CHIEF EXECUTIVES DEPARTMENT by mercy2beans122

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									                                             KEY RISKS – DEPARTMENTAL CONTROLS
                                                          Attachment 2


                                                  CHIEF EXECUTIVES DEPARTMENT

                                                                                                                                     Actual date
                                                                                 Action required for control
Risk Ref.             Risk                    Control Measure(s)                                                     Lead officer    of achieving
                                                                                      implementation
                                                                                                                                         target
                                                                                    Lead officers aware of
                                          Quarterly performance monitoring          need to provide data
              Non achievement of
                                           throughout 2004/5 to flag early          Gavin Ansdell to prepare
  Cex1        package of LPSA                                                                                       Gavin Ansdell    March 2005
                                           underperformance if it occurs             quarterly reports
              targets (up to £6.5M)
                                          Monthly financial monitoring             Martin Reeves(DoR) to co-
                                                                                     ordinate monthly reports.
              Lack of demonstrable
              progress on corporate
              capacity CAPs               Regular monitoring of CAP                                                                  December
  Cex2                                                                              Already in place               John Hazeldine
              impacts on CPA               groups through COE                                                                           2004
              Rating

                                                                                    Baker Tilly have agreed to
                                                                                     this, draft needs to be sent
              Compliance failures         Early check of the draft document                                                          May 2004
                                                                                     to them in May                 Gavin Ansdell
              on statutory BV              by Baker Tilly prior to publication
  Cex3                                                                              Corporate Strategy to          Charlotte Case
              requirements                Assessment of 2004/5 review                                               Steve Birkin
                                                                                                                                     March 2004
                                                                                     prepare a co-ordinated
              (BVRs/BVPP)                  programme
                                                                                     review schedule for the
                                                                                     year.
              Collapse of HR
              electronic systems for
              pay and personnel           Back up systems in payroll               Ensure that adequate back
  Cex4                                                                                                               Val Jenkins      April 2004
              records and                 Regular saving of personnel               up systems exist
              processing                   information on Resource link




1 Sept 2004
                                               KEY RISKS – DEPARTMENTAL CONTROLS
                                                            Attachment 2


                                                                                                                                    Actual date
                                                                                 Action required for control
Risk Ref.              Risk                     Control Measure(s)                                                 Lead officer     of achieving
                                                                                      implementation
                                                                                                                                        target
              Legal requirements or
              government initiatives
              or other unforeseen
              crisis such as
              widespread industrial         Try to forsee impending                Submitting timely proposals
              action placed on us at         legislation that will affect LA’s       to Chief Officers and/or      Susan Ryall /
  Cex5                                                                                                                                Ongoing
              short notice or no            Gather intelligence via Alg and         Members of the Industrial     Sue Sydney
              notice which requires          other similar networks                  Relations Sub Committee
              immediate attention
              for which we are
              inadequately
              resourced
              Lack of suitable
                                                                                    Implement grow your own
              competent staff, for
                                            Anticipate changes and trends to        initiatives e.g. modern       Susan Ryall /
  Cex6        any reason, to carry                                                                                                    Ongoing
                                             staffing complement                     apprenticeships, graduate      Val Jenkins
              out reactive work
                                                                                     trainees etc.
                                                                                    Regular refresher sessions
                                            Emergency plan                          on communications issues
                                                                                     with wider team
                                            Close liaison with emergency
                                             services                               Assessment of
              Failure to handle crisis                                               communications training
                                            Liaison with team, periodic
              communications in a                                                    needs of senior plan
  Cex7                                       refresher training                                                    Sheila Bennett     Ongoing
              major incident                                                         officers / spokespeople
                                            Well trained senior spokespeople
              correctly                                                             Review of resources
                                            Learning from London Resilience
                                                                                     available to staff
                                             Team, Home Office Guidance etc          communications activities
                                                                                     (media, public helplines
                                                                                     etc.)




1 Sept 2004
                                            KEY RISKS – DEPARTMENTAL CONTROLS
                                                         Attachment 2


                                                                                                                                    Actual date
                                                                               Action required for control
Risk Ref.              Risk                   Control Measure(s)                                                  Lead officer      of achieving
                                                                                    implementation
                                                                                                                                        target
                                          Regular backups of content
                                          Establishing ghost html site           Regular monitoring of
                                           hosted elsewhere to cut in when         system by IS section and
                                           real site crashes                       examination of adequate
              Major interruptions in      Analysis of system and hardware         24/7 corporate support
  Cex8                                                                                                            Sheila Bennett      Ongoing
              website availability         resilience to reduce likelihood         arrangements
                                          Full documentation of code and         Inclusion of this issue
                                           procedures to assist speedy             within IS disaster recovery
                                           restitution and avoid human error       plans
                                           where possible
                                          Existing local resilience
                                                                                  Review of these issues as
                                           procedures (overflow to SSH
                                                                                   part of pre-contract work on
                                           Area Office)
                                                                                   telephony contract
              Major malfunction of        Examine separation from main                                           Sheila Bennett
  Cex9                                                                            Review of these issues as                          Ongoing
              council’s switchboard        Council network to avoid                                               / Laurie Carter
                                                                                   part of Emergency
                                           knock-ons.
                                                                                   Planning Officer’s work
                                          Explore major emergency
                                                                                   plan
                                           external hosting solutions.
              Non delivery of
                                          Quarterly finance and
              externally funded                                                                                      Alfredo
  Cex10                                    performance monitoring and             Already in place                                   Ongoing
              partnership                                                                                            Mendes
                                           returns to funding partners
              agreements
              Failure to secure a
              private sector led
                                                                                                                                     November
  Cex11       partnership to drive        Review at BID’s project meeting        Already in place               Mary Manuel
                                                                                                                                       2004
              BID’s initiative for
              Bromley Town Centre




