RATING

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					                                                                                                                                                 APPENDIX 1


RATING     RISK                         IMPACT                                           LIKELIHOOD                                  CONTROL
VALUE    CATEGORY                                                                                                                  REQUIREMENTS
  1       Very Low            Near miss                                             Improbable - so unlikely that                   Should be addressed by
                              No/minor injury and virtually no risk of           probability is close to zero.                  existing management systems
                          harm                                                       Could theoretically occur, but would       and routine daily activities.
                              Superficial damage                                 be considered exceptional.
                              Operational inconvenience not affecting               Would be expected to occur less than
                          quality of service                                      annually
                              Late delivery, overspend, quality issues on           Less than 5% chance of happening
                          contracts of works or services – no adverse
                          affect
                              Weak partnerships – general inconvenience
                          only
                              Staff morale – passing problem (days)
                              No publicity
                              Occasional missing of key business targets
                          by > 5%
                              Financial impact < £0.5m
  2         Low               Superficial injuries, minor cuts & bruises,      Unlikely though conceivable – ‘once in a       Contingency plan in place
                          nuisance & irritation, ill health leading to           lifetime’
                          temporary minor disability                            Could foreseeably happen, but
                              Psychological trauma not resulting in lost        infrequently
                          time                                                  Would be expected to occur up to once a
                              Minor out-of-court settlement                     year
                              Loss or damage requiring replacement or          5 – 20% chance of happening
                          repair
                              Absorbable unplanned expenditure or loss
                          of income
                              Late delivery, overspend, quality issues on
                          contracts of works or services – small adverse
                          affect
                              Weak partnerships – minor issues readily
                          overcome
                              Service disruption causing operational
                          inconvenience for up to 12 hours
                              Staff morale – short term issue (weeks)
                              Business critical information compromised
                              Could result in a justified complaint
                              Adverse internal publicity
                              Emission of non-toxic material
                     Frequent missing of key business targets by
                      > 5%
                     Financial impact > £0.5m, < £1.5m

3   Medium      Occupational deafness, dermatitis, allergy,             Will occur several times Expected to        Contingency plan in place & tested
                 WRULD’s, RSI’s,VWF, ill health leading to                happen fairly often, e.g. monthly            & plan to reduce the risk to as low
                 permanent minor disability                              20 – 50% chance of happening                 a level as reasonably practicable
                HSE enquiry                                                                                           within a period defined by you
                Improvement notice                                                                                   Where there is a risk of injury or
                Civil action – no defence                                                                             harm, action must be immediate
                Significant effect on your budget                                                                    Requires active risk management
                Serious control weaknesses giving rise to                                                             and/or countermeasures at service
                 possible fraudulent activity                                                                          area level and should feature on
                Significant weaknesses in partner relationships                                                       directorate risk register
                Service interrupted and/or work area unusable,
                 necessitating temporary working arrangements
                 for up to 24 hours
                Significant impact of late delivery, overspend,
                 quality issues on contracts of works or services
                Staff morale – longer term issue (months)
                Serious breach of information confidentiality
                Regulator concern
                Local media coverage
                Small emission of toxic material
                Could result in a successful claim for
                 compensation
                Frequent missing of key business targets by >
                 10%
                Financial impact > £1.5m, < £3m
4    High             Amputations, permanent loss of eyesight,          Occurs repeatedly – ‘oh no, not again’      Contingency plan in place & tested
                 major fractures, poisonings and gassings,               Not surprised                                & plan to reduce the risk to as low
                 severe/multiple/fatal injuries                          Will occur regularly, e.g. weekly            a level as reasonably practicable
                      Long term disability or need for                  50 - 80% chance of happening                 within 12 months.
                 redeployment                                                                                         Requires active risk management
                      Services curtailed for up to 48 hours and/or                                                    and/or countermeasures at
                 areas beyond the directorate affected                                                                 directorate level and should feature
                      Staff morale – significant problem (>12                                                         on directorate risk register
                 months)
                      Temporary loss of business critical
                 information
                      Control weaknesses being the cause of
                 fraudulent activity
                             Unreliable partner(s) in contracts
                             Significant variations to/partial completion
                       of contract specifications
                             Class action
                             Large emission of toxic material
                             Regulatory intervention
                             Prohibition notice
                             Significant disruption of services from
                       strike action
                             National media 3 day coverage
                             Would trigger the major incident plan
                             Frequent missing of key business targets by
                       > 15%
                             Financial Impact > £3m, < £5m

5   Catastrophic             Multiple fatalities                                    Certain - an accident waiting to       Contingency plan in place & tested
                             Services curtailed for more than 48 hours          happen or occurring at least daily           & plan to reduce the risk to as low
      / Certain              Non-delivery on contracts of works or                  More than 80% chance of happening       a level as reasonably practicable
                       services                                                                                               within 6 months.
                             Partnership performance so bad needs                                                           Requires active risk management
                       dissolving                                                                                             and/or countermeasures at
                             Indefinite loss of business critical                                                            directorate level and should feature
                       information                                                                                            on directorate risk register and be
                             Hackers gained access to IT systems                                                             reported to corporate risk
                             Major disruption of services from strike                                                        management
                       action
                             Staff morale – major breakdown/loss of
                       staff confidence or management authority
                             Key building(s)/ essential plant/ equipment
                       destroyed
                             Criminal Prosecution – no defence
                             Executive officer fined or imprisoned
                             Major fraud/system weakness
                       compromising ability to deliver services
                             National media > 3 day coverage
                             National Government involvement
                             Consistently missing business targets by >
                       20%
                             Financial impact > £5m
  IMPACT


              5


                      5              10            15           20              25
Catastrophic         LOW           MEDIUM        MEDIUM        HIGH        CATASTROHIC

              4

High                  4               8            12           16             20
                     LOW             LOW         MEDIUM        HIGH           HIGH

              3

                        3             6            9            12             15
Medium
                    V. LOW           LOW         MEDIUM       MEDIUM         MEDIUM
mm
              2

                        2             4            6            8              10
Low                 V. LOW           LOW          LOW          LOW           MEDIUM

          1

                        1               2            3            4            5
 V. Low             V. LOW          V. LOW       V. LOW       V. LOW          LOW
  LOW
              0


                               1             2            3            4                 5

                   V. Low             Low        Medium        High            Certain
                    LOW                          mm

                                             LIKELIHOOD



                   1–3      Very Low
                   4–8      Low
                  9 – 15    Medium
                  16 – 20   High
                  21 - 25   Catastrophic

				
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