Risk Management

Policy Scope:

This policy affects all police officers and all members of police staff. Unless specified otherwise, the term ‘member of staff’ is used to refer to both police officers and police staff.

Policy Aims and Objectives:

Background

Risk Management is central to any organisation’s strategic management and is a fundamental element of good Corporate Governance. It is a means of maximising opportunities and minimising the costs and disruption caused by undesirable events. 

South Yorkshire Police (SYP) and South Yorkshire Police Authority (SYPA) jointly recognise that they have a responsibility to ensure that there is an effective framework in place for managing risk and maximising opportunity. Such a framework is an enabler for control of the Authority’s assets and liabilities and protection of employees and the community against potential losses. It also helps to minimise uncertainty in achieving its goals and objectives.

The key aims of the framework are to ensure that SYP and SYPA:

  • Meet specific governance requirements

  • Realise the Business Benefits of formal Risk Management processes

Key objectives are to:

  • Further integrate risk management into the business culture

  • Manage risk in accordance with best practice and adhere to national guidance

  • Minimise loss, disruption, damage and injury and reduce the cost of risk, thereby maximising resources

  • Anticipate and respond to changing political, economic, sociological, technical, environmental, legal and organisational requirements

  • Exploit opportunities

  • Preserve and enhance the effectiveness of service delivery

  • Inform policy and operational decisions by identifying risks and their likely impact

  • Protect the corporate image and reputation of SYP and SYPA

Responsibilities

This policy applies to all parts of the Force, with implementation being the responsibility of each District Commander and Departmental Head.

This policy requires each District Commander and Departmental Head to demonstrate that they have considered risks to their business area that have the potential to threaten a District or Departmental priority.

This policy requires each District Commander and Departmental Head to align their risk management processes to the Joint SYP/SYPA Risk Management Strategy.

Business Managers have a responsibility to:

  • Administer and maintain the relevant District/Department Risk Register

  • Ensure potential risks identified within their Business Area are progressed appropriately

Full details of responsibilities can be found in the Risk Management Instructions D51336.

Process

South Yorkshire Police and South Yorkshire Police Authority risk management processes are aligned to the ALARM (Public Risk Management / IRM - Institute of Risk Management) Standard. They also conform to Internal / External Audit and Chartered Institute of Public Finance and Acountancy (CIPFA) guidelines and ISO 31000 Risk Management Principles and Guidelines.

Districts and Departments will have corporate procedures in place for the identification of risks. Identification and management of District and Departmental specific risks is the responsibility of the relevant management team.

Risks to business objectives and opportunities to enhance results can be identified and raised at any time, by any member of the organisation. However, formal consideration of risk should always form part of the annual Business Planning cycle. Once identified, any progression or elevation of a risk should be undertaken in consultation with the Business Manager. Only if the risk identified is a potential strategic risk, is it mandatory for a Gen 14 - Business Change Initial Submission Assessment Form, be completed. Districts and Departments are encouraged to use the process for locally identified and managed risks.

When a potential strategic risk or opportunity is identified, this should be notified to the Corporate Risk Manager using the Gen 14 form. Each submission will be evaluated in line with the SYP/SYPA Risk Scoring Criteria and elevated to Risk Management Board if appropriate.

Where a District or Department ‘owns’ a Strategic Risk the risk should appear on the host register as well as the Strategic Register. When such a risk is reviewed at Risk Management Board (RMB) an entry will be made on the host register by the Business Control Unit, Business Change Department (BCD) to document this. 

Strategic risks that have been managed to an acceptable level may be discharged from the strategic risk register for monitoring via the appropriate District or Department register with elevation back to RMB should the issue escalate. Elevation back to RMB is the responsibility of the Head of a District or Department.

Further information can also be found in the joint South Yorkshire Police/South Yorkshire Police Authority Risk Management Process.

Governance

Risk Management is a key aspect of the Annual Governance Statement.

The Risk Management Board, chaired by the Chief Constable, will meet quarterly. Executive membership consists of the Senior Command Team and the Chief Executive and Treasurer.

The Chief Constable and the Chief Executive and Treasurer will jointly update the Audit Committee of the key risks of the Force and the Authority on a quarterly basis. All reports to the Authority will contain sufficient information on risk implications to enable Members to make informed decisions. 

The risk management process will be subject to both Internal and External Audit. Activity will be co-ordinated to avoid duplication. Internal Audit will review the risk registers on an annual basis and will provide advice on risk management processes.

Associated Procedural Instructions:

This policy is supported by the following procedural instructions:

Risk Management Instructions – D51336

Equality Act 2010: 

The Act creates a statutory requirement for all Functions and Policies (Including Procedural Instructions) to be analysed for their effect on equality, diversity and human rights, with due regard to the General Duty.

In principle, this document has been assessed for discrimination, which cannot be justified, among other diverse groups.

Human Rights/Discretion:

The purpose of providing policy is to give an indication to staff of the expected course of action. However it is not possible to cater for every possible combination of factors that would justify a departure from stated policy. The Human Rights Act 1998 requires the proper use of discretion at all times and nothing within this policy and associated procedural instructions prohibits the proper use of discretion in appropriate circumstances.

Where action is taken that has the potential to interfere with an individual’s Human Rights, the reasons behind the making of the decision to act in that way should be recorded on the appropriate forms, or where this is not practicable, in pocket books or policy logs.

Review Arrangements:

This policy together with its Equality Analysis will be reviewed every 2 years.

Rights of redress for members of the public:

Anyone who feels that a member of staff has behaved incorrectly or unfairly, or who is dissatisfied with organisational matters, service delivery or other operational policing issues, has the right to make a complaint.

Initial action should be taken in one of the following ways:

  • Complain in writing or in person to the Senior Officer at the appropriate police station or to the Chief Constable of the force concerned.

  • Visit a local Citizens' Advice Bureau

  • Contact a Solicitor

Rights of redress for South Yorkshire Police personnel:

South Yorkshire Police personnel who feel they have grounds for concern in relation to the implementation of policies may, as appropriate:

  • Pursue concerns through their line manager.

  • Contact a First Contact Advisor.

  • Pursue a grievance formally through the South Yorkshire Police Fairness at Work Procedure.

  • Seek advice from their staff association or trades union. 

  • Use procedural instruction D50241 Management of Complaints, in the section entitled Handling Complaints relating to Direction and Control. 

Start: 

13 November 2006

Equality Analysis: 
application/pdf iconD51335 and D51336 - Risk Management.pdf