1 Sept 2004
                                            KEY RISKS – DEPARTMENTAL CONTROLS
                                                         Attachment 2


                                                                                                                                  Actual date
                                                                                Action required for control
Risk Ref.              Risk                  Control Measure(s)                                                    Lead officer   of achieving
                                                                                     implementation
                                                                                                                                      target
                                                                                   Data verification throughout
                                                                                    May/June
                                                                                   N Hussain preparing report
                                         Verification of data collection and       on mapping and targeting
                                          target calculation                        of problems and
              Failure of LPSA for                                                                                  Mary Manuel /
  Cex12                                  Maximising linkages between all           interventions May 2004                        March 2005
              Community Safety                                                                                     Nozmul Hussain
                                          Community Safety initiatives and         Regular monitoring and
                                          LPSA                                      evaluation of CS initiatives
                                                                                    impact on LPSA i.e. PATP
                                                                                    fund applications, EWO,
                                                                                    PCSO etc.
                                         Renewal of partnership                   Partnership agreements
              Loss of key staff due
                                          agreements for 2004/05                    renewed for 2004/05
              to fixed term funding
                                         Early discussions with                   Negotiations with GOL re:        Nozmul
  Cex13       and temporary                                                                                                         Ongoing
              partnership                 GOL/Home Office re: next year’s           funding Dec 2004                 Hussain
                                          funding and good communication
              agreements
                                          with staff affected




1 Sept 2004
                                             KEY RISKS – DEPARTMENTAL CONTROLS
                                                          Attachment 2


                                             EDUCATION AND LIBRARIES DEPARTMENT

                                                                                                                              Actual date
                                                                               Action required for control                         of
Risk Ref.                Risk                  Control Measure(s)                                              Lead officer
                                                                                    implementation                             achieving
                                                                                                                                 target
ED1           Statutory responsibility       All staff have completed CRB        Ensure systems are in       AD Pupil and
              relating to children            checks where necessary and           place to monitor the          Student
              (accident/abuse)                outcome of check is                  robustness of the police     Services
                                              satisfactory.                        check system.
                                             The role of the Area Child          Ensure systems are in      Head of Human
                                              Protection Committee.                place to monitor             Resources
                                                                                                                               Ongoing
                                             Correct Health and Safety            incidents/accidents with    Consultancy
                                              procedures are in place in           regard to Health and
                                              Schools and in the LEA eg            Safety.
                                              education out of school.            Having systems in place
                                             Staff are trained to carry out       that document how we are
                                              their duties.                        involved.
ED2           Non compliance with            Ensure systems are in place                                     AD Standards
              equalities legislation          to monitor ethnic minority                                           and
                                              groups in line with                                             Effectiveness
                                              employment legislation.             Implement and maintain
                                             Ensure monitoring processes          systems that focus on          Head of
                                              are in place to measure              meeting the demand of       Planning and   April 2005
                                              attainment of ethnic minority        equalities legislation.       Research
                                              groups in line with statutory
                                              requirements.                                                      Head of
                                             Promotion of Race Equality.                                      Education
                                                                                                               Personnel
ED3           Non Compliance with            Ensure the assessment               Ensure information         AD Standards
              SEN Code of Practice            process works within the             systems are in place to         and         Ongoing
                                              target period.                       measure the assessment     Effectiveness




1 Sept 2004
                                                KEY RISKS – DEPARTMENTAL CONTROLS
                                                             Attachment 2


