Report
 Risk Ref
 Risk Description
                                                                                        Control Measure
 Corporate Priority             Current Risk   Risk owner     Progress Update - Risks                                                  Progress Update - Controls   Target Risk
                                                                                        Owner - Status - Target Date
Category                           Score                                                                                                                              Score
CFTF0005
                                  Severe       Mike Parsons                             -    CFTF0005/001                              CFTF0005/001                    Severe
 Corporate                          24                        29-Jul-2010                    Virtual Policy Network                                                      24
                                                                                             Mike Parsons - In Progress - 29/03/2013   29-Jul-2010
As a result of the influence    Probability:
from the changing national       Possible                                                                                                                           Probability:
political context, there is a                                                                                                                                        Possible
risk that progress with
                                  Impact:
‘Council for the Future’                                                                                                                                              Impact:
                                   High
transformation projects may                                                                                                                                            High
be adversely impacted upon
- particularly in response to
any changes to local
finances and/or decision
making.

Created: 09/07/2010

P7. Being A Leading
Council




                                                                                        63
Created by SERMu
Date of report: 30-Jul-10



                                                                   Risk and Controls Progress Report
 Risk Ref
 Risk Description
                                                                                          Control Measure
 Corporate Priority          Current Risk   Risk owner   Progress Update - Risks                                                             Progress Update - Controls           Target Risk
                                                                                          Owner - Status - Target Date
Category                        Score                                                                                                                                               Score
AUDIT0001
                               Severe       Tony Hall    Risk Ownership changes to        -    AUDIT0001/001                                 AUDIT0001/001                           Material
 Corporate                       24                      interim Chief internal auditor        Risk based programme of internal audit                                                  8
                                                                                                                                             ongoing -all internal audit briefs
                                                         30-Jul-2010                           focussing on areas susceptible to fraud       issued specify high risk areas
                                                                                               Tony Hall - Existing -                        23-Jul-2010
As a result of the current   Probability:
recession there is an         Possible                                                                                                                                            Probability:
increased risk that the                                                                   -    AUDIT0001/002                                 AUDIT0001/002                           Rare
Council experiences                                                                            e learning package now acquired for
                               Impact:                                                                                                       No change
significant fraud                                                                              managers fraud awareness training                                                    Impact:
                                High                                                                                                         30-Jul-2010
                                                                                               Tony Hall - Existing -                                                                High
(formally CSH0007)
                                                                                               AUDIT0001/004                                 AUDIT0001/004
Created: 16/01/2009                                                                       -    Negotiation with Districts on shared fraud
                                                                                               hotline under Pathfinder project              23-Apr-2010
P7. Being A Leading                                                                            Tony Hall - In Progress -
Council
                                                                                               AUDIT0001/005
                                                                                                                                             AUDIT0001/005
                                                                                          -    HertsDirect facility for public reporting
                                                                                               suspicions direct to Chief Internal Auditor
                                                                                               Tony Hall - Existing -                        23-Apr-2010




                                                                                          64
Created by SERMu
Date of report: 30-Jul-10



                                                                          Risk and Controls Progress Report
 Risk Ref
 Risk Description
                                                                                           Control Measure
 Corporate Priority              Current Risk   Risk owner       Progress Update - Risks                                                   Progress Update - Controls       Target Risk
                                                                                           Owner - Status - Target Date
Category                            Score                                                                                                                                     Score
BS0001
                                   Severe       Stewart.McGinn                             -    BS0001/001                                 BS0001/001                          Severe
 Corporate                           24                          06-Jul-2010                    Continue to monitor expenditure and seek                                         16
                                                                                                                                           Risk and Control Measure
                                                                                                new business                               reviewed 6th July. No changes
                                                                                                Stewart.McGinn - In Progress -             required. next review date has
As a result of activity from     Probability:
our competitors within the        Possible                                                                                                 been set for 4/10/10.            Probability:
private sector and                                                                                                                         29-Jul-2010                       Unlikely
manoeuvring within the
                                   Impact:
public sector, there is a risk                                                                                                                                                Impact:
                                    High
that                                                                                                                                                                           High
competitors may attract HBS
existing customers putting
pressures on the services
ability to meet targeted
contributions

