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					                                                                             Appendix 2 – Children's Services - Key Risks 2006-2007




Ref Risk description                                      Owner   Potential consequences                                           Counter actions to reduce risks                                               RISK
                                                                                                                                                                                                                RATING


 1   Failure to provide a strategic lead, support and             A failure to perform in this area would lead to an increased     Performance Management arrangements in place include rigorous self           MEDIUM
     challenge to schools to deliver high quality                 number of schools in serious weakness or special                 evaluation process against Ofsted/Joint Area Review criteria.
     education services would undermine a key                     measures/poor Joint Area Review outcomes and poor Council        Completion of Annual Performance Assessment for Children‟s
     function of the LEA .                                        CPA score.                                                       Services.

                                                                                                                                   The new Children‟s Directorate has commissioned a Performance
                                                                                                                                   Improvement Team to develop sustained improvement in critical areas
 2   Recruitment and retention of social workers for              Recruitment is a national difficulty with local issues added.    Premium for staff joining is part of developed recruitment strategy in       MEDIUM
     Children‟s Service                                           Impacts on service delivery in sensitive area.                   rolling programme.

                                                                                                                                   R&R priority for Performance Improvement Team.

 3   Implementation of the integrated children's                  The loss or misreporting of data                                 Problems identified and steering group set up to make progress against MEDIUM
     system (RAISE) may make it difficult to produce                                                                               an action plan. Paper recording re-instated in interim. Supplier focusing
     accurate information.                                                                                                         on rectifying problems

 4   Failure to reduce the number of permanent                    Failure to deliver on this target will have long-term adverse    A range of strategies to build capacity in schools and strengthen the         LOW/
     exclusions from schools in line with targets.                implications for the children who have been permanently          Behaviour Support service. These Include:- Key Stage 3 Attendance            MEDIUM
                                                                  excluded and also will leave the authority subject to scrutiny   and Behaviour Strategy, Learning Support Units within secondary
                                                                  under future Joint Area Review inspections of Children‟s         schools, “Invest to Save” Initiative at Silverbank Park, promoting
                                                                  Services.                                                        managed transfer of pupils between schools, Connexions Personal
                                                                                                                                   Advisers. Fundamental Review of Exclusions is currently in progress.
                                                                                                                                   Current figures for 2004-05 show a substantial fall in numbers of
                                                                                                                                   permanent exclusions.

 5   Failure to meet targets in national strategies for           Failure to meet national targets for raising attainment (for     The range of measures to support and challenge schools on raising             LOW
     raising attainment in schools.                               example at Key Stage 2) will adversely affect the life chances   attainment are set out in the Education Development Plan; the Primary
                                                                  of the children concerned, including their subsequent            Strategy, the Key Stage 3 Strategy and the 14-19 Strategy. There is a
                                                                  opportunities to access a fast-changing labour market.           Standards and Review process for looking at individual schools in
                                                                                                                                   conjunction with the school.

 6   Death or injury of a service user                            Such an event would have a major impact.                         Existing Area Child Protection Committee (ACPC) procedures give               LOW
                                                                                                                                   detailed guidance to all staff working with vulnerable children. All staff
                                                                                                                                   are trained in these procedures and are required to comply with them.
                                                                                                                                   Regular supervision is provided for all staff working in this arena.
                                                                                                                                   Audits of activity are undertaken to ensure that proper processes are
                                                                                                                                   complied with.
                                                                              Appendix 2 – Children's Services - Key Risks 2006-2007




Ref Risk description                                       Owner   Potential consequences                                                Counter actions to reduce risks                                               RISK
                                                                                                                                                                                                                      RATING


 7   Failure to plan adequately for pupils with high               This could lead to pupils‟ needs being met inadequately, or           These are set out in the Medway Inclusion Strategy and SEN                    LOW
     levels of special educational needs.                          high levels of expenditure in the independent/nonmaintained           Development Plan 2002-05 and include: delegation of funding to
                                                                   schools‟ budget. Planning is undertaken through the Special           Schools so that they can plan flexibly to meet pupils‟ needs, provision of
                                                                   Educational Needs Development Plan and in conjunction with            a wide range of training for schools, close working with Social Services
                                                                   Social Services and Health.                                           and Health.