                                                                                                                                     Actual date
                                                                                   Action required for control                            of
Risk Ref.                Risk                     Control Measure(s)                                                 Lead officer
                                                                                        implementation                                achieving
                                                                                                                                        target
                                                Systems are in place to               process.
                                                 measure the assessment               Monitor the work of
                                                 process and the capacity of           Educational Psychologists
                                                 schools to assess children’s          to ensure statutory
                                                 needs.                                responsibilities are met.
                                                Systems to measure services          Development of robust
                                                 to children with SEN.                 assessment of progress in
                                                Use appropriate attainment            National Curriculum Terms
                                                 measures to measure                   (P Scales)
                                                 progress of children with SEN.       Ensure IEPs for SEN           AD Pupil and
                                                                                       children at action, action      Student
                                                                                       plus stages are fully up to    Services
                                                                                       date and reviewed
                                                                                       regularly.
                                                                                      Ensure schools match
                                                                                       provision to need.
ED4           No access and disability                                                Asset Management Plan in      AD Pupil and
                                                Ensure there is a detailed
              strategy (not being able to                                              place and regularly             Student
                                                 analysis of the access and
              identify sufficient capital                                              updated.                       Services
                                                 suitability of school buildings
              funding)                                                                Keep Members informed                          Jan 2005
                                                 and sites.
                                                                                       and lobby central               Head of
                                                Ensure council has a policy to
                                                                                       Government as                   Property
                                                 fund priorities                                                       Services
                                                                                       appropriate.
ED5           Capacity issues/ability to        Human Resources strategy             HR strategy reviewed and
              deliver full LEA services                                                                               Director of
                                                 kept under review with regard         IIP standards constantly
                                                                                                                     Education and   Corporate
                                                 to recruitment and retention,         met.
                                                                                                                     Libraries and   timetable
                                                 training, performance                Performance reward and
                                                                                                                         ELMT
                                                 development and                       performance development




1 Sept 2004
                                              KEY RISKS – DEPARTMENTAL CONTROLS
                                                           Attachment 2


                                                                                                                                    Actual date
                                                                                 Action required for control                             of
Risk Ref.               Risk                    Control Measure(s)                                                  Lead officer
                                                                                      implementation                                 achieving
                                                                                                                                       target
                                               performance management.               schemes used as an
                                              Review staffing levels to adapt       effective management tool.
                                               to need.                             Maintain a flexible
                                              Review “what the business is”         organisation to meet
                                               - business priorities                 changing legislation and
                                                                                     demand.
                                                                                    Undertake a cross service
                                                                                     review of the business
                                                                                     base – what should we be
                                                                                     doing.
ED6           Not meeting targets for                                               Target national strategies
              attainment / attendance /                                              and resources to overturn
                                              Monitoring of performance of
              public service agreement                                               disparity of performance
                                               schools/pupil achievement in
                                                                                     between schools.               AD Standards
                                               public exams and through
                                               OfSTED inspections                   Devise proactive strategies         and
                                                                                     to reinforce school capacity   Effectiveness    Ongoing
                                              Monitoring attendance
                                                                                     to address truancy and
                                               through the EWO service.
                                                                                     monitor attendance.            EWO Service
                                              Progress of individual pupils
                                                                                    Support early intervention
                                               towards agreed targets.
                                                                                     and follow legal action for
                                                                                     persistent non-attenders.
ED7           Underestimating demand          Ensure there is good                 Ensure the EMS database
              for SEN services –                                                                                    AD Pupil and
                                               information on the demand for         information is robust,
              forecasting/managing                                                                                    Student         EMS April
                                               services and spending trends.         accurate and timely.
                                                                                                                     Services         2004
                                              Timely input of forecast             Regular review of the
                                               information in to the Councils        efficiency and effectiveness
                                                                                                                    Head of SEN       On-going
                                               service and financial planning        of assessment processes.
                                               processes.                           Regular updates to ELMT




1 Sept 2004
                                            KEY RISKS – DEPARTMENTAL CONTROLS
                                                         Attachment 2


                                                                                                                                 Actual date
                                                                              Action required for control                             of
Risk Ref.               Risk                  Control Measure(s)                                                 Lead officer
                                                                                   implementation                                 achieving
                                                                                                                                    target
                                            Robust assessment                    so that any necessary
                                             processes.                           management action can be
                                            Ensure supply of cost                agreed and implemented
                                             effective provision is in line       and that Members are
                                             with current and forecast            aware of the pressures in
                                             demands.                             the service planning and
                                                                                  budgeting processes.
                                                                                 Adjust provision of services
                                                                                  to meet demand in a cost
                                                                                  effective measure, within
                                                                                  existing resources.
ED8           Contract letting and                                               Develop capacity and skills
                                            Robust contract monitoring in
              monitoring – revenue                                                to ensure proper contract
                                             place to ensure acceptable                                           Director of
                                                                                  monitoring processes are in
                                             quality of service provision                                        Education and
                                                                                  place.
                                             and VFM                                                             Libraries and
                                                                                 Develop an annual
                                            Supply of services matches                                              ELMT
                                                                                  purchasing plan is in place
                                             current and future demands.
                                                                                  for SEN services.
ED9           Professional judgements                                            Systems in place to report
                                            Self review and quality
              being incorrect –                                                   on schools in failing
                                             assurance systems in place
              training/capacity                                                   categories.                    AD Standards
                                            Number of schools in special
                                                                                 Robust response to                  and
                                             measures and serious                                                                Ongoing
                                                                                  findings from Ofsted           Effectiveness
                                             weakness categories.
                                                                                  inspection
                                            Linked with ED5 – Human
                                                                                 Linked with ED5 – Human
                                             Resources strategies.
                                                                                  Resources strategies.