(FORMALLY HBS0029)

Created: 14/01/2009

P7. Being A Leading
Council




                                                                                           65
Created by SERMu
Date of report: 30-Jul-10



                                                                         Risk and Controls Progress Report
 Risk Ref
 Risk Description
                                                                                                Control Measure
 Corporate Priority               Current Risk   Risk owner     Progress Update - Risks                                                        Progress Update - Controls   Target Risk
                                                                                                Owner - Status - Target Date
Category                             Score                                                                                                                                    Score
CFTF0007
                                    Severe       Mike Parsons   Risk review shceduled for W/C   -    CFTF0007/001                              CFTF0007/001                    Severe
 Corporate                            24                        9th August 2010                      Transformation Programme Management                                         16
                                                                29-Jul-2010                          Office                                    29-Jul-2010
                                                                                                     Mike Parsons - In Progress - 29/03/2013
As a result of the strong         Probability:
financial thrust for change        Possible                                                                                                                                 Probability:
the most serious risk would                                                                                                                                                  Unlikely
come from failure to deliver
                                    Impact:
the efficiency/ effectiveness                                                                                                                                                 Impact:
                                     High
savings identified in the                                                                                                                                                      High
‘Council for the Future’
programme. There is an
additional associated risk
that if transformation is not
effectively managed from a
cultural, as well as
operational perspective, the
values underpinning ‘Council
for the Future’ will fail to be
taken up (lost), which may
have negative
consequences for the
Council in terms of savings
delivery, service quality and
staff performance - for
example, Corporate Plan
and Safeguarding.

Created: 12/07/2010

P7. Being A Leading
Council




                                                                                                66
Created by SERMu
Date of report: 30-Jul-10



                                                                        Risk and Controls Progress Report
 Risk Ref
 Risk Description
                                                                                                   Control Measure
 Corporate Priority           Current Risk     Risk owner     Progress Update - Risks                                                                Progress Update - Controls    Target Risk
                                                                                                   Owner - Status - Target Date
Category                         Score                                                                                                                                               Score
HC0001
                                 Severe        Carol Weller                                        -    HC0001/001                                   HC0001/001                       Severe
 Corporate                         20                         29-Jul-2010                               Work with schools and Schools Forum to                                          20
                                                              The school meal price has been            ensure a full understanding of the issues.   29-Jul-2010
                                                              increased from September 2010             Carol Weller - Existing - 28/01/2011
As the current funding          Probability:
arrangements are due for      Almost Certain                  to contribute to the shortfall                                                                                        Probability:
review in 2011, there is a                                    should the funding be                                                                                               Almost Certain
risk of the non renewal of                                    discontinued. When the decision
                                 Impact:                      about further funding has been
government funding ( non                                                                                                                                                             Impact:
                                 Medium                       communicated, then an informed
renewal of the circa £1.3M                                                                                                                                                           Medium
grant for HCC ) as a result                                   decision can be made as to
there would be a need for a                                   whether a further increase will be
significant increase in the                                   necessary.
cost of school meals                                          29-Jul-2010
particularly to parents of
primary school children,
which could lead to a
decrease in the uptake
making the business less
viable.

(FORMALLY CSHC0010)