 8   Inability to deliver services due to vacancies of             There are continuing difficulties in recruiting and retaining         Through the Teacher Recruitment Team, Medway has: developed a                 LOW
     key staff and the lack of suitably qualified staff.           teaching staff in schools and pupil referral units, particularly in   wide range of measures to encourage Newly Qualified Teachers to
                                                                   the shortage subjects and in more difficult-to- recruit areas         locate in Medway Schools; Support Graduate and Registered Teacher
                                                                   such as behaviour management. There are also difficulties in          Programmes, has two training schools, runs a Returner‟s Course and is
                                                                   recruiting to some central services, including the Behaviour          raising awareness of teaching as a Profession amongst minority ethnic
                                                                   Support Service and the Educational Psychology Service                Communities. The school Well Being Initiative for Staff is in place.


 9   Ineffective School Place Planning                             Good place planning, including reviews of schools, and new            Capacity will be built into the new Children's Services Directorate to        LOW
                                                                   build where necessary, is essential to avoid vacant places            undertake this.
                                                                   above government guidelines, or alternatively children out
                                                                   school.

10   Sustainability of services through changes to the             Changes in the methodology for local government funding               This is being taken into account in the budget                                LOW
     Central Government Funding Formula.                           have led to potential risks to centrally-funded services as
                                                                   opposed to schools and other services which a re in the
                                                                   “schools block” of funding.


11   Failure to spend capital project allocations.                 Medway's school's capital programme is currently of the order The Schools‟ Capital Programme is managed closely and effectively in                  LOW
                                                                   of £20m per annum and Medway has an excellent track record accordance with DfES policies and the need to meet targets for raising
                                                                   spending its capital allocations within the timescales required. attainment in schools.


12   Planned maintenance programmes to ensure the                  Lack of effective planned maintenance will lead to a poor             Effective support to schools from commissioning and technical                 LOW
     continuing development and safety of buildings                physical environment for children and potentially health and          services. Under the LEA Asset Management Plan, there is a rolling
     infrastructure.                                               safety risks.                                                         programme of condition surveys of school buildings which are reported
                                                                                                                                         back to schools and are monitored centrally. Maintenance Programmes
                                                                                                                                         are planned in the light of this.

13   Failure to implement tracking of children out of              Failure to implement system to track children not in school can A multi-agency strategy for children out of school is in place                      LOW
     school.                                                       lead to children being lost to education, with all the
                                                                   consequences that entails.
                                                                            Appendix 2 – Children's Services - Key Risks 2006-2007




Ref Risk description                                  Owner      Potential consequences                                         Counter actions to reduce risks                                           RISK
                                                                                                                                                                                                         RATING


Integration Programme Risks
  1 Impact of Joint Area Review (JAR)                 Rose      JAR work has to take priority and this will impact on staff‟s   Employ additional resources to backfill staff seconded to JAR             HIGH/
                                                      Collinson time                                                                                                                                     MEDIUM

 2   Delivery of the integration programme on time.   Program Workstreams do not get delivered.                                 Employ additional resources/release staff where possible                 MEDIUM/
                                                      me board                                                                                                                                            HIGH

 3   Culture change required for integrated teams not Program Staff do not change their current way of working leading to a     Ensure all forms of communication are used, culture change support        HIGH
     embraced                                         me board fragmented approach to service delivery                          and training is given


 4   Lack of funding                                  Program Workstreams will not be delivered                                 Identify funding requirements and seek funding sources                   MEDIUM
                                                      me board
 5   Redvers centre not completed by 1st April        Moira      Staff remain in situ until completion – could cause uncertainty Increase funding to employ additional builders to complete renovation    LOW
                                                      Bragg      for staff                                                       work in a shorter timescale

 6   Partners do not engage                           Program No joint commissioning/CAF/children‟s trust arrangements          Invite agency representatives to programme board, communicate with        LOW
                                                      me board                                                                  partners at an early stage and ensure early involvement of partners in
                                                                                                                                implementation meetings
 7   Change in Central Government priorities          Program Approach to delivering services for children may change           Keep abreast of government initiatives                                    LOW
                                                      me board
                                                                                      Appendix 3 – Community Services - Key Risks 2006-2007




Ref                     Risk description                       Owner                           Potential consequences                                             Counter actions to reduce risks                          RISK
                                                                                                                                                                                                                          RATING

1     Independent providers of social care do not accept Dave            Probability is high and could have a major effect on budgets.         Procurement team negotiates increases in liaison with service               HIGH
      the price increase factored into the 2006/07 budget Wilkinson                                                                            commissioners. In the medium to long term the older persons plan will
                                                                                                                                               rebalance the Council‟s dependence on the independent sector.
2     The pressure on social care services continues to      Dave        There is no financial provision for any unexpected demand on          Extremely robust gate keeping arrangements are in place.                    HIGH
      grow due to demographic changes and increasing         Wilkinson   service due to, e.g., exceptional winter weather or a pandemic.
      expectations of the public. There is no provision in                                                                                     Regular budget monitoring by service managers and DMT will ensure
      the „06/‟07 budget for this growth.                                                                                                      the early identification of problems

                                                                                                                                               Project Boards in place to develop and implement cost-reducing
                                                                                                                                               service changes
3     Risk of litigation from death or injury of a service   Dave        For all CSSRs this is an inevitability and the duty is to limit the   All staff are trained in procedures on working with vulnerable people       HIGH
      user.                                                  Wilkinson   number of occurrences.                                                and are required to comply with them. Regular supervision is provided
                                                                                                                                               for all staff working in this area. Audits of activity are undertaken to
                                                                                                                                               ensure that proper processes are complied with.