1 Sept 2004
                                           KEY RISKS – DEPARTMENTAL CONTROLS
                                                        Attachment 2


                                     ENVIRONMENT AND LEISURE SERVICES DEPARTMENT


                                                                                                                              Actual date
                                                                             Action required for control
Risk Ref.              Risk                 Control Measure(s)                                                 Lead officer   of achieving
                                                                                  implementation
                                                                                                                                  target

   001        Outside Agencies
                                        Membership of influential bodies/      Compile register - Register
              Failure to achieve        Planning and monitoring systems         of bodies where
    a)        strategic service          in place                                representation is necessary      DES           Ongoing
              objectives                PDS Reviews                            Identify critical systems &
                                                                                 review
                                        Membership of influential bodies       Compile register
                                        Central and departmental safety        Ensure mechanism is in
              Legislative change
                                         Committees                              place for following up
    b)        (Environment &                                                                                      DES           Ongoing
              Safety)                   Regular monitoring of new               recommendations
                                         legislation                            Allocate responsibility for
                                        PDS reports                             monitoring legislation
              Infectious disease                                                Outbreak control
                                        Outbreak control procedures
    c)        outbreak                                                           procedures agreed with          CEHO            Done
                                         conforming with ISO 9000
                                                                                 PTC
                                                                                Development in new
    d)        Storm damage (trees)      Response planning & recovery                                           AD(HLC)        April 2005
                                                                                 contract for tree care

   002        Contract Failure
              Field Studies Centre
                                        Monitoring position with other         Market research for service
    a)        to secure long term                                                                               AD(HLC)         Ongoing
                                         service providers                       demand
              contracts




1 Sept 2004
                                                KEY RISKS – DEPARTMENTAL CONTROLS
                                                             Attachment 2


                                                                                                                                     Actual date
                                                                                  Action required for control
Risk Ref.               Risk                      Control Measure(s)                                                  Lead officer   of achieving
                                                                                       implementation
                                                                                                                                         target
                                                                                     Conduct business health
               Cemeteries (Burials)           Monitoring contractors                 check
    b)                                                                                                                 AD(HLC)         Ongoing
               GMC                             performance                           Identify alternative
                                                                                      contractor
   003         Failure to Invest
               Lack of resources to
               provide & maintain             Asset management techniques
                                                                                     Valuation of assets
               street service                 Inventory surveys
    a)                                                                               Mapping of assets &               AD(SS)         Ongoing
               standards requiring            Condition surveys
               massive investment                                                     condition (GIS)

              Insufficient resources for                                             Mechanism for alternative
              systems that support                                                    service provision identified
              service delivery:               IT - Critical systems identified      Pick & Mix package
              i)IT                            Recruitment & retention                developed
    b)                                                                                                                   DES           Ongoing
              ii)Recruitment &                Knowledge management                  Knowledge management
              retention of staff              Exit Interviews                        records – Definitive filing
              iii)Knowledge                                                           systems IT
              management (records)
                Lack of investment
                leading to:
                i) closure of leisure
                facilities & subsequent       Close monitoring of buildings,        Impact study on loss of
    c)                                                                                                                 AD(HLC)         Ongoing
                lack of insurance              facilities & patronage                 facilities to local community
                cover
                ii)loss of grants &
                matched funding




1 Sept 2004
                                             KEY RISKS – DEPARTMENTAL CONTROLS
                                                          Attachment 2


                                                                                                                                  Actual date
                                                                               Action required for control
Risk Ref.              Risk                    Control Measure(s)                                                  Lead officer   of achieving
                                                                                    implementation
                                                                                                                                      target
              opportunities

              Failure to undertake
              regular safety                                                      Review current situation,
                                           Process & frequency plan for
    d)        inspections leading to                                               identify resources and align       ADs           Ongoing
                                            each service
              liability & prosecution                                              policy to budget

              Failure to provide
              sufficient finance to                                               In partnership with
              meet the public’s            Improved contract/contractor           contractor seek efficiency &
    e)                                                                                                               AD(SS)         Ongoing
              aspirations for               monitoring                             added value gains. Identify
              improved street                                                      areas of most need.
              cleanliness
   004        Loss of Income

                                                                                  Exception reporting on
    a)        Car Parking                  Monitoring of patronage                                                 AD(T&P)         Ongoing
                                                                                   variations
                                                                                  Monitor for signs of
                                           Monitoring of contractor
    b)        FPN                                                                  success in achieving             AD(T&P)         Ongoing
                                            performance
                                                                                   enforcement objectives
                                                                                  Refine procedure for
    c)                                     Quarterly monitoring of paid
              Street Works                                                         resolving disputes with           AD(SS)         Ongoing
                                            invoices against invoices issued
                                                                                   utilities.
                                                                                  Establish business
    d)        Trade Waste                  Monitor customer turnover              continuity strategy / Consult       PM           Ongoing
                                                                                   customers
                                           Licensing Policy & Procedures         Licensing Policy &                              Subject to
    e)        Licensing of premises                                                                                  CEHO
                                            conforming to ISO 9000                 Procedures agreed in                           Government




