RAID Log | David Agyei, Senior Business Analyst, PMO | Shropshire Council | Version 0.1 | 28 May 2026
SWANN Single Point of Referral Phase 2 | CMI Level 5 EPA portfolio document | Last updated 28 May 2026
Eight risks were identified and logged on 28 May 2026, drawn from the POAP v0.3 gap analysis, the SPoR weekly meeting (27 May) and Steve Humphrey 1:1 meetings. All are currently active. Risk score = Likelihood x Impact on a 1-5 scale.
| ID | Title | Owner | Cause | Effect | L | I | Score | Mitigation | Status |
|---|---|---|---|---|---|---|---|---|---|
| R_001 | Absent financial baseline undermines EPA submission and business case | David Agyei | Project approved without a demand baseline or cost-avoidance model; financial analysis not initiated before Phase 2 commenced. | Failure to meet distinction-level financial analysis criteria; inability to demonstrate programme value to commissioners. | 3 | 4 | Medium | Cost-avoidance framework drafted using published proxy figures (ADASS, PSSRU, NHS England). Draft v0.1 sent to Lisa Middleton 28 May. Five validation questions raised. Target: indicative figure by 30 May; full narrative by 4 June. | Active |
| R_002 | Portal and referral form build blocked by CRM team absence | David Agyei | Kate Hobbs and Chelsea Pallen on annual leave w/c 27 May; no confirmed return date or alternative CRM resource identified. | Phase 2 Priority One deliverable (electronic referral form) misses roadmap timeline; telephone-only access continues; professional referrer uptake remains blocked. | 3 | 4 | Medium | Confirm Kate Hobbs return date by 29 May. Book requirements workshop for w/c 1 June. Confirm whether Chelsea Pallen is required for the workshop or can contribute in a subsequent session. | Active |
| R_003 | No named strategic owner above commissioning level | Steve Humphrey | SWANN progressed from inception through Phase 1 and into Phase 2 without a named executive sponsor; no senior accountable person identified above Lisa Middleton. | Decisions requiring authority above commissioning officer level cannot be made or escalated; EPA submission challenged on governance robustness. | 3 | 3 | Medium | Steve H to identify and confirm strategic owner by 30 May. Candidates: Laura Tyler (Head of Commissioning), Rachel Robinson (Public Health). David to chase Steve H. ToR sign-off row currently TBC. | Active |
| R_004 | ICE Creates / Live Well Shropshire under excessive concurrent mobilisation demands | Lisa Middleton | ICE Creates simultaneously onboarding 120 transferred Age UK volunteers, rebaselining existing clients, recruiting Behaviour Change Coaches, building partner networks and managing a referral backlog. | Continued referral backlogs; client welfare harm (clients waiting over one month without contact); erosion of referrer confidence; potential contract monitoring trigger. | 4 | 3 | Medium | Lisa Middleton to follow up with Adam Riglar re referral response timelines. Agree interim update protocol: minimum status update to Customer Services within 5 working days. Monitor at SWANN meeting 24 June. Consider whether contract monitoring meeting should be brought forward. | Active |
| R_005 | Post-EPA continuity gap: project management resource unconfirmed beyond 18 June | Steve Humphrey | Steve H has explicitly stated David may be reassigned to other PMO priorities after EPA completion; no successor project lead identified for Phase 2 delivery beyond the EPA window. | Phase 2 delivery stalls at the point where governance is established but the hardest technical work (portal build, provider access, dashboard) remains outstanding. | 3 | 3 | Medium | Raise post-EPA continuity at next Steve H 1:1. Explore whether Lisa Middleton can absorb project management ownership or whether a formal handover plan is needed. Begin drafting handover document alongside EPA submission. | Active |
| R_006 | Low professional referrer uptake while telephone-only pathway remains in place | Lisa Middleton | SWANN accepts referrals by telephone only; professional referrers cannot hold during client appointments; British Red Cross and Community Resource report near-zero referrals with professionals using legacy pathways. | Phase 2 referral volumes insufficient to demonstrate service impact; providers remain underutilised; demand deflection fails to materialise at the required scale. | 4 | 3 | Medium | Electronic referral form confirmed as Phase 2 Priority One. Requirements workshop booked for w/c 1 June. Portal build to commence immediately once field requirements confirmed. Lisa to maintain referrer engagement in the interim. | Active |
