Operational Risk Report to the Primary Care Commissioning Committees meeting in common - Part 1 - September 15 2020 - Appendix A risk report

Sep 13, 2026

Operational risk report content prepared for the Primary Care Commissioning Committees meeting in common, focusing on West Sussex CCG, Brighton and Hove CCG, and East Sussex CCG. It outlines the overarching risk management strategy and policy, the governance oversight, and the annual internal audit review cycle to assure effectiveness. It summarizes key developments from June to August, including overhaul of the risk management system, constructive challenge sessions, adoption of a new monthly review cycle, and a revised risk report template detailing controls, assurance, gaps, and mitigating actions, with focus on COVID-19 context.

LanguageEnglish

CategoryGeneral

FormatPDF

Pages8

Reading Time3 min

AccessFree to download

Contents

Context

Summary of key developments

Risks that have materially changed since the previous report

Future Developments

Appendices

Operational Risk Report to the Primary Care Commissioning Committees meeting in common – Part 1 15 September 2020 West Sussex CCG 􀀁 Brighton and Hove CCG 􀀁 East Sussex CCG | Item | Slide | | --- | --- | | 1. Contents | 2 | | 2. Context | 3 | | 3. Summary of key developments | 4 | | 4. Risks that have materially changed since the previous report | 6 | | 5. Future Developments | 7 | | 6. Appendices | 8 | West Sussex CCG 􀀁 Brighton and Hove CCG 􀀁 East Sussex CCG 1. The Sussex CCGs operate a risk management strategy and policy that is overseen by the Audit and Assurance Committees. 2. This strategy and policy: • Ensures that risk management is an integral part of the organisational culture • Improves operations by addressing and effectively prioritising risk treatment plans • Identifies risks to achieving the CCGs’ objectives requiring intervention • Drives a standardised, strategic, and accessible approach to risk management. 3. This policy and its operation are subject to annual review by the Internal Auditors in order for assurance to be received regarding its effectiveness. West Sussex CCG 􀀁 Brighton and Hove CCG 􀀁 East Sussex CCG • An in depth review of risk management and the CCGs’ approach was undertaken with Governing Body members at the development seminars in June. Key feedback was that risk descriptions, controls and assurances did not feel dynamic or specific enough and did not appear to adequately reflect the context in which the CCGs were now operating – particularly within a COVID-19 pandemic backdrop; the pace and impact of controls in particular needed greater focus. • On the back of this feedback it was agreed in July to overhaul our risk management system, bringing it more into line with best practice. To facilitate this: o Risk assessors were asked to review all of their operational risks, paying particular attention to the description, controls and actions o Executive risk owners were then asked to attend a constructive challenge session to review the output of the risk assessor’s review of the operational risks within their directorate o These reviews were completed by Monday 17 August o Actions arising out of the constructive challenge sessions are now being progressed. • The new monthly review cycle of all operational risks is now embedded. • A new risk report template has been developed that details all of the risk information in one report including controls, assurances and action progress. The descriptions for these are listed on the next slide. West Sussex CCG 􀀁 Brighton and Hove CCG 􀀁 East Sussex CCG • Report definitions: • Controls: the ways in which the risk is already controlled (for example a policy or guideline already in place) or those actions that have already been completed in order to mitigate the risk and reduce the likelihood of it occurring or impact should it materialise • Gaps in control: any areas of weakness in the control such as a lack of capacity or appropriate skills to carry out the policy, or that the guideline has been superseded by new guidance which has yet to be reviewed and implemented. The gaps in control should inform the mitigating actions • Assurance – Internal: where is this control overseen and how? An example is‘reported to the Joint Quality Committee for review on a quarterly basis’ • Assurance – External: where is this control overseen by external bodies or third parties and how? An example is ‘policy is reviewed annually by Internal Auditors’ • Gaps in Assurance: Is there somewhere this control should be being reviewed but it isn’t? For example ‘the policy was due for review by Internal Audit however the internal audit cycle was paused during the initial response to COVID-19’ • Mitigating actions: what else needs to be done to successfully mitigate the risk and move the risk from its current score to its target score? These should map to the gaps in controls. West Sussex CCG 􀀁 Brighton and Hove CCG 􀀁

FAQs

What governance oversight supports the CCGs’ risk management strategy and policy?

The strategy and policy are overseen by the Audit and Assurance Committees.

Why was the risk management system overhauled in 2020?

Feedback from development seminars indicated risk descriptions, controls, and assurances were not dynamic or specific enough and did not reflect the operating context, particularly during the COVID-19 pandemic.

What does the new risk report template include?

It consolidates risk information in one report, including controls, assurances, and action progress, with definitions for controls, assurance internal/external, gaps in assurance, and mitigating actions.

Sep 13, 2026

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