1 Sept 2004
                                  KEY RISKS – DEPARTMENTAL CONTROLS
                                               Attachment 2


                                                                                                                Actual date
                                                               Action required for control
Risk Ref.            Risk          Control Measure(s)                                            Lead officer   of achieving
                                                                    implementation
                                                                                                                    target
                                                                   accordance with legislative                    guidance
                                                                   timescale

    f)        Land charges      Monthly reporting on demand      Monitor market trends             CP           Ongoing




1 Sept 2004
                                               KEY RISKS – DEPARTMENTAL CONTROLS
                                                            Attachment 2



                                         LEGAL AND DEMOCRATIC SERVICES DIRECTORATE

                                                                                                                                         Actual date
                                                                                     Action required for control
Risk Ref.              Risk                     Control Measure(s)                                                       Lead officer    of achieving
                                                                                          implementation
                                                                                                                                             target
                                            Business recovery plan
                                            Clearly specified fault rectification
                                                                                        Effective communication of
              Interruption to IT             procedures
  LDS1                                                                                   procedures to departmental     Resources (IS)       N/a
              systems                       System resilience NB This item              staff
                                             is primarily Corporate IS
                                             responsibility
                                                                                        Specify resilience
                                                                                         measures in contract
  LDS2        Telecomms /                   Resilience through managed
                                                                                        Effective contract             LDS (GW/LC)        Ongoing
              switchboard failure            services contract
                                                                                         monitoring
                                                                                        Periodic resilience testing
                                                                                                                                            By end
              Deterioration of
                                                                                        Identify age “hot spots”                          2004/05
              service quality through
                                            Effective succession planning              Document work processes          LDS (all         through
  LDS3        loss of experienced
              staff as a result of age
                                             procedures                                 Ensure effective transfer of    managers)         service
                                                                                         job knowledge                                      review
              profile of workforce
                                                                                                                                           process
                                                                                        Effective communication of
                                                                                         policy to managers and
              Deterioration of                                                           supervisors
              service quality as a          Corporate and departmental                 Training in application of       LDS (all
  LDS4                                                                                                                                     In place
              result of staff absence        sickness management procedure               procedure                       managers)
              through sickness                                                          Regular monitoring and
                                                                                         follow-up of sickness
                                                                                         absence statistics




1 Sept 2004
                                               KEY RISKS – DEPARTMENTAL CONTROLS
                                                            Attachment 2


                                                                                                                                     Actual date
                                                                                  Action required for control
Risk Ref.              Risk                     Control Measure(s)                                                    Lead officer   of achieving
                                                                                       implementation
                                                                                                                                         target
              Failure to deliver                                                     Identify key management
                                                                                                                                      End June
              project stated aims                                                     staff
                                                                                                                                         2004
              within timescale or           Effective training in project           Through PADS/PRP,                LDS (all
  LDS5                                                                                                                                 through
              budget as a result of          management techniques                    identify need for and           managers)
                                                                                                                                        PADS
              project management                                                      provide project                                  process
              failings                                                                management training
                                            Effective scrutiny of potential
              Interruption to or                                                     Identify high risk contracts
                                             contractors                                                               LDS (all
              deterioration of                                                       Standardised contract                          As contracts
  LDS6                                      Appropriate performance bonds                                             contract
              service due to failure                                                  letting procedures and                            renew
                                             or parent company guarantees                                             managers)
              of contractors                                                          documentation
                                            Business continuity planning
              Breach of statutory
              obligations through           Register of all relevant statutory      Identify, document and
              failure of compliance          requirements                             review all relevant statutory
              with relevant                 Regular review of compliance             requirements                     LDS (all
  LDS7                                                                                                                                 Ongoing
              legislation (e.g.             Effective training of managers in       Identify and train all staff    managers)
              Freedom of                     requirements of relevant                 responsible for meeting
              Information, Disability        legislation                              statutory requirements
              Discrimination)
                                                                                     Review service
              Breach of law arising
                                                                                      procurement procedures           LDS (all
              from failure of clients
  LDS8                                      Service procurement procedures           and redesign if appropriate      contract        Ongoing
              to follow Legal briefing
                                                                                     Regular service delivery        managers)
              procedures
                                                                                      meetings with clients
              Overspending
                                                                                     Identify “risk areas” (e.g.
              budgets as a result of                                                                                   LDS (all
                                            Effective forward budgetary              contracts using low paid
  LDS9        increased costs                                                                                          contract        In place
                                             planning                                 labour)
              outside Council’s                                                                                       managers)
              direct control (e.g.                                                   Monitor as far as possible




1 Sept 2004
                                             KEY RISKS – DEPARTMENTAL CONTROLS
                                                          Attachment 2