| R_007 | Absence of standardised cross-provider data sharing agreement | Adam Riglar | No single standardised data sharing agreement exists across SWANN providers; ambiguity remains over whether existing agreements cover provider-to-provider data sharing. (Raised at 27 May meeting by Natalie Bowkett, Adam Riglar, Heather Ireland.) | GDPR/information governance non-compliance; inability to implement provider portal functionality; potential legal exposure for the council and providers. | 3 | 3 | Low | Adam Riglar to lead finalisation of single data sharing agreement (SWANN meeting action A_013). David / Lisa / Kate Hobbs to confirm scope of existing agreements by 3 June. Feed conclusions into requirements workshop. | Active |
| R_008 | Phase 1 institutional knowledge inaccessible: Sarah Knight on extended sick leave | Steve Humphrey | Sarah Knight (original Phase 1 project lead) on sick leave with no confirmed return date; project documentation including any risk register and CRM decision history may be inaccessible or password-protected. (Noted by Bev Baxter at SWANN wider meeting 27 May.) | David Agyei building governance from scratch with no historical baseline; increased risk of duplicated effort or decisions that contradict Phase 1 design intent. | 3 | 2 | Low | Steve H to explore whether Sarah Knight files can be accessed with appropriate authorisation. David to build governance documentation from available sources (emails, transcripts, meeting notes). Known Phase 1 decisions to be captured in Assumptions Log. | Active |
Two issues were logged by 28 May 2026. I_001 is the client welfare risk from the referral feedback loop failure. I_002 is the governance gap identified by David Agyei and acknowledged by Lisa Middleton on 27 May.
| ID | Title | Owner | Cause | Description | Effect | Priority | Resolution | Status |
|---|---|---|---|---|---|---|---|---|
| I_001 | CRM referral feedback loop failure: 31 outstanding referrals, clients waiting up to one month | Jim Ford | ICE Creates not completing three-bullet CRM updates in a timely way; professional referrals requiring information-gathering before action; email encryption issue (resolved 21 May) delaying responses reaching Customer Services. | 31 outstanding referrals as of 27 May (29 with ICE Creates / Live Well Shropshire; 2 with Shropshire Mental Health). Clients waiting up to one month without contact. Customer Services has no visibility of referral progress once submitted to providers. | Client welfare risk for individuals not yet contacted; erosion of referrer confidence in the SWANN pathway; Jim Ford flagging Phase 1 has not functionally delivered as intended. | High | (1) Katie Done and Jim Ford to investigate CRM feedback loop by 3 June. (2) Lisa to follow up with ICE Creates on response timelines. (3) Agree interim update protocol at Wednesday 4 June meeting. (4) Phase 2 CRM enhancements to resolve structurally. | Active |
| I_002 | Phase 2 commenced without RAID log, ToR, risk register or agreed success measures | David Agyei | SWANN progressed through Phase 1 and into Phase 2 planning without formal PMO governance structures; no dedicated project lead with capacity to build governance infrastructure prior to David Agyei's appointment. | SWANN operating since before Christmas 2025 without formal governance infrastructure. PMO mandate requires RAID log from 26 May. As of 26 May, 12 identified gaps exist in the POAP (8 rated High): no success statement, no financial baseline, no project plan, no risk register, no requirements workshop, no strategic owner. | Project operating without risk tracking, defined accountability or measurable success criteria; David Agyei needing to build governance retrospectively under EPA deadline pressure. | High | (1) RAID log created 28 May. (2) ToR v1 drafted and circulated by 29 May. (3) Success outcome statement draft sent to Lisa by 28 May. (4) Dated project plan to be produced by 13 June. Substantive governance gap addressed; ToR sign-off outstanding. | Resolved 28 May |
Six assumptions underpin the Phase 2 roadmap as at 28 May 2026. All are currently open and must be validated at the next review date. AS_004 is the strongest assumption because Katie Done demonstrated on 27 May that the CRM field structure largely supports the referral form without major new development.