Created: 20/10/2009

P7. Being A Leading
Council




                                                                                                   67
Created by SERMu
Date of report: 30-Jul-10



                                                                        Risk and Controls Progress Report
 Risk Ref
 Risk Description
                                                                                                 Control Measure
 Corporate Priority              Current Risk   Risk owner     Progress Update - Risks                                                                 Progress Update - Controls      Target Risk
                                                                                                 Owner - Status - Target Date
Category                            Score                                                                                                                                                Score
SERMU0002
                                   Severe       John Boulter   After risk review ownership has   -    SERMU0002/001                                    SERMU0002/001                      Material
 Corporate                           16                        been reassigned to the Head of         robust plans in place for all departments /                                           8
                                                                                                                                                       on going
                                                               SERMu and probability reduced.         service areas and 4 principal office locations   23-Jul-2010
                                                               23-Jul-2010                            Julia Draycon - In Progress -
As a result of a failure to      Probability:                                                                                                          SERMU0002/002
prepare adequate Corporate          Rare                                                                                                                                               Probability:
                                                                                                                                                       on going
and departmental generic                                       Risk reviewed, New control        -    SERMU0002/002                                                                       Rare
                                                                                                                                                       27-Apr-2010
BCP plans. There is a risk                                     identified                             regular reporting to R&S Board and SMB on
                                   Impact:                                                            plan reviews, traiing and exercising             SERMU0002/003
that, should a major incident                                  23-Jul-2010                                                                                                               Impact:
                                  Very High                                                           Julia Draycon - Existing -                       on going
take place (to building,                                                                                                                                                                  High
technology & people) there                                                                                                                             23-Jul-2010
will be insufficient back up                                                                          SERMU0002/003                                    SERMU0002/004
                                                                                                 -
arrangements in place,                                                                                work programme to focus support on key           New control
resulting in a higher level of                                                                        areas where vulerability is greatest             26-Jul-2010
disruption than anticipated                                                                           Julia Draycon - Existing -
causing increased disruption
to key resources.
                                                                                                 -    SERMU0002/004
                                                                                                      Exercise Orion to test and validate resillence
(FORMALLY SERM0005)
                                                                                                      response.
Created: 15/01/2009                                                                                   Julia Draycon - In Progress -

P7. Being A Leading
Council




ICT0009
                                   Severe       John Alleyne   New control measure added         -    ICT0009/001                                      ICT0009/001                        Severe
 Corporate                           16                        05-Jul-2010                            Firewalls & technical data security measures                                          16
                                                                                                                                                       measure reviewed - no change
                                                                                                      in place                                         05-Jul-2010
                                                                                                      John Alleyne - Existing -
Virus attack or security         Probability:                                                                                                          ICT0009/002
breach - hacking or               Unlikely                                                                                                                                             Probability:
                                                                                                                                                       Control Measure reviewed - no
malicious internal action -                                                                      -    ICT0009/002                                      change                           Unlikely
which causes significant                                                                              carry out security test on all new               05-Jul-2010
                                   Impact:                                                            systems/applications
service disruption                                                                                                                                                                       Impact:
                                    High                                                              John Alleyne - Existing -                                                           High
Created: 21/01/2009
                                                                                                 -    ICT0009/003
P7. Being A Leading                                                                                   Annual program of third party probe tests
Council                                                                                               John Alleyne - Existing -




                                                                                                 68
Created by SERMu
Date of report: 30-Jul-10



                                                                       Risk and Controls Progress Report
 Risk Ref
 Risk Description
                                                                                         Control Measure
 Corporate Priority             Current Risk   Risk owner     Progress Update - Risks                                                    Progress Update - Controls   Target Risk
                                                                                         Owner - Status - Target Date
Category                           Score                                                                                                                                Score
CFTF0001
                                  Severe       Mike Parsons                              -    CFTF0001/001                               CFTF0001/001                    Severe
 Corporate                          16                        29-Jul-2010                     Development of Organisational Values and                                     12
                                                                                              Behaviours                                 29-Jul-2010
                                                              29-Jul-2010                     Mike Parsons - In Progress - 29/03/2013
As a result of HCC relying      Probability:                                                                                             CFTF0001/002
heavily on the goodwill and       Likely                      Review scheduled for W/C                                                                                Probability:
                                                                                                                                         Review scheduled for W/C
commitment of staff across                                    09/08/10                   -    CFTF0001/002                               09/08/10                      Possible
all areas of the organisation                                 29-Jul-2010                     Staff Suggestion Scheme                    29-Jul-2010
                                  Impact:                                                     Mike Parsons - In Progress - 29/03/2013
– with colleagues frequently                                                                                                             CFTF0001/003                  Impact:
                                  Medium
working in excess of their                                    29-Jul-2010                                                                                              Medium
contractual hours – there is                                  Review scheduled for W/C
a risk that transformative                                                                                                               29-Jul-2010
                                                              09/08/10                   -    CFTF0001/003
change, particularly change                                   29-Jul-2010                     Stakeholder Identification and Analysis
predicated on reducing the                                                                    Mike Parsons - In Progress - 29/03/2013
Council’s operating costs,
will unsettle staff and their
relationship with the
organisation, potentially
resulting in reductions in
service performance and a
negative internal perception
of HCC’s reputation as a
high standard employer.