                                                                                                                                Actual date
                                                                               Action required for control
Risk Ref.              Risk                   Control Measure(s)                                                 Lead officer   of achieving
                                                                                    implementation
                                                                                                                                    target
              single status,                                                       cost-increase factors (e.g.
              minimum wage)                                                        minimum wage levels)
              Failure of or detriment
              to democratic systems
              through lack of              Training programme in key skills      Design and deliver training    LDS (all
  LDS10                                                                                                                           In place
              leadership, failure of        for elected Members                    to Members                    managers)
              engagement, poor
              decision making etc




1 Sept 2004
                                            KEY RISKS – DEPARTMENTAL CONTROLS
                                                         Attachment 2




                                                    RESOURCES DIRECTORATE

                                                                                                                                     Actual date
                                                                                Action required for control
Risk Ref.              Risk                  Control Measure(s)                                                       Lead officer   of achieving
                                                                                     implementation
                                                                                                                                         target
                                                                                   Effective management of
                                                                                    operational services
                                                                                    provided through the FM
                                         Effective operational support for
                                                                                    contract with Liberata/Sx3
                                          systems to ensure they are                                                                   Ongoing
                                                                                   Effective application of anti-
                                          maintained and their reliability is
                                          maximised                                 virus protection and
                                                                                    security measures through
                                         Effective security to minimise risk
                                                                                    the FM Contract with
                                          of attack or intrusion and                                                                   Ongoing
              IT security and                                                       Liberata/Sx3
                                          consequent disruption to services
              resilience including                                                 Technical design takes into
    1                                    Resilient systems in use so that                                            Mark Hayman
              disaster recovery                                                     account the criticality of
                                          single points of failure are
              plans                                                                 systems and ensures
                                          minimised                                                                                    Ongoing
                                                                                    where justified that
                                         Stand-by arrangements available           additional resilience is built-
                                          so that in the event of failure
                                                                                    in
                                          highest priority services can be
                                                                                   Specific options are                               Q1 2004
                                          recovered in an appropriate
                                                                                    reviewed and facilities
                                          timescale
                                                                                    provided to ensure
                                                                                    appropriate stand-by
                                                                                    service provision
              Capacity to lead           Implementation of Formal Project         Review IS division structure
              projects and                Planning                                 Produce 2004/5                                    Various to
    2         consequent ability to      Prince 2 training for staff.              Departmental Plan with             Paul Dale      December
              respond to change          DMT functioning as programme              clear project accountability                        2004
              initiatives                 level board                               and methodology




1 Sept 2004
                                          KEY RISKS – DEPARTMENTAL CONTROLS
                                                       Attachment 2


                                                                                                                           Actual date
                                                                            Action required for control
Risk Ref.             Risk                 Control Measure(s)                                               Lead officer   of achieving
                                                                                 implementation
                                                                                                                               target
                                        Clear departmental planning

                                        Effective SLAs and contracts in
                                         place
                                        Regular operational (weekly) and
                                         strategic (2 weeks) meetings
                                         monitoring progress and
                                         identifying action required
                                        Escalation procedures in place                                      Suzanne
                                                                               Formal structures and
                                         and responsible officers clearly                                    Lancaster
              External Contractor                                               procedures in place for
                                         identified                                                         (revenues)
              performance -                                                     monitoring and corrective                    Ongoing
    3                                   Weekly monitoring of outstanding
              Revenues and                                                      action to minimise risk.
                                         caseload                                                              John
              Benefits                                                          Process and structures to
                                        Approval and confirmation of                                       Nightingale
                                                                                be reviewed monthly.
                                         payment runs to ensure regular                                      (benefits)
                                         payment
                                        Weekly monitoring of complaints
                                         and patterns identified
                                        Action identified and formally
                                         agreed when monitoring key
                                         performance areas
                                        Database to be prepared
                                         scheduling occupants against
              Accommodation
                                         accommodation
              capacity issues and
    4                                   Space standard information                                         John Turner      Ongoing
              health and safety
                                         collected
              aspects of buildings
                                        Optimum space standards
                                         established




1 Sept 2004
                                               KEY RISKS – DEPARTMENTAL CONTROLS
                                                            Attachment 2


                                                                                                                                     Actual date
                                                                                   Action required for control
Risk Ref.              Risk                     Control Measure(s)                                                  Lead officer     of achieving
                                                                                        implementation
                                                                                                                                         target
                                            All new build, refurbishments and        Measures in place – no
                                             alteration works to consider              further action at present
                                             space standards
                                            Statutory maintenance and                Measures in place – no
                                             inspections to be carried out in          further action at present
                                             accordance with H&S legislation
                                             and industry good practice
                                            Regular visual inspections of            Measures in place – no
                                             buildings                                 further action at present
                                            Regular stock condition                  Measures in place – no
                                             assessments                               further action at present
                                            Educating workforce in being             Measures partly in place –
                                             proactive in reporting building and       more work needed
                                             associated H&S issues