| ID | Title | Description | Owner | If Wrong | Review | Status |
|---|---|---|---|---|---|---|
| AS_001 | Kate Hobbs and Chelsea Pallen available for requirements workshop w/c 1 June | POAP roadmap places the requirements workshop in Week 3 (w/c 1 June). Assumes Kate Hobbs returns from annual leave and is available that week along with Chelsea Pallen. | David Agyei | Requirements workshop cannot proceed; electronic referral form build delayed by at least one week; EPA submission timeline becomes critically tight with fewer than five days remaining. | 02.06.2026 | Open |
| AS_002 | Indicative cost-avoidance figure constructable from available data by 30 May | Assumes referral volume data from Jim Ford / CRM can be combined with Adult Social Care unit cost estimates or published proxy figures to produce a credible cost-avoidance narrative by 30 May. | David Agyei | EPA submission lacks financial rigour; assessor may challenge absence of quantified benefits at distinction level. | 30.05.2026 | Open |
| AS_003 | David Agyei remains on SWANN through to EPA live assessment on 18 June | Steve H has confirmed David will remain on SWANN until EPA completion. Assumed no organisational or PMO capacity change results in redeployment before 18 June. | Steve Humphrey | EPA submission may be incomplete or unsupported; project governance structures become unowned; Phase 2 delivery stalls at a critical juncture. | 11.06.2026 | Open |
| AS_004 | Existing CRM field structure sufficient for referral form without significant new development | Katie Done demonstrated on 27 May that most of Ness Hicken's draft referral form fields already exist in Dynamics 365. Assumed portal form can be built quickly once requirements are confirmed, with next-of-kin as the only material new field. | Katie Done / Kate Hobbs | Build timeline extends significantly; additional ICT resource and sign-off required; Phase 2 Priority One deliverable slips beyond the roadmap window. | 04.06.2026 | Open |
| AS_005 | Phase 2 does not require a new formal business case or investment appraisal | Phase 2 is progressed as operational continuation of Phase 1 within the existing commissioning framework and signed contracts. Assumed no new business case or senior sign-off beyond commissioning level is required to proceed. Note: Liquid Logic integration would require a separate business case regardless. | Lisa Middleton | Phase 2 activities could be paused pending formal approval. | 11.06.2026 | Open |
| AS_006 | ICT/CRM development team has capacity for Phase 2 portal build within the roadmap window | Phase 2 complex development (portal, provider interface, Power BI dashboard) requires CRM/ICT team capacity. Steve H noted on 27 May that ICT reassignment could block Phase 2 build. Currently assumed capacity is available and uninterrupted. | David Agyei / Lisa Middleton | All complex development deliverables stall. Phase 2 cannot progress beyond governance and design stages without CRM/ICT delivery capacity. | 04.06.2026 | Open |
Fifteen actions were logged on 28 May 2026 drawn from POAP identified gaps, the SPoR weekly meeting (27 May) and the SWANN wider team meeting. Two are complete (RAID log, ToR draft). A_012 (EPA submission) is the hard constraint: all other actions feed it.
