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					                                                                                                                                                     NHS WARWICKSHIRE- CENTRAL RISK REGISTER
Quarter 3                         October - December 2010


   Ref.     Date added Review                                  Risk Description                                                        Risk Rating                                                      Actions to date                                      Actions outstanding                          Lead          Assurance
            to Register Date                                                                                                                                                                                                                                                                                             given by




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                                                                                                                                                                            Orange
COR          Nov-08      Mar-11   Failure to meet targets for Staff Development Review (PDP) .                      3            4       12                     12                   Sep 10 - Report to HR/OD; Compliance has now                                                                   Caroline Fraser       HR & OD
1                                 Impacts on Use of Resources Assessment                                                                                                             fallen to 23%. New documentation introduced                                                                                         Committee
                                                                                                                                                                                     and has been well received. Continue to remind
                                                                                                                                                                                     managers to send completed forms for recording
                                                                                                                                                                                     to L&D.
                                                                                                                                                                                     Dec 10 - Slight improvement ot 27% compliance.
                                                                                                                                                                                     New simpler fomat implemented to encourage
                                                                                                                                                                                     take up and reporting. Target is 80% (CQC
                                                                                                                                                                                     expetation 2009)




                                                                                                                                                                            yellow
                                                                                                                                                    ↓
COR 5(1)     Nov-09               Failure to cascade DH safety alerts to community pharmacies                        2           3            6                 8                                                                               Risk removed as it has diminished. 73 of Caroline                           PEC
                                  within 6 hours. Some community pharmacists are not on e-mail so                                                                                                                                               the 99 pharmacies are now able to receive Galloway
                                  are unable to receive Department of Health safety alerts within the                                                                                                                                           aleerts via e-mail. Remaining pharmacies
                                  distribution timeframe which for some is 6 hours. There is also no                                                                                                                                            recive these via first class post
                                  means of confirming receipt of alerts


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                                                                                                                                                                            Orange
COR 11        Nov-09     Mar-11   Risk of capacity to deliver due to vacancies/gaps in infrastructure               3            3            9                 9                    Senior roles advertised across the Cluster and             Review of vacancies and bank and agency use         Rachel Pearce     Cluster
                                                                                                                                                                                     opportunities for share working to be explored.            by Cluster HR Leads                                                   Management
                                                                                                                                                                                     Sickness rate for NHSW 3.29%. Turnover stable.                                                                                   Board/ HR/OD
                                                                                                                                                                                     Position may deteriorate Nov/Dec.                                                                                                working group




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                                                                                                                                                                            Orange
COR 12        Jan-10     Mar-11   Poor achievements against targets e.g. Chlamydia, two week                         3           4        12                    12                   Review by Finance & Performance Committee                                                                      Gill Entwistle    Finance &
                                  breast symptom referral, stroke, delayed transfers of care.                                                                                        and by Trust Board through performance review.                                                                                   Performance
                                                                                                                                                                                     Regular updates through Information                                                                                              Committee
                                                                                                                                                                                     Performance Officer.
COR 14       April-10   Dec-10    NHSW PCs currently allow unrestricted access to USB ports. This                    4           4        16         ↔          16          Red      Access to PCs is restricted to authorised users. Policy Project on target to be rolled out in NHSW Judith Jordan
                                                                                                                                                                                     updates have made clear what is
                                                                                                                                                                                                                                                                                                                      Information
                                                                                                                                                                                                                                                                                                                      Governance
                                  means that any USB device can be connected to the network and                                                                                                                                                October 2010 in order to complete the
                                  data can be extracted                                                                                                                              acceptable/unacceptable practice. WCH USB ports           project.                                                               Steering Group
                                                                                                                                                                                     have now been locked thus ensuring only devices on an
                                                                                                                                                                                     authorised white list can be used. This exercise is to be
                                                                                                                                                                                     rolled out in Westgate House early October.


                                                                                                                                                     ↔
                                                                                                                                                                            Red




COR 16        July-10    Dec-10   Contracts/Robust Monitoring in Care Homes where we purchase services              4            4        16                    16                   Joint Working Group set up with Warwickshire County                                                            Laura Mhlanga/    Quality, Safety &
                                  are not in place. There is a risk of ongoing safeguarding and poor quality care                                                                    Council to develop shared contract monitoring.                                                                 Jill Freer        Governance
                                                                                                                                                                                     National contract is being issued and out for November                                                                           Committee
                                                                                                                                                                                     2010. Deloittes working regionally on a regional
                                                                                                                                                                                     procurement framework.
                                                                                                                                                                            Orange




              Jul-10     Feb-11                                                                                     3            3                              15                   Assurance has now been given by Warwickshire                The situation will continue to be monitored with   Kathryn Millard   Public Health