              Staff issues in               IIP implementation plan
   5          particular succession         PDS/ PRP assessments of skills           Review of Structures                           December
                                                                                                                     Paul Dale
              planning and skills           Reviews of Structures                    Training Needs analysis                          2004
              gap                           HR strategy

                                            Monthly budget monitoring to                                           Overall lead
                                             DMTs, and COE after reporting to                                       Peter Turner
              Systems for                    service managers. Annual
              identifying and alerting       timetable produced, standards                                             Heads of
    6                                                                                                                                  Ongoing
              managers on                    agreed and implemented                   Formal structures and           Finance
              budgetary failures            Reports during June to March              procedures in place for       identified to
                                             period with early warnings/key            monitoring and corrective    lead on their
                                             budget areas identified during            action to minimise risk       own service




1 Sept 2004
                                             KEY RISKS – DEPARTMENTAL CONTROLS
                                                          Attachment 2


                                                                                                                                         Actual date
                                                                                    Action required for control
Risk Ref.              Risk                   Control Measure(s)                                                        Lead officer     of achieving
                                                                                         implementation
                                                                                                                                             target
                                           remainder of year.                          Process and structures to       department
                                          Escalation routes agreed re                  be reviewed monthly               areas
                                           overspend areas including option
                                           of early reporting to Members                                                  Capital
                                          Heads of Finance to sign off                New SS financials to            Programme
                                           budget monitoring statements                 improve robustness of          monitoring lead
                                           with managers establishing the               monitoring placements            is Martin
                                           robustness of the systems                    (older people and adults)         Reeves
                                          Heads of Finance required to                 as well as domiciliary care
                                           review systems and introduce
                                           improvements
                                          Review of key budget systems                Review of SEN monitoring
                                           where high risk of volatility in             systems being currently
                                           projections e.g. SEN, SS                     undertaken
                                           placements
                                          Budget monitoring reports to
                                           include identification of impact on
                                           future years
                                          Maintain a schedule of all
                                           property to be insured by the
                                           Council
                                          Maintain schedules of all vehicles
                                           and plant to be insured by the
              Insufficient insurance
    7                                      Council                               Procedures in place, registers, and   Dave Thomas         Ongoing
              cover
                                          Maintain a register of all            schedules maintained and updated
                                           insurance premiums paid each
                                           year
                                          Independent check on all such
                                           records, by internal / external




1 Sept 2004
                                              KEY RISKS – DEPARTMENTAL CONTROLS
                                                           Attachment 2


                                                                                                                                   Actual date
                                                                                  Action required for control
Risk Ref.              Risk                    Control Measure(s)                                                   Lead officer   of achieving
                                                                                       implementation
                                                                                                                                       target
                                            audit

                                           Audit plan
                                           Reports, advice and guidance to
              Failure to identify and       management and members
              highlight frauds and         Follow up                               Delivery of audit plan
    8                                                                                                               Mark Gibson      Ongoing
              weaknesses in                Adequate and effective financial        Reports to Audit Sub
              systems                       regulations
                                           Adherence to CIPFA code of
                                            audit practice
                                           Ensure that brief is accurate at        All measures in place – no
                                            feasibility stage                          further action required at
                                           Check costs provided at feasibility        present
                                            stage against composite area
                                            costs adjusted for regional
                                            difference
                                           Monitor spend accurately using
                                            spend:spend profile to flag up
              Capital project delays        potential overspends and delays     Additional actions planned 2004/5
    9                                                                                                               John Turner      Ongoing
              or overspends                Closely manage/monitor client’s
                                            changes to specification                Standard school design
                                           Ensure that LADs accurately                brief
                                            reflect losses in monetary terms        Standard Capital project
                                           Closely monitor that resources on          plan
                                            site are commensurate with the          Life cycle costing approach
                                            project requirements
                                           Monitor KPIs relating to cost and
                                            time predictability




1 Sept 2004
                                            KEY RISKS – DEPARTMENTAL CONTROLS
                                                         Attachment 2


                                                                                                                                 Actual date
                                                                               Action required for control
Risk Ref.              Risk                  Control Measure(s)                                                   Lead officer   of achieving
                                                                                    implementation
                                                                                                                                     target
                                          Effective SLAs and contracts are       SLA and contract are          Fred Parrett    April 2004
                                           in place                                agreed. A further review of
                                          Monitoring of performance is            SLA is needed for April
                                           undertaken regularly                    2004
                                          Processes are in place to ensure       Monitoring is in place –      Mike Shepherd   Ongoing
                                           effective escalation and secure         refinements being reviewed
              External Contractor          clear decisions in the case of          and agreed on an going
    10
              performance – IT             shortcomings                            basis
                                          Remedial measures once agreed          Measures in place – no        Mike Shepherd   Ongoing
                                           are monitored effectively               further action required at
                                                                                   present
                                                                                  Measures in place – no        Mike Shepherd   Ongoing
                                                                                   further action required at
                                                                                   present
                                       Revenue:
                                        Monitor void property list and           Measures in place to
                                          increase lettings                        deliver most of these
                                        Ensure tenants are secured on             controls
                                          renewals
                                        Maintain property terrier / caution
              Failure to sustain and      system to identify rent reviews
    11        improve income from       Ensure reviews are to market                                            Neil Thompson     Ongoing
              property                    value
                                        Monitor tenants are properly             A system for monitoring
                                          invoiced                                 tenant invoicing is being
                                                                                   developed
                                       Capital:
                                        Review property assets to identify       Measures in place to
                                          opportunities                            deliver most of these