| ID | Title | Owner | Description | Due | Status | Notes |
|---|---|---|---|---|---|---|
| A_001 | Create RAID log and share with core team | David Agyei | Build RAID log from scratch covering all known risks, issues, assumptions and actions. Upload to SharePoint and share link with core team. | 28.05.2026 | Complete | RAID log built and populated 28 May 2026. Shared with core team via this file. |
| A_002 | Draft and circulate Terms of Reference v1 for sign-off | David Agyei | Draft ToR covering project scope, governance, roles, decision rights and escalation route. Circulate to Lisa Middleton and Steve Humphrey for sign-off. | 29.05.2026 | Complete | Circulated to Lisa Middleton and Steve Humphrey 28 May 2026. Sign-off requested by EOD 1 June 2026. |
| A_003 | Agree success outcome statement with Lisa Middleton | David Agyei / Lisa Middleton | Draft concrete success outcome statement for SWANN Phase 2: what does good look like by September 2026? Include measurable indicators. Send draft to Lisa to react to rather than co-writing from scratch. | 30.05.2026 | In Progress | Draft success outcome statement sent to Lisa Middleton 28 May 2026. Three specific questions posed: response time standards, referral volume targets, September 2026 horizon. Awaiting Lisa's response. |
| A_004 | Book requirements workshop for w/c 1 June | David Agyei | Requirements workshop confirmed for Tuesday 2 June 2026, 10:00. Attendance: Jim Ford, Kate Hobbs, Katie Done. Lisa Middleton, Ness Hicken, Lesley Richards also invited. Scope: electronic referral form user stories, provider access options, dashboard requirements, data capture enhancements. | 02.06.2026 | Confirmed | Confirmed for 2 June 2026. Jim Ford, Kate Hobbs and Katie Done availability confirmed. |
| A_005 | Identify baseline demand figure and begin financial analysis | David Agyei | Contact Lisa Middleton (and Louise Forbes, Head of Commissioning, if needed) for demand projections, ASC unit costs or comparable commissioning data. Build cost-avoidance narrative. If internal data unavailable, use published LGA/ADASS proxy figures with stated assumptions. | 30.05.2026 | In Progress | Cost-avoidance framework drafted 28 May using published proxy figures (ADASS, NHS England, LGA, PSSRU Unit Costs 2023). Draft v0.1 sent to Lisa Middleton 28 May as part of evening package. Illustrative figure: £390,000 per year on conservative assumptions. Five validation questions sent to Lisa. |
| A_006 | Name and confirm strategic owner for SWANN | Steve Humphrey / Lisa Middleton | Identify and confirm a named senior accountable person above commissioning officer level. Candidates: Laura Tyler (Head of Commissioning), Rachel Robinson (Public Health). Confirm escalation route and communicate to project team. | 30.05.2026 | Not Started | ToR sign-off row currently TBC. See R_003. |
| A_007 | Lisa Middleton to share CRM screenshots and current field summary | Lisa Middleton | Share CRM screenshots and current field summary with David Agyei and Katie Done to support referral form portal build preparation ahead of the requirements workshop. | 30.05.2026 | Not Started | |
| A_008 | Ness Hicken to finalise self-referral research and confirm draft form status | Ness Hicken | Finalise social prescribing self-referral model research. Bring draft self-referral and professional referral forms to requirements workshop for review. Flag any fields requiring wider team input beforehand. | 30.05.2026 | In Progress | |
| A_009 | Investigate CRM referral feedback loop issues for Wednesday meeting | Jim Ford / Katie Done | Jim Ford and Katie Done to investigate why providers are not updating referrals in a timely way. David Agyei to map end-to-end referral flow, identify breakdown points, and prepare quick wins vs Phase 2 fixes for discussion at Wednesday 4 June meeting. | 04.06.2026 | In Progress | Related to I_001. |
| A_010 | Review and improve CRM tracking and reporting mechanisms | Katie Done | Review how referral progress is currently tracked in Dynamics 365 and identify specific reporting improvements. Consult Kate Hobbs on return from leave. Feed outputs into Phase 2 requirements workshop. | 04.06.2026 | Not Started | |
