Docstoc

Risk Management Plan School Laws Area

Document Sample
Risk Management Plan School Laws Area Powered By Docstoc
					          BMBC Strategic Risk Register

             Risk                                                                                                                                                       Current   Target
Risk No                                       Risk Title                                                 Risk Consequences                               Risk Manager                                                                 Risk Mitigation Action
            Group                                                                                                                                                        Score    Score
001/01d   Strategic   Failure of Political Control                               Lack of decision making leading to organisational paralysis. Loss or Phil Coppard                         Clear strategic framework and implementation plans to deliver agreed priorities via SCS, LAA and
          Risk                                                                   failure of key policy initiatives. Failure or reduction in quality of                                     Corporate Plan to minimise potential instability (Shaun Jones);
                      Instability in Political Control (ie ability to take       service delivery. Failure to agree priority areas and allocation of                                       Member working policy to plan and oversee progress (Andrew Frosdick);
                      necessary political decisions) and quality of decision-    resources. Failure to set budget. Government intervention.                                                Review and update of Constitution 09/10 (Andrew Frosdick);
                      making.                                                    Failure of the new Neighbourhoods Framework                                               1        2      Review compliance with Member Development Accreditation (Andrew Frosdick)
                                                                                                                                                                                           Develop protocols for operating without overall political control (Andrew Frosdick)
                                                                                                                                                                                           Briefings for Opposition Group on key issues
                                                                                                                                                                                           Greater clarityof Member / officer roles(PJC)

002/01a   Strategic   Poor standards of Member and Officer Conduct.              Lack of robustness/quality of decision making. Legality of decision Andrew                                Promote greater awareness of Codes of Conduct for 09/10 for Members and Officers(Andrew Frosdick);
          Risk                                                                   making due to bias or challenges to Council decisions nationally    Frosdick                              Review compliance with Member Development Accreditation (Alan Maher);
                      Breach of Member or Officer Code of Conduct or             and locally. Damage to public reputation/image of the Authority.                                          Take appropriate action in the case of breach.(Andrew Frosdick)
                      related inappropriate behaviour. Breakdown of              Adverse CAA judgement. Public Interest report by External Auditor.                        1        3      Standards Committee to undertake Risk assessment of high risk areas (AF)
                      member officer relations.                                  Difficulty in implementing the new Neighbourhoods Framework

003/01a   Strategic   Failure to conform with Legislation, Regulation or         Displacement of existing local policy priorities. Unanticipated         Andrew                            Formalise Horizon Scanning activites (Shaun Jones);
          Risk        Government Policy                                          budgetary pressure not included in SFP. Government initiatives in       Frosdick                          Plan implementation of compliance with new Laws and Regs and Legislation (Shaun Jones)
                                                                                 conflict with BMBC interests. Failure to deliver specific services as
                      Failure to plan adequately for new legislation and         required by statute. Failure to comply with prescribed statutory
                      Government initiatives.Issues such as failing to meet      requirements as to manner in which services are delivered.                                1        3
                      Equalities and Diversity Guidelines. Health and Safety     Censure by Central Government. Financial Penalties. Claims from
                      Act. Local Government Act.Environmental Acts.              Third Parties. Reputational Damage.
                      Planning Statute.
004/01    Strategic   Failure to implement New Technology solutions within       Impact on technical architecture and infrastructure within BMBC and Ken Rutt                              Keeping abreast of developments in new technology09/10 (Ken Rutt);
          Risk        BMBC                                                       partnering organisations. Failure of systems leading to breakdown                                         Identify consortium of other Local Authorities that could seek protection as a group (Ken Rutt);
                                                                                 in service delivery and communications and transforming services.                                         Future Proof Partnership Agreement (Ken Rutt); Develop Phase 2 of Partnership with Bull TCL (Ken Rutt);
                      Lack of horizon scanning of technological advances         Impact on partners suppliers contractors. New initiatives/projects                                        Improve project management procedures and skills on new initiatives.(Ken Rutt);
                      that could aid/hinder staff in service delivery. IT        change management. Failure to deliver efficiency savings and meet                                         Scope change requirements and identify wider impact at earlier stage.(Ken Rutt);
                      Systems do no support council activity. Change             IEG targets. Additional costs and loss of personal details linked to                      2        5      Greater focus on service delivery requirements (Ken Rutt);
                      Management regarding Bull/ICT Partnership Stage II.        IT systems. Non adherence to CoCo.                                                                        Develop IT Resilience Plan (BMBC) (Ken Rutt);
                                                                                                                                                                                           Develop IT Resilience Plan (BULL) (Ken Rutt);
                                                                                                                                                                                           Develop IT Resilience Plan (TCL) (Ken Rutt)
                                                                                                                                                                                           Establish Innovation and Challenge Group.

005/01a   Strategic   Failure to manage the Health and Safety of Public and Death or injury resulting in compensation claims. Major delays to            Julia Bell                        SMT formal review of learning and action plans - post incidents. (Shaun Jones);
          Risk        Employees                                             capital projects or disruption of service delivery. Prosecution, fines                                         H and S to be included as quarterly item on SMT work programme (Doug Cartwright);
                                                                            and penalties, litigation or claims for damages arising from                                                   Fatal Accident Protocol being rolled out (exemplar for LGA) (Julia Bell);
                      Failing to keep workforce and public safe from harm.  negligence. Insurance claims costs. Insurance Premium costs.                                                   CEX briefings with Head of H-S (Julia Bell)
                                                                            Damage to property. Financial Cost. Bad Publicity. Loss of                                                     Action Plan for improving fleet risk (Darren Richardson)
                                                                            Confidence in the Council.Exposure to Corporate Manslaughter                                   1        3      Action Plan for improving grey fleet risk (Julia Bell)
                                                                            prosecution.                                                                                                   Ensure responsibilities as Social Landlord are discharged (Steve Jagger)
                                                                                                                                                                                           Ensure Statutory Food Standard requirements are met (Ken Eastwood)
                                                                                                                                                                                           Assess impact of Pