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Paper E
Purpose of this paper
To provide the HEEM Governing Body with top-line information regarding high level risks
and to highlight the year-end position for 2014-15.
Why is it important?
It is important that the HEEM Governing Body is aware of potential high level risks and the
mitigating actions being carried out to prevent possible negative impact to HEEM’s functions.
How it links to our strategic priorities
Monitoring and auditing corporate and local Risk Registers helps HEEM continue to meet its
aim of contributing to providing a safe, sustainable workforce supply.
What are the implications/options/possibilities/risks/consequences/impacts?
Responsibility and accountability for risk management is now covered by the national
governance enabling function and led locally by the Midlands and East Geography
Corporate Governance Lead. A national lead for Business Continuity and Risk has been
appointed and a new framework for recording and escalating risk will be introduced.
Currently within HEEM assurance to the Governing Body and Senior Management Team is
gained via monitoring team/project identified risks and reviewing reduction/increase of risk
and potential impact on HEEM’s functions.
Following approval of the HEEM Delivery Plan a review will be carried out by the Senior
Management Team to identify any risks as a result of ongoing or newly introduced work
streams aligned to the Mandate deliverables. HEEM will be required to implement national
risk management processes and escalation protocols and monitor the effectiveness of
mitigation activities, reporting into HEE on a monthly basis.
Who needs to do what by when?
The HEEM Senior Management Team has approved the Risk Register. The Governing
Body is asked to review the year-end position and gain assurance that risks are being
actively managed by HEEM.
The Governing Body is asked to note and approve the new format for reporting high-level
risks.
The Governing Body is asked to note the changes in responsibility and accountability for risk
management in HEEM.
The Geography Corporate Governance Lead will continue to work with the HEEM Senior
Management Team and risk owners/project leads to produce the 2015-16 risk register and
refresh on a monthly basis.
The next submission to HEE is due 10 June 2015.
Author(s) and role: Alison Pope, Corporate Governance Lead – Midlands and East
Geography
Date of paper: 10 May 2015
Overall Rating: 
Top 3 Risks:
Risk
Actions taken to control / mitigate
Recruitment and retention issues
General Practice – Trainees
Current recruitment and retention issues of GP workforce, decreasing numbers
of doctors in training within general practice across the east Midlands, leading
to a risk of insufficient numbers of GPs to meet patient demand and to support
practice learning/experience.
• Development of a workforce strategy in each local health community.
• Discussion with VTS scheme to encourage general practice placements.
• Launched a Fellowship programme for doctors post CCT to improve
retention.
• Engaged in the Induction and Refresher scheme and ready to take this
forward when launched (expected June 2015).
System Wide Engagement
HEE’s Beyond Transition announcement could negatively impact on levels of
engagement from HEEM stakeholders (internal and external), leading to loss of
contribution to business activities, resources, staff, corporate knowledge and
skill.
• Transparent communication aligned to HEEM values.
• Continued focus to influence national conversation/direction
Recruitment and retention issues
There is a risk that current recruitment and retention issues will result in
insufficient workforce supply leading to inability to deliver high quality services
and new models of care
• Talent for Care, apprenticeship activity underway.
• LMC marketing activity underway and
• Primary Care Delivery Group being established.
• Market research into perceptions of Lincolnshire will report in June.
• Nursing outturn are being offered posts in local trusts.
• Impact of positive CQC outcome not yet realised.
Risk Movement
Total active
New
↑
↓
Closed
Nov-14 Dec-14 Jan-15 Apr-15
21
21
20
7
0
0
2
0
2
2
1
0
0
0
4
0
0
0
3
7
Current
Risk
Rating



Overall Rating: 
Closed Risks:
Risk
Actions taken to control / mitigate
Current
Risk
Rating
Due to current vacancy levels, there is a risk that effective operations for the
AR system will not be achieved.
• Plan in place
• Recruitment in progress for Revalidation Data Administrator role
• Continue to monitor and track ARCP delivery and resources required
to deliver ARCPs as BAU
Closed
The GP trainee fill rate is down c20% on usual numbers resulting in
underspend on allocated funding in 2014/15; funding allocation surplus fully
redistributed.
• This risk relates to the financial year 2014-15 and was mitigated
resulting in HEEM achieving its year-end financial target at 31 March
2015.
Closed
There is a risk that maintaining the quality of the education for the Emergency
Medicine training programme during the period of rapid expansion, may not
be fully achieved.
• Additional funding is being allocated to allow for additional payments
to Trusts to enhance educational provision.
Closed
The University of Nottingham plans to discontinue to support placements
within Lincolnshire on its Midwifery education programmes, leading to
insufficient midwifery workforce in Lincs.
• Initial meeting has taken place with all partners to take forward
introduction of DMU midwifery students to Lincolnshire.
• There is agreement to introduce students from Jan 16
• Some remaining issues relating to the bursary unit
Closed
There is a risk that an impact of modernising healthcare scientific careers on
supply of biomedical scientists could lead to a shortage of applicants for
training placements resulting in insufficient workforce in place for service
delivery.
• Will be managed as BAU through the workforce planning process
• Does not appear as a major risk on our EDCOM return
Closed
Due to the unpredictability of when an employment tribunal is instigated and
the human resource/cost implication, there is a risk of reduced resource in
HR Team and overspend on HEEM running costs.
• No longer a HR risk due to changes in responsibility following Beyond
Transition.
Closed
There is a risk that managers agree commencement of employment prior to
completion of recruitment checks (e.g. ID, references) resulting in illegal
recruitment and the potential high cost implication of any legal action, plus
reputational embarrassment.
• Recommended that this be considered for the HR national enabling
functions risk register.
Closed