This Risk Register details the GTCS risk assessment and management annual review for 2013, setting out identified risks and the measures that have

Transcription

1 This Register details the GTCS risk assessment and management annual review for 2013, setting out identified risks and the measures that have been and are being taken to mitigate these risks.

2 Assessment and Management Annual Review May 2013 Significant s Identified Gross Organisational Status 1 External factors (economic climate, Donaldson and McCormac Reports), giving rise to a negative perception of GTCS, and a consequent loss of stakeholder confidence and support. High 45 years of history generating significant confidence in GTCS throughout the profession. Positive contributions to review processes by GTCS. Participation in review implementation groups. Stakeholder consultation plans and Corporate Communications Strategy. Learning from experiences of others, and of other national and international bodies. 2 Partners/stakeholders may have insufficient understanding of the legislative status of GTCS leading to mistaken assumptions of the regulatory powers of the GTCS. High Current indications are that stakeholders have confidence in GTCS and know how to seek further information. This is also maintained through frequent reiteration to relevant stakeholders of the changes in and additions to the regulatory remit and powers of the GTCS. Very regular meetings with stakeholders providing opportunities to explain changes and listen to concerns. Stakeholders are aware that they can easily contact key members of GTCS staff in the event of concerns being expressed. Emphasis on good, and improving communications from website and from CCIS to ensure understanding. People/... risk-assessment-management-annual-review-0513.doc Page 2 of 9

3 People and Premises 3 Council member capability. Revised appointment and co-option process established. Induction and training procedures revised. Council and Committee evaluation process introduced. Two year election period introduced. Performance review process to be introduced. 4 New Panel members may have inconsistent approach due to lack of detailed understanding of GTCS procedures. Independently administered capability based appointments process in place. Regulatory Governance Sub-Committee established with oversight of work and procedures of panels. Legal assessors appointed to provide independent legal support to panels, with particular focus on decision and reason writing. Training provided to all panel members to reinforce and enhance previous training. Regular newsletter and supporting guidance provided for panel members. Performance review processes being introduced for panel members and legal assessors. Annual evaluation and quality assurance procedures being introduced. 5 Failure to keep abreast of regulatory/legal changes. High Ongoing monitoring and benchmarking of regulatory/legal procedures against best practice. Individual training plans are targeted to ensure that staff knowledge and skills are kept up to date. Knowledge/... risk-assessment-management-annual-review-0513.doc Page 3 of 9

4 Knowledge and expertise of Council members provides an external perspective which improves wider understanding and knowledge of regulatory and legal changes. 6 Failure to adequately plan and review staff numbers to take account of the developing role of GTCS. Chief Executive has undertaken, in consultation with staff, a review of the organisational structure, that was put in place for GTCS independence, which concluded the structure to be fit for purpose and operating effectively. Ongoing and annual evaluation of levels of workload. Particular focus being given to developing trends in workload involving an increasing number and complexity of fitness to teach cases and adjudication hearings. 7 Catastrophic damage to premises High Estate maintenance plan in place and reviewed on an ongoing basis to ensure premises are protected and risk minimised. Business continuity procedures for relocation in event of an emergency to be reviewed. Computer relocation ability in place. Flexible and working from home policies and procedures in place. Procedure developed for managing Council business in the event of an emergency or other exceptional situation. 24-hour security. 8 Staff changes, including senior management, might lead to loss of skills and knowledge and some short-term Careful planning of selection processes for succession. Opportunity/... risk-assessment-management-annual-review-0513.doc Page 4 of 9

5 problems of business continuity. Opportunity for staff to deputise and act up in order to develop skills and experience. Excellent arrangements for transition and induction, with appropriate handover periods. Mentoring and assistance available where necessary. Revised management structure in place and operating effectively. Strong base of experience and knowledge available in EMT and SMT. Strategic and annual plans are in place to ensure the direction and objectives of GTCS remain clear and consistent. Support can be called for from other agencies. Access to occupational health specialists is available for staff where required. Information Management and Technology 9 Stakeholder expectations not met by existing ICT arrangements Website restructured and MYGTCS provided. MyOfficeData system complete and transferred over to The Hub. Document management system and intranet both upgraded and redeveloped in Sharepoint E-Services enhanced, including online payments, bulk and SMS functionality. MyGTCS Council extranet system introduced. Extranet for Panel members currently being developed. 10 Reliance on external contractors to ensure appropriate ICT is in place and GTCS needs are supported as required. High Regular meetings set up with major suppliers to ensure that good working relationships are maintained. ICT service level agreement established. Regular reports provided by external suppliers. risk-assessment-management-annual-review-0513.doc Page 5 of 9