4     Reduced levels of funding from the Learning Skills Adult           Reduced programme offers in both Further Education and ACL            Programme planning / development being carefully matched to funding,        HIGH
      Council                                            Learning        provision; reduced learner Numbers could affect LSC targets and       to maximise income and minimise impact on learners; retain breadth of
                                                         Manager /       future levels of funding                                              curriculum offer
                                                         SMG
5     Reduced budget provision from Education budget                     Discontinuation of arts projects targeted at boys, literacy problems, Investigfate possibility of maintaining some provision through              HIGH
      for targeted Arts education Programme in 2006/7                    failing schools and preparation for Ofsted. A diverse programme of partnership with Advisers Team but resources there are very limited.
                                                                         work which will affect all age groups including Black History Month.


6     Re-structuring of the Adult Learning Service           Adult       Potential disruption to service delivery.                             Good communication links with staff, to keep fully informed of process / MEDIUM
                                                             Learning                                                                          procedures; reliance upon professional attitude; staff support systems
                                                             Manager     High associated costs (redundancy / pension entitlements)             where needed.

                                                                                                                                               High initial costs to Service need to set against longer term savings
7     Closure of Woodlands Centre                            Adult       Potential disruption to service delivery and impact on learners       Every effort being made to absorb provision into other main centres;       MEDIUM
                                                             Learning                                                                          current programme planning needs to reduce due to lower levels of
                                                             Manager /                                                                         funding; natural wastage of some tutors
                                                             SMG
8     Incomplete information in (RAISE), the adult social                May not be able to provide timely data for Statutory returns       Meet with Careworks to investigate usage of RAISE to carry out a gap           HIGH/
      care system, may make it difficult to produce                      required for assessment of CPA and annual reports for adult social analysis of missing data then adjust usage and rectify missing or             MEDIUM
      accurate information.                                              care to DH.                                                        insufficient data. Extract information manually from records if RAISE
                                                                                                                                            cannot produce the required information.

9     Potential funding gap or slippage to the               Geoff       Impact potentially high on the Council‟s reputation in terms of       Older Persons Plan agreed to address these issues. PFI outline             MEDIUM
      development of Woodlands and Shaws Wood.               Ettridge    ability to deliver and being seen to offer modern services.           business case is under development for Woodlands and Shawswood.
                                                                                     Appendix 3 – Community Services - Key Risks 2006-2007




Ref                    Risk description                      Owner                           Potential consequences                                              Counter actions to reduce risks                        RISK
                                                                                                                                                                                                                       RATING

10    Staff shortages and quality issues across the        Dave         Disruption to care services                                            Workforce plan and learning & development strategy is being             MEDIUM
      council and independent sector.                      Wilkinson                                                                           developed in conjunction with the private care sector. Relationships
                                                                                                                                               with the „Universities at Medway‟ are being developed. Effective agency
                                                                                                                                               staff arrangements are used to ensure services remain safe and
                                                                                                                                               compliant with statutory requirements.
11    Decline in service users (learners)                  Adult        Inability to meet LSC participation targets – impacting on future      Careful monitoring of current / has been devised and is undertaking
                                                                                                                                               An absence management planpotential learners‟ needs; being              MEDIUM
                                                           Learning     funding levels; high risk of not passing future ALI inspections;       community outreach work; careful monitoring of learner feedback
                                                           Manager /    reduced status of Service                                              (satisfaction surveys); liaison with other providers/ agencies.
                                                           SMG

12    Impact of regeneration programme on the Central                   Any change affecting the operation of the theatres would impact      Clear information on risks to be presented when the theatres are          MEDIUM
      Theatre and/or Brook Theatre                                      highly on Medway Council's reputation and on its ability to lever-in discussed in the context of regeneration.
                                                                        external funding and to meet audience development requirement
                                                                        within Medway Renaissance Strategy

13    Impact on service delivery of a lack of rolling                   Theatre venues are not purpose built and fitness for purpose       Prepare a log of equipment and venue presentational shortcoming to          MEDIUM
      capital programme for the venues.                                 issues will increasingly impact on ability to programme as needed. inform future capital bids.
                                                                        Theatre equipment not keeping pace with industry standards will
                                                                        impact on the reputation of Medway's venues, affecting income
                                                                        and may also have health & safety implications.