1 Sept 2004
                          KEY RISKS – DEPARTMENTAL CONTROLS
                                       Attachment 2


                                                                                                  Actual date
                                                     Action required for control
Risk Ref.     Risk         Control Measure(s)                                      Lead officer   of achieving
                                                          implementation
                                                                                                      target
                        Maximise receipts through      controls
                         appropriate marketing /
                         negotiation




1 Sept 2004
                                             KEY RISKS – DEPARTMENTAL CONTROLS
                                                          Attachment 2


                                          SOCIAL SERVICES AND HOUSING DEPARTMENT

                                                                                                                                        Actual date
 Risk                                                                                      Action required for                               of
               Risk                          Control Measure(s)                                                        Lead officer
 Ref.                                                                                    control implementation                          achieving
                                                                                                                                           target
                                                                                              Transition team
                                                                                               established
         Demand for
                                 Early independence planning                                 Up-dated
         high
                                                                                               commissioning
         dependency              Good information on demand/spend trends.
                                                                                               strategies, revised
         services for            Increase capacity of service to provide alternatives                                Assistant
                                                                                               specification for
   1     adults and older         for high dependency support                                                         Director (Adult    Ongoing
                                                                                               services
         people                  Eligibility criteria kept under review                                              & OP Services)
                                                                                              Reviewed/revised
         increases at a          Appropriate agreements on continuing care/shared             eligibility criteria
         disproportionate         funding
         rate.                                                                                Agreement with
                                                                                               PCT on continuing
                                                                                               care
                                                                                              HR strategy and IIP
         Ability to recruit
                                 HR strategy kept under review; improve all aspects           standard sought
         and retain                                                                                                   SS&H HR
                                  of recruitment and retention and examine job                PIP maintained as
   2     qualified and                                                                                                strategy group     Ongoing
                                  flexibility                                                  effective driver of
         experienced                                                                                                  Director
                                 Improve on zero star rating                                  performance
         staff
                                                                                               improvement
                                                                                              Appoint Project
         Information
                                                                                               Manager
         systems;                Tighter project management of IS/IT developments                                    Links Project
                                                                                              Data cleansing
         established and          to ensure results                                                                   Manager
   3                                                                                          Re-fresher training                       Ongoing
         maintained as           Improve quality of data on systems                                                  Asst Dir (S&P)
                                                                                               of staff
         fit for business        Effective system reporting
         purposes.                                                                            Reporting system       Asst Dir (S&P)
                                                                                               delivered




1 Sept 2004
                                             KEY RISKS – DEPARTMENTAL CONTROLS
                                                          Attachment 2


                                                                                                                               Actual date
 Risk                                                                               Action required for                             of
               Risk                          Control Measure(s)                                               Lead officer
 Ref.                                                                             control implementation                        achieving
                                                                                                                                  target
                                                                                       PDS completed &
                                                                                        targeted training    Asst Dir.
         Good practice
                                                                                        programme            Strategic
         proves harder
                                 Training programme                                   Recognition of       Development
         to nurture and
                                                                                        good practice and    and
   4     sustain within          Explicit standards                                                                            Ongoing
                                                                                        culture that         Performance
         the Department;         Effective QA systems                                                       Asst Dirs.
                                                                                        supports it
         risk of unsafe
         practice                                                                      QA framework         Adults, OP and
                                                                                        developed with       C&F
                                                                                        reporting.
                                                                                                             Asst Dir.
         Failure of a
                                 Avoid over-dependence on a single supplier in        Contracting          (Housing &
   5     contracted                                                                                                             Ongoing
                                  contract letting                                      strategy             Commissioning)
         provider
                                                                                                             Asst Dir. (S&P)
         Loss of a facility
                                                                                       Maintain
   6     due to fire/flood       Contingencies in emergency plan                                            All SS&H DMT       Ongoing
                                                                                        emergency plan
         etc.
                                                                                       Refreshed dep reps
         Sustained
                                                                                        structure
         industrial action       Engaging staff in consultation about changes
   7                                                                                   Refreshed            All SS&H DMT       Ongoing
         affecting key           Keeping staff fully informed of developments
                                                                                        newsletter and
         service areas
                                                                                        comms




1 Sept 2004
              KEY RISKS – DEPARTMENTAL CONTROLS
                           Attachment 2




1 Sept 2004

								
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