Created: 09/07/2010

P7. Being A Leading
Council




                                                                                         69
Created by SERMu
Date of report: 30-Jul-10



                                                                          Risk and Controls Progress Report
 Risk Ref
 Risk Description
                                                                                           Control Measure
 Corporate Priority                Current Risk   Risk owner     Progress Update - Risks                                                  Progress Update - Controls   Target Risk
                                                                                           Owner - Status - Target Date
Category                              Score                                                                                                                              Score
CFTF0002
                                     Severe       Mike Parsons                             -    CFTF0002/001                              CFTF0002/001                    Material
 Corporate                             12                        29-Jul-2010                    Management Road Shows                                                       8
                                                                                                Mike Parsons - In Progress - 29/03/2013   29-Jul-2010
As a result of the need to         Probability:                                                                                           CFTF0002/002
retain the right people to          Possible                                                                                                                           Probability:
deliver ‘Council for the                                                                   -    CFTF0002/002                                                            Unlikely
                                                                                                                                          29-Jul-2010
Future’, there is a risk that if                                                                Employment Engagement and Talent
                                     Impact:                                                    Strategies
staff do not have a good                                                                                                                                                Impact:
                                     Medium                                                     Mike Parsons - Proposed - 29/03/2013
understanding of the change                                                                                                                                             Medium
programme, how they can
contribute to its development
and the shape HCC will take
in the future, skilled and
experienced staff crucial to
leading and driving
operations in the new
organisation will leave.

Created: 09/07/2010

P7. Being A Leading
Council




                                                                                           70
Created by SERMu
Date of report: 30-Jul-10



                                                                            Risk and Controls Progress Report
 Risk Ref
 Risk Description
                                                                                             Control Measure
 Corporate Priority              Current Risk   Risk owner         Progress Update - Risks                                                      Progress Update - Controls   Target Risk
                                                                                             Owner - Status - Target Date
Category                            Score                                                                                                                                      Score
CFTF0004
                                   Severe       Mike Parsons                                 -    CFTF0004/001                                  CFTF0004/001                    Material
 Corporate                           12                            29-Jul-2010                    Stakeholder Analysis (External)                                                 8
                                                                                                  Mike Parsons - In Progress - 29/03/2013       29-Jul-2010
As a result of complex public    Probability:
perceptions concerning            Possible                                                                                                                                   Probability:
(reduced) levels of service                                                                                                                                                   Unlikely
delivery for Hertfordshire's
                                   Impact:
communities – including the                                                                                                                                                   Impact:
                                   Medium
impact of changes to HCC’s                                                                                                                                                    Medium
workforce size and structure
(i.e. redundancies) – there is
a risk that failure by the
Council to engage with its
stakeholders, - informing
them about transformation -
may result in significant
damage to its reputation.

Created: 09/07/2010

P7. Being A Leading
Council




BS0021
                                  Material      Charles Greasley                             -    BS0021/001                                    BS0021/001                      Severe
 Corporate                          6                              06-Jul-2010                    Closely monitor future budgets and maximise                                     12
                                                                                                  potential new income from non HCC sources     06-Jul-2010
                                                                                                  Charles Greasley - In Progress -
A reduction in departmental      Probability:
budgets will reduce               Possible                                                                                                                                   Probability:
Reprographics turnover                                                                                                                                                        Possible
resulting in a reduction of
                                   Impact:
profit                                                                                                                                                                        Impact:
                                     Low
                                                                                                                                                                              Medium
Created: 20/04/2010

P7. Being A Leading
Council




                                                                                             71
Created by SERMu

								
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