14    Failure to achieve revenue targets for Medway        Carl         Budget pressure on Directorate and have significant impact on the A web site -www.castleconcerts.co.uk has been secured exclusively for MEDIUM
      summer concerts                                      Majitey      Council's annual events programme.                                 the Summer concerts. All advertising and promotional material will
                                                                                                                                           carry the web address. We have arranged for tickets to be sold
                                                                                                                                           through ticket master, as well as the visitor information centre to ensure
                                                                                                                                           that they are accessible to all at all times. Arrangements have also
                                                                                                                                           been made for the Box Office within the castle gardens to be
                                                                                                                                           operational prior to the infrastructure being built, therefore enabling
                                                                                                                                           curious people to become customers very easily. The projection
                                                                                                                                           screens on either side of the stage will be replaced by LED screens
                                                                                                                                           which will enable advertisements to be sold and played on them
                                                                                                                                           generating revenue.
15    Failure to demonstrate rising standards in adult     Adult        Adult education is a key issue for helping Medway‟s citizens       Close partnership with Learning and Skills Council. Review of Adult        LOW
      basic skills                                         Learning     achieve their aspirations. It is also central to improving the     Basic Education Strategy and Provision to be completed by December
                                                           Manager/     economy and regeneration. Success in this area is of key strategic 2005.
                                                           curriculum   importance.
                                                           staff
16    Range of health, safety and welfare issues arising   Carl         Potential serious injury or death to staff, stewards, general public   Risk assessments in place for each event. All contractors to be          LOW
      from organising and holding events.                  Majitey      and contractors.                                                       screened for Health and safety standards requesting evidence of
                                                                                                                                               competence, insurance and method statements. Regular training for all
                                                                                                                                               staff and stewards. Events Manager is producing a full emergency
                                                                                                                                               evacuation plan which is agreed in conjunction with the Police, Fire
                                                                                                                                               Brigade and Ambulance services, Security, Stewards and Production
                                                                                                                                               Crew, Safety Stewards and first aid services.
                                                                                       Appendix 3 – Community Services - Key Risks 2006-2007




Ref                     Risk description                        Owner                          Potential consequences                                              Counter actions to reduce risks                            RISK
                                                                                                                                                                                                                             RATING

17    Abuse by carers in the independent Sector               Dave        Such an event would have a major impact on all concerned.             The Directorate‟s Social Care Procurement Team oversees the                   LOW
                                                              Wilkinson                                                                         independent sector's compliance with health & safety requirements and
                                                                                                                                                promotes good practice. In the medium to long term the older persons
                                                                                                                                                plan will rebalance the Council‟s dependence on the independent
                                                                                                                                                sector.
18    Loss of crematoria „business‟ to new and more           Dave        Probability is increasing and would have a significant effect on      An Asset Plan for the service is being developed to seek ways to              LOW
      modern facilities being developed close to              Wilkinson   budgets                                                               rationalise the portfolio and to invest more into modern facilities and
      Medway.                                                                                                                                   buildings.

19    Loss of Registrars „business‟ as a consequence of       Dave        Probability is increasing and could result in failure to achieve      An Asset Plan for the service is being developed to seek ways to              LOW
      better facilities being offered elsewhere               Wilkinson   income targets.                                                       rationalise the portfolio and to invest more into modern facilities and
                                                                                                                                                buildings.

20    Underachievement of income across all chargeable Dave               This could have a significant impact on budgets.                      Marketing plans are being developed to sustain or increase income.            LOW
      services –bereavement, social care, interpreters Wilkinson                                                                                Plans for joint working with the DWP will result in access to more
      and Registrars.                                                                                                                           comprehensive data on service users‟ financial circumstances.


21    Health and safety risks to staff and service users      Dave        The Council retains ultimate liability for services provided on its   Established programme for H&S training is in place, supported by three        LOW
      inherent in the nature of the work.                     Wilkinson   behalf by the independent sector.                                     H&S staff. Health & Safety Audits are undertaken to check compliance
                                                                                                                                                with policies and procedures. H&S is overseen in the Directorate by
                                                                                                                                                service specific H&S Groups that report to a Directorate H&S Board.
                                                                                                                                                Dedicated staff provided to cover H&S issues. Learning and
                                                                                                                                                Development funding provided by Council and Department of Health.
                                                                                                                                                The Directorate‟s Social Care Procurement Team oversees the
                                                                                                                                                independent sector's compliance with health & safety requirements and
                                                                                                                                                promotes good practice.