| A_011 | Confirm whether existing data sharing agreements cover provider-to-provider data | Lisa Middleton / Kate Hobbs | Review current data sharing agreements across SWANN providers. Confirm whether existing agreements permit provider-to-provider data sharing for referral tracking purposes. Feed outcome into requirements workshop scoping. | 03.06.2026 | Not Started | Related to R_007. |
| A_012 | Finalise and submit EPA project proposal to CMI portal | David Agyei | Complete all sections of the CMI Level 5 EPA project proposal. Financial analysis, RAID log and risk register must be complete before submission. Submit to CMI portal by 5 June 2026 at 17:00. | 05.06.2026 | In Progress | Hard deadline: 5 June 2026 at 17:00. All other David-owned actions feed this. |
| A_013 | Finalise and circulate single data sharing agreement across all SWANN providers | Adam Riglar / Natalie Bowkett / Heather Ireland | Finalise a single standardised data sharing agreement for all SWANN providers to sign, covering cross-provider referral tracking and information governance compliance. | 13.06.2026 | Not Started | Related to R_007. |
| A_014 | Natalie Bowkett to send hospital discharge referral communication to START and ICT teams | Natalie Bowkett | Send email to START and ICT teams explaining the shopping support situation and providing the SWANN referral telephone number to encourage appropriate hospital discharge referrals. | 03.06.2026 | Not Started | |
| A_015 | Produce Liquid Logic integration assessment note for senior decision | David Agyei | Produce a short assessment note on Liquid Logic integration: potential benefits (cross-pathway prevention tracking), estimated costs, risks and dependencies. For senior sponsor decision. | 13.06.2026 | Not Started | Liquid Logic integration requires a separate business case regardless of this note. |
Four external dependencies were identified on 28 May 2026. All are rated High severity. DE_002 (the 5 June EPA submission deadline) is the structural constraint that all other dependencies flow from.
| ID | Description | Owner | Severity | Management Action | Status |
|---|---|---|---|---|---|
| DE_001 | Electronic referral form requirements workshop, field mapping and portal build are all dependent on the availability of Kate Hobbs (Senior CRM Applications Officer) and Chelsea Pallen. Both were on annual leave w/c 27 May. | David Agyei | High | Confirm Kate Hobbs return date by 29 May. Book requirements workshop for w/c 1 June immediately. | Active |
| DE_002 | All Phase 2 governance deliverables (RAID, ToR, financial analysis, risk register) must be complete before the CMI EPA submission deadline of 5 June 2026 at 17:00. The entire roadmap is structured around this hard external deadline. | David Agyei | High | Monitor all David-owned actions against 5 June deadline. Flag any slippage to Steve Humphrey immediately. | Active |
| DE_003 | Phase 2 complex development (electronic referral form portal, provider access interface, Power BI dashboard) is dependent on ICT/CRM team capacity being available and uninterrupted. Steve H noted on 27 May that ICT reassignment could block Phase 2 build. | Lisa Middleton / David Agyei | High | Confirm ICT delivery capacity and indicative timeline at requirements workshop. Raise with Lisa whether a formal ICT project request or prioritisation is needed. | Active |
| DE_004 | Financial analysis and cost-avoidance case for the EPA are dependent on Lisa Middleton (and potentially Louise Forbes, Head of Commissioning) providing demand projection data, Adult Social Care unit cost estimates or commissioning framework comparators. | Lisa Middleton | High | David Agyei to make direct request to Lisa by 29 May for available financial data. If internal data unavailable, use published LGA/ADASS proxy figures as fallback with clearly stated assumptions. | Active |
Eight decisions were recorded covering the period 19 to 28 May 2026. These include structural decisions (project lead confirmation, RAID log mandate), delivery decisions (Priority One sequencing, workshop date) and governance decisions (POAP adoption, evening submission package).