6 11 Loss or damage to ICT impacts on service High Core critical systems are backed up, with an offsite backup undertaken once a week. Replacement systems could be backed up and running within 72 hours. GTCS has consulted with principal ICT suppliers and insurers regarding business continuity arrangements and the provision of replacement hardware and temporary office accommodation in the event of significant damage to premises. All ICT specification projects focus on minimising downtime. New server system established. New hosting structure introduced for website. Technology Group established in house to ensure improved liaison among staff and suppliers. Processes and Administration 12 Professional update through ineffective consultation or dissemination of information not being able to deliver a scheme which meets and maintains stakeholder expectations, resulting in a loss of confidence in GTCS and an inability to implement an effective scheme. High All departments have prepared annual work plans, identifying the major activities, and consequent requirements. Annual Plans and reports prepared for Council and published on website. Extensive and ongoing discussion and development of principles at Council. Extensive consultation undertaken with stakeholders. Profession-wide implementation group established. Communication strategy developed to address the needs of registered teachers, stakeholders and the public. Staffing strengthened to tackle project. Extension of pilot process and ongoing evaluation of it. risk-assessment-management-annual-review-0513.doc Page 6 of 9

7 13 Student Placement System (SPS). System not delivered in accordance with required timeline in a way which meets stakeholder needs. High A new student placement system will be developed with stakeholders and in place by May Service Level Agreement is in place with the Practicum Co-ordinator to ensure continuity of support and specialist knowledge in developing and implementing the new system. GTCS has agreed a proposal with the Practicum Management Group to create a new Student Placement System in a way which seeks to recognise and address technical difficulties which emerged with the current Practicum system. Understanding and knowledge has been gained by GTCS staff through liaison with stakeholders and the Practicum Co-Ordinator, and is being applied in the introduction of the new system. Close liaison and co-operation with all local authority and university partners. Cohesive and co-ordinated project management in place, through the Practicum Management Group, SPS User Group and geographical consortia. 14 Increasing number and unpredictability of Court of Session Appeals with cost implications and impact on internal staff resources. Professional Indemnity Insurance is in place. The Council s financial reserves policy is reviewed annually and provides cover for unforeseen reductions in revenue (e.g. reduced registration numbers) or increased costs. Ongoing budget monitoring is also in place. Procedure in place to instruct Council and direct the ongoing management of the GTCS response to an appeal as it may develop. risk-assessment-management-annual-review-0513.doc Page 7 of 9

8 15 Breaches of the Data Protection Act 1998 Training, awareness raising, audit procedures and Data Protection Policy under review and being progressed. 16 Procurement - that GTCS is not securing best value in accordance with best practice High Financial Authorisation procedures approved by Finance and General Purposes Committee in May Procurement Strategy reviewed by Audit Sub- Committee in January Requirement to review policies, practices and contracts within to ensure best value achieved with suppliers. 17 Implications of Protection of Vulnerable Groups (Scotland) Act 2007 Impact of teachers with historic and undeclared convictions/conduct issues that may arise through Retrospective Checking GTCS staff in close liaison with Disclosure Scotland to identify when and how retrospective checking to be rolled out. Investigating Manager has a plan for dealing with disclosure information coming through as the retrospective checks are carried out by educational establishments. Pool of panel members and related procedures in place from April 2012 provide increased capacity to manage increased number of fitness to teach cases that may arise. Close working relationship in place between Registration Services and Fitness to Teach. Monitoring of internal resource requirements. assessment being applied to all incoming complaints. Communication /... risk-assessment-management-annual-review-0513.doc Page 8 of 9

9 Communication with Stakeholders 18 Longer-term risk of reduction in number of registrants due to consequences of difficult financial settlements at national and authority levels and the continuous development requirements of Professional Update. Registration numbers continue to be closely monitored on an ongoing basis. Financial projections include consideration of different scenarios up to 2016 with consideration of possible future fees increase. Work being undertaken to secure higher number of registrants in all sectors. Improved communications about the value of registration. Introduction of non-practising registration. Likely continuation of national agreement on teacher numbers. 19 Unexpected crisis or significant change in social, political or economic climate will impact on GTCS. GTCS has a carefully structured communications strategy, together with regular meetings with stakeholders which should ensure prior notification of exchange of information and resolution of most concerns. Careful forward planning by managers and departments. Careful monitoring by managers of departments. Mechanism in place to afford high priority to issues which require early or detailed consideration. Good past experience in handling issues of this nature (for example, Kaur v ILEX). A horizon scanning paper was considered by the FGPC. risk-assessment-management-annual-review-0513.doc Page 9 of 9