22    Loss of a facility (Council or independent sector)      Dave        Service users could be left without care or a residential placement High level of engagement with CSCI, and other regulatory bodies                 LOW
      because of fire / flooding/loss of registration /non-   Wilkinson                                                                       ensures that risks are identified and addressed at an early stage.
      compliance with DDA


23    Failure of Inward Investment                            Kathy     Would have a significant impact on support for Medway‟s Cultural        Substantial external funding is being levered in to support Medway‟s          LOW
                                                              Wadsworth and Leisure Strategy.                                                   Cultural and Leisure Strategies.

24    Health & Safety risks associated with the operation                 Death / injury in swimming pools                                      All lifeguards suitably qualified with regular, ongoing, training. Systems    LOW
      of public swimming pools                                                                                                                  and procedures in place

25    Failing Adult Learning Re-inspection                    Adult       Learning Skills Council would no longer fund all or any parts of the Service has developed a Post Inspection Action Plan / Development              LOW
                                                              Learning    Service not achieving a minimum satisfactory outcome                 Plans to address areas of weakness and monitor progress
                                                              Manager /
                                                              SMG
                                                                                        Appendix 3 – Community Services - Key Risks 2006-2007




Ref                     Risk description                        Owner                            Potential consequences                                           Counter actions to reduce risks                          RISK
                                                                                                                                                                                                                          RATING

26    Under-achievement of Service targets                    Adult        Reduced levels of future funding / current allocations; negative    Careful / regular monitoring of progress towards targets; early             LOW
                                                              Learning     impact on Service credibility; denied opportunity to access         responses / remedial actions to address under-performance; ensure
                                                              Manager /    additional funding streams                                          the Service is set realistic / achievable targets
                                                              curriculum
                                                              staff

27    Failure to change the programming to develop            Theatre      Reduction in income.                                                Create an audience development strategy which prioritises and costs         LOW
      audiences among minority groups, young people           Manager                                                                          out all potential areas for development.
      and the elderly.


28    Death or injury to a member of the public, staff or     Theatre      The impact would be significant                                     Health & safety procedures fully contained in procedural manuals.           LOW
      visiting crew due to the nature of the work of the      Manager                                                                          Regular training updates given. Close liaison with Fire Officer on
      theatre.                                                                                                                                 evacuation procedures. Technical staff review procedures with visiting
                                                                                                                                               crews as necessary. All incidents are fully investigated and risk
                                                                                                                                               assessments revisited on a rotating basis within Procedures Manuals.

29    Failure to deliver projects to time and/or spend the David           May affect future funding, possibly lead to projects being delivered Business and Project plans are in place, specific ownership of project     LOW
      SEEDA/EC or ODPM funding                             Candlin         by others and affect the Council‟s reputation.                       delivery, dedicated steering groups work to resolve issues and
                                                                                                                                                problems and continual dialogue with funders helps to mitigate the risk


30    Potential falling/slipping at the Visitor Information   Simon        Serious injury (broken limb) to public or staff.                    Regular staff checks of public areas and additional cleaning as             LOW
      Centre or any of the heritage attractions               Curtis                                                                           required.
                                                                                                                                               Closure in event of icy conditions inside Rochester Castle Keep.
                                                                                                                                               Regular renewal of warning signs.
                                                                                                                                               Annual review of building risk assessment
                                                                         Appendix 4– Regeneration and Development - Key Risks 2006-2007




Ref   Risk/issue description                              Owner       Potential consequences                                               Counter actions to reduce risks                                           RISK
                                                                                                                                                                                                                    RATING
  1   Reduction in income due to changing profile of      Keith       Likelihood of problems in 2006/7 are low but impact on service       The directorate has a successful track record of managing budgets to      HIGH
      parking in redeveloped Chatham.                     Hanshaw     users and budget pressures are likely to increase in the future      ensure a balanced position over the year.
                                                                      years.
                                                                                                                                           Future changes in income will be profiled within the medium term
                                                                                                                                           financial plan and addressed as part of future budget setting.

  2   Changes to the road network in Chatham              Brian       Possibility of increase in compalints                                Ensure services are resourced and staff appropriately briefed. Public    MEDIUM
                                                          Weddell                                                                          communications strategy in place.


  3   Increase in contractor/3rd party charges above      All         Reduction in service delivery to manage potential budget             Negotiate with contractors                                               MEDIUM
      inflation                                                       pressures
                                                                                                                                           Reduce level of spend on budgets to fund pressures.