| ID | Date | Forum | Owner | Decision | Notes |
|---|---|---|---|---|---|
| D_001 | 21.05.2026 | Email: Lisa Middleton to Jim Ford, Lesley Richards (David Agyei copied) | Lisa Middleton | David Agyei confirmed as Phase 2 project lead in Sarah Knight's absence. Phase 2 weekly meeting series established on Wednesdays at 10:00, replacing the previous 13:00 catch-up series. David to lead project management for Phase 2 while Phase 1 operational items continue to be picked up as needed. | Sarah Knight on sick leave with no confirmed return date. Decision communicated to Jim Ford, Lesley Richards and the wider team. |
| D_002 | 27.05.2026 | SPoR Phase 2 Weekly Meeting (27 May 2026) | Lisa Middleton / David Agyei | Electronic referral form confirmed as Phase 2 Priority One deliverable. All development sequencing to flow from this. Requirements workshop to be scheduled for w/c 1 June as the immediate next step. | Decision endorsed by Lisa Middleton (chair). Katie Done confirmed portal can be built quickly once field requirements are confirmed. |
| D_003 | 27.05.2026 | SPoR Phase 2 Weekly Meeting (27 May 2026) | Lisa Middleton | Lesley Richards (Contracts Officer) recast from "dashboard lead" to "main contact person" for the dashboard workstream. Lesley is not responsible for dashboard development but will be the primary contact for requirements, given her contract monitoring role across 200+ providers. | Lesley Richards raised concern about the "lead" designation in the POAP. Wording updated by David Agyei in the live document during the meeting. |
| D_004 | 27.05.2026 | SPoR Phase 2 Weekly Meeting (27 May 2026) | David Agyei | POAP v0.3 adopted as the live project governance document for SWANN Phase 2. To be shared as a SharePoint link (not attachment) so it can be updated in real time. Team to chip in and update as deadlines and deliverables evolve. | Lisa Middleton: "sets us up for success, really clear." Document to remain live and editable by core team. |
| D_005 | 26.05.2026 | PMO Standing Mandate (from 26 May 2026) | David Agyei | RAID log mandatory for SWANN Phase 2 from 26 May 2026 in line with PMO requirement. David Agyei to build from scratch, as Sarah Knight's documentation is inaccessible. RAID log to be populated and shared with core team by 28 May. | Steve H confirmed the mandate and provided the RAID log template. No existing risk register or issues log available from Phase 1. |
| D_006 | 21.05.2026 | Lisa Middleton email (21 May); Steve H 1:1 (19 May) | Steve Humphrey | SWANN SPoR Phase 2 confirmed as David Agyei's primary protected workload until EPA live assessment on 18 June 2026. Steve H will back David against any pushback from other directorates (including Children's Services EHM mapping) if prioritisation is challenged. | Steve H: "I have no intention of taking you off it for the time being because it is essential for your EPA." Post-EPA continuity to be discussed separately. |
| D_007 | 28.05.2026 | Diary coordination: David Agyei with Jim Ford, Kate Hobbs, Katie Done | David Agyei | Requirements workshop confirmed for Tuesday 2 June 2026. Date selected based on availability of Jim Ford, Kate Hobbs and Katie Done. Kate Hobbs returns from leave w/c 1 June; Tuesday 2 June is the earliest viable date for the full CRM and Customer Services team to attend. | Resolves POAP identified gap #5 (requirements workshop not yet scheduled). Unblocks electronic referral form build, dashboard scoping and data capture enhancements. |
| D_008 | 28.05.2026 | David Agyei: pre-absence evening submission | David Agyei | Decision taken to send full governance package to Lisa Middleton on the evening of 28 May, ahead of David being out of office 29 May and returning 1 June. Package: (1) ToR v1.0 for sign-off by EOD 1 June; (2) draft success outcome statement for Lisa's review; (3) cost-avoidance analysis draft v0.1 with five validation questions. Rationale: sending that evening gave Lisa the weekend to review and meant David could receive feedback first thing Monday 1 June, leaving four working days to finalise before the 5 June EPA submission deadline. | Illustrative cost-avoidance figure: £390,000 per year based on conservative assumptions. All proxy figures labelled as such; Shropshire-specific validation from Lisa / Louise Forbes required before finalising. |
No lessons have been formally logged in the tracker as at 28 May 2026. The Lessons Log will be populated as part of the post-EPA handover process.
Substantive lessons are implicit in I_002 (governance gap) and in the risk register (R_008: institutional knowledge loss). The absence of a populated Lessons Log is itself a lesson.