                                                                                                                                                    ↓
COR 17                            Concerns about backlog and possible loss to follow-up of ophthalmology                                      9
                                  patients referred to provider units from the diabetic retinal screening                                                                            provider hospitals that there are not significant backlogs, the provider Trusts, NHS Coventry and the
                                  programme. May lead to avoidable deterioration of sight                                                                                            and this current situation has been confirmed by the        retinal screening service.
                                                                                                                                                                                     retinal screening unit. With UHCW, there is a process in
                                                                                                                                                                                     place to resolve the problem.
                                                                                                                                                                            yellow




              Aug-10     Mar-11                                                                                     3            2                              12                   Clarification of financial position sought but no response This risk can now be removed as the care      Richard Ward            Executive Team

                                                                                                                                                    ↓
COR 18                            Business Continuity concerns of care employment services                                                    6
                                                                                                                                                                                     to NHSW. Concerns communicated to WCC. No new agency in question went into administration but
                                                                                                                                                                                     care packages placed with organisation.                    was quickly purchased by a much larger
                                                                                                                                                                                                                                                organisation. The position was monitored
                                                                                                                                                                                                                                                closely and all care packages were maintained
                                                                                                                                                                                                                                                appropriately during this transition


                                                                                                                                                     ↔
                                                                                                                                                                            Red




COR 19        Aug-10     Dec-10   Financial targets of BEST programme will not be met                               4            5        20                    20                   Introduce financial performance dashboard across           Alignment of financial dashboard into new QIPP Nick Hodgetts          Delivery Board
                                                                                                                                                                                     programme. Review of priorities. Robust                    Programme. Amalgamation of Cluster Priorities
                                                                                                                                                                                     communication to Executive Team                            and ongoing governance in progress.
   Ref.    Date added Review                                    Risk Description                                                        Risk Rating                                                      Actions to date                                   Actions outstanding                        Lead           Assurance
           to Register Date                                                                                                                                                                                                                                                                                           given by




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                                                                                                                                                                             Red
COR 20       Nov-10      Mar-11   Risk of Pressure Ulcers developing within Nursing Homes due to lack of             5            4        20             New                         Review of services commissioned from Warwickshire                                                         Jo Galloway
                                  nursing expertise and support                                                                                                                       Community Health to ensure a high quality and
                                                                                                                                                                                      responsive service is accessible. Being discussed with
                                                                                                                                                                                      WCH regarding commissioning intentions and the
                                                                                                                                                                                      development of a service specification




                                                                                                                                                                             Orange
COR 21       Nov-10     June-11   Impact of White Paper on Health & Wellbeing of staff                               3            3            9          New                         Staff support clinics, staff management and recruitment Setting up an in-house pilates class - awaiting   Linda Shrewsbury Health and
                                                                                                                                                                                      training. Continuous detailed recording of sickness     and instructor.                                                    Wellbeing group
                                                                                                                                                                                      absence and reasons why. Monitoring of workloads
                                                                                                                                                                                      and quality




                                                                                                                                                                             Red
COR22      Feb 2011   Marc 2011   Health Visitor caseloads in Warwickshire do not currently reflect need.            4            4        16             New                         Report taken to Quality, Safety & Governance                                                              John Linnane/ Jill Quality, Safety &
                                  Warwickshire Community Health (WCH) is not meeting is contractual obligation                                                                        Committee. Further report and action plan to be                                                           Freer              Governance
                                  to provide a universal health visiting service across the county, which may lead                                                                    presented to the next Quality Safety and Govenrnance                                                                         Committee
                                  to child protection issues not being identified.                                                                                                    Committee on 17th Feb


                                                                                                                                                      ↔
                                                                                                                                                                             Orange
IGIP-1       Mar-08     Dec-10    Contracts or agreements with 3rd parties may not include all the                   4            2            8                 8                    2 versions of the contract have been signed off          Some suppliers have raised issues around Information                Information
                                  necessary clauses relating to information security management,                                                                                      (one for companies and one for individuals).             the wording of the contract. A full review of Governance            Governance
                                                                                                                                                                                      Contractors now asked to complete the IG                 all contracts is underway as part of the      Manager               Steering
                                  data protection, freedom of information and information governance.
                                                                                                                                                                                                                                                                                                                   Committee
                                  This leads to the risks that 3rd parties may not be obliged to handle                                                                               contract. Leads for contracts within NHSW have           Information Governance toolkit
                                  information in a manner acceptable to the Trust and that the Trust                                                                                  been identified as part of the Information               requirements to ensure compliance with
                                  may have no means of gaining restitution if 3rd parties mishandle                                                                                   Governance toolkit.                                      Information Governence standards/
                                  information and cause damage.                                                                                                                                                                                requirements.


     1-3                          Low Risk
     4-6                          Moderate Risk
    8-12                          High Risk
   15-25                          Extreme Risk

				
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