  4   Severe weather from rainfall, wind and bad winters Phil Moore   Budget pressures e.g. additional gritting costs                      Reduce the level of spend on the highway maintenance budget to fund MEDIUM
                                                                                                                                           any overspend. As an alternative, set-off against other budgets. In
                                                                                                                                           addition, the Belbin scheme provides central government funding for
                                                                                                                                           major natural disasters to mitigate against their costs


  5   Inability to recruit regeneration staff due to Thames Brian     Would affect delivery of regeneration projects                       Support to staff development and training. Assessment of recruitment MEDIUM
      Gateway/Olympics                                      Weddell



  6   Surge tide > 5m Return period 1:200 so probability Ian Wilson   Flooding of areas of Strood including Civic Centre would occur.     Flood gates and boards are regularly checked but the only mitigation of    LOW
      in any I year is low                                            Significant costs would be incurred in cleaning once levels reduce, a flood of this level would be capital investment in permanent or
                                                                      including all drainage systems in affected areas. A flood of this   demountable defences.
                                                                      level would constitute a major emergency for the Council.



  7   Ability to support delivery of key regeneration     All         Would affect delivery of regeneration projects                       Project plan key service delivery milestones and plan staffing            LOW
      projects.                                                                                                                            requirements accordingly.


  8   Poor delivery of LTP strategy                       Steve       Reduced funding allocation from government and unsuccessful          Regular reports to DMT and project boards in place to monitor progess.    LOW
                                                          Hewlett     bids for future funding allocations and could affect the Council's
                                                                      CPA.


  9   Failure to deliver projects to time and/or spend the Brian      May affect future funding, lead to projects being delivered by       Business and Project plans are in place, dedicated project boards work    LOW
      ODPM funding                                         Weddell    others and affect the Council‟s reputation.                          to resolve issues and problems and continual dialogue with ODPM
                                                                                                                                           helps to mitigate the risk
                                                                         Appendix 4– Regeneration and Development - Key Risks 2006-2007




Ref   Risk/issue description                             Owner        Potential consequences                                              Counter actions to reduce risks                                        RISK
                                                                                                                                                                                                                RATING
 10   Reduction in ODPM Funding for Core                 Brian        Failure to progress regeneration projects and attract private       Continue monitoring of activity and assessment of costs and outputs    LOW
      Regeneration activities                            Weddell      funding.                                                            and outcomes.
                                                                                                                                          Continue dialogue with ODPM

 11   Lack of private sector interest                    Brian        Would affect delivery of regeneration projects and ability to attract Pro-active approach to regeneration. Active PR campaign              LOW
                                                         Weddell      funding.



 12   Deterioration of the highways network, including   Phil Moore   Likelihood of problems in 2006/7 are low but potentially increasing Systems to ensure early identification of problems exist along with    LOW
      the Medway Tunnel, and assets due to level of                   for future years if no action is taken.                             regular monitoring and reporting of the state of the assets
      committed funding.
                                                                      Increased levels of insurance claims, budget pressues and on the
                                                                      reputation of the Council.



 13   Failing to achieve planning targets                Dave Harris Will affect the amount of Planning Delivery Grant awarded to the     Performance is regularly monitored locally, at DMT, CMT and            LOW
                                                                     Council and service delivery                                         Members.
                                                              Appendix 5 - Chief Executive and Finance and Corporate Services - Key Risks 2006-2007




Ref Risk/issue description                              Owner          Potential consequences                                           Counter actions to reduce risks                                           RISK
                                                                                                                                                                                                                 RATING

                                                      Chief Executive's Services (A number of this directorate risks are covered in the Cross Council Risks)
 1   Lack of resources and funding to respond to        Stephanie      Risk to council‟s reputation                                     Maximising external income                                               MEDIUM
     demand for communications support                  Goad                                                                                                                                                        /
                                                                                                                                                                                                                  LOW

 2   Lack of funding success both internally and        Stephanie      Reduced funding to support service delivery across Medway.       Ongoing staff learning and development to ensure a comprehensive          LOW
     externally for the VCS sector due to the           Goad & Neil                                                                     understanding of funder‟s requirements for successful applications.
     increasingly competitive market for funding.       Davies
                                                                                                                                        Ongoing meetings/discussions with funder‟s.

                                                                                                                                        Ongoing monitoring and feedback of applications to continually improve
                                                                                                                                        the quality of applications.

                                                                                                                                        Ongoing meetings with other L/A funding officers in the SE region to
                                                                                                                                        identify best practice and performance management.

 3   Failure to deliver campaigns which will help the    Stephanie     Risk to the council‟s PSA targets and CPA score                  It‟s essential that the communications team co-ordinates all campaign     LOW
     council achieve targets in Regeneration, Recycling, Goad                                                                           planning
     Road Safety, Tourism etc.


                                                    Finance and Corporate Services (A number of this directorate risks are covered in the Cross Council Risks)
 1   Recruitment Freeze                                 All            Loss of knowledge base                                           Achievable work programmes to be negotiated                               LOW

                                                                                                                                        Linked with “Lack of succession planning” & “Loss of key staff
                                                                                                                                        members” under number 13 of the Cross Council risks
 2   Large scale fraud                                  Mick Hayward Poor stewardship of public money, risk to service provision and    Adequate insurance provision, Established control procedures in place.    LOW
                                                        / All        reserves                                                           Compliance with Controls framework, Daily check on bank account and
                                                                                                                                        bank . Operation of procedures assessed by internal and external
                                                                       Failure to set sustainable budget – Continued overspending       audit. Established fraud reporting procedures at officer and member
                                                                       resulting in inevitable cuts in service delivery.                level

 3   Loss of investment income through economic         Mick Hayward Resulting in revenue losses – further drain on reserves and or cuts Reduce investment by reducing external borrowing. Make less use of       LOW
     downturn                                                        in service delivery.                                                Fund Managers to avoid the risk of Capital losses on Government
                                                                                                                                         securities
                                                                                  Appendix 6 - Cross Council - Key Risks 2006-2007




Ref   Risk/issue description                             Owner    Potential consequences                                                 Counter actions to reduce risks                                              RISK
                                                                                                                                                                                                                     RATING
  1   Violence towards staff and customers               All      Injury, stress, insurance and compensation claims                      Security systems and procedures in place                                     HIGH


  2   Failure to carry out timely racial impact          All      Legal challenge, loss of reputation, CPA impact                        Provide ongoing learning development and support. Directorates to           MEDIUM
      assessments                                                                                                                        monitor compliance


  3   Partners do not engage in shared responsibility on All      Strategic aspirations of the authority rely on effective partnership   Partners are aware of their responsibilities through effective              MEDIUM
      key projects                                                working (e.g. Medway Renaissance) clearly weakness of a                collaborative working and SLAs. A further control is the existence of
                                                                  partnership has the ability to delay or curtail these programmes.      sound project management systems overall combined with cross
                                                                                                                                         agency working to assist in delivering joint objectives.

  4   Service demand exceeds budget provided             All      Reduction in service delivery to manage potential budget               Regular budget monitoring by service managers and DMT will ensure           MEDIUM
                                                                  pressures                                                              the early identification of problems. Project boards in place to develop
                                                                                                                                         and implement cost reducing services changes


  5   The creation of the internal market                All      The creation of the internal market for support services may result Ensure internal customers receive the service they wish to buy.                MEDIUM
                                                                  in a lack of joined up thinking resulting in additional costs due to Ensure that services provided are of the (or better than) the standard
                                                                  the fixed overhead nature of some of the corporate systems.          and price set and agreed within the SLAs

  6   Failure of IT Systems                              Andrew   Resulting in delays or loss of services throughout the Authority,      Large investment in ICT systems in recent years. Opportunities for          MEDIUM
                                                         Wright   examples of the impact could include, delays in billing leading to     future investment identified. All single points of failure identified and
                                                                  cash flow problems, backlog of benefits could increase                 monitoried. Dedicated resources and effective programme for
                                                                  homelessness levels resulting in a negative impact upon the local      response in place. Regular attendance at IT user groups; encourage
                                                                  economy. Failure to pay suppliers could lead to service                greater support from partners; keep up to date with releases of new
                                                                  suspension.                                                            software.


  7   Loss of power supply                               Andrew   Lead to the delays and breaks in service delivery                      Stand by Generator / UPS for loss of power                                  MEDIUM
                                                         Wright

  8   Fire at any of the Council's buildings             All      Death / injury to public and staff, damage to property and             Automatic Fire detection systems in place (which are regularly tested       MEDIUM
                                                                  equipment                                                              and maintained), systems and procedures in place, staff receive
                                                                                                                                         regular, ongoing, training

  9   Failure to deliver PSA2 targets                    All      Loss of potential revenue                                              Action plans to be drawn up, with other agencies, for all targets. To be MEDIUM
                                                                                                                                         monitored monthly                                                           /
                                                                                                                                                                                                                   LOW
                                                                                        Appendix 6 - Cross Council - Key Risks 2006-2007




Ref    Risk/issue description                                  Owner    Potential consequences                                                 Counter actions to reduce risks                                             RISK
                                                                                                                                                                                                                          RATING
  10   Health & Safety not being given due regard              All      Possible threats to staff and damage to property. Could result in A Corporate H&S Unit has been established to ensure H&S policies are             LOW
       including lone working or subject to anti-social                 lost time (due to increased sickness or injury) impacting negatively implemented across the Council. Ensure risk assessments are up to
       behaviour                                                        on performance, loss of revenue (compensation claims) as well as date and implemented.
                                                                        the legal consequences. May result in Notices being served on
                                                                        the Council.


  11   Failure to implement/keep up to date with               All      This could lead to the failure to receive resources, inappropriate     Close monitoring, management awareness, networking, attending               LOW
       legislation                                                      use/distribution of resources or liable compensation claims.           seminars. Engage consultants for up to date advice. Ensure systems
                                                                                                                                               are compliant and lead in should be suitably long enough for proper
                                                                                                                                               arrangements to be made.

  12   Failure to achieve local area agreement by April        All      CPA impact                                                             All directors to support review of LSP and community plan. Recruit to       LOW
       2007                                                                                                                                    new LSP performance mgt post


  13   Loss of key staff and potential difficulty in replacing All      Resulting in the inability to deliver services which, depending on     Use agency staff where needed. Continually review and implement             LOW
       them due to skills shortage                                      the nature of the service affected, may have a knock on impact on      new opportunities of enhanced recruitment activity. Explore and
                                                                        other areas i.e. failure to pay or process housing benefits claims     implement new ways of working and generating additional capacity in
                                                                        could result in increased homelessness and thereby impact on the       Medway. Refine and continue to implement existing workforce plans
                                                                        local economy.                                                         across the council, augmented by the learning and development
                                                                                                                                               strategy. Implement a policy of „growing our own‟
                                                                        The Council's reputation may suffer if we could not deliver services
                                                                        to an acceptable standards.


  14   Failure to maintain harmonious employee relations All            Increase in Employment Tribunals which are costly to the               Regular review of employment policies in line with legislation. Focus on    LOW
       and address issues of discrimination                             organisation in terms of time, compensation, reputation and            resolving issues at informal stage. Sound HR advice. Manager
                                                                        employee morale.                                                       Training. Commitment to equalities and promotion of anti bullying and
                                                                                                                                               harassment culture. Raise awareness of disability and cultural issues
                                                                                                                                               through training. Stress at work policy. Commitment to health, safety
                                                                                                                                               and well being. Occupational Health Advisors to work with Managers
                                                                                                                                               and HR in addressing absence and reasonable adjustments.

  15   Staff Sickness                                          All      Leads to the depletion in quality or timeliness of service delivery    Procedure for standby call out staff . Monitor and deal with. Ensure        LOW
                                                                                                                                               staff flexibility and procedures are in place


  16   Lack of prioritised service continuity plan in the      Andrew   Without an agreed priority for services to be recovered following   With assistance from Marsh Risk Management Consultants a plan is               LOW
       event of a major disaster                               Wright   disaster, resources could be misplaced resulting in major strategic being developed (focusing on property, ICT and service delivery) to
                                                                        impacts on the Authority and the community.                         address business interruption.
                                                                               Appendix 6 - Cross Council - Key Risks 2006-2007




Ref    Risk/issue description                         Owner     Potential consequences                                              Counter actions to reduce risks                                          RISK
                                                                                                                                                                                                            RATING
  17   Failure to deliver capital programme           Mick    All capital spends are there for a strategic purpose, covering        Established and effective monitoring procedures have doubled delivery    LOW
                                                      Hayward economic development, regeneration, improved or continuous            of capital schemes since 2001. Regular reporting to Members and
                                                              service delivery. Failure to achieve that programme could result in   management teams is in place. Pro Active monitoring by Finance
                                                              the loss of that strategic purpose.                                   Staff. The development of the role of the Capital & Property Board to
                                                              Reputation risk to Council – Risk that ODPM etc. will lose faith in   oversee programme development. Bringing new schemes in to
                                                              Medway as a delivery vehicle for regeneration etc. – result will be   replace abortive works.
                                                              loss of grant /borrowing approvals


  18   The need to respond to a large scale civil     Angela    Normal service delivery would be affected                           A comprehensive Emergency Plan and periodical practice events            LOW
       emergency                                      Wilkins                                                                       attempt to minimise disruption


  19   Demands for new statutory/mandatory services   All       Possible budget overspends                                          Regular budget monitoring by service managers and Directorate            LOW
                                                                                                                                    Management Teams will ensure the early identification of problems and
                                                                                                                                    look for compensating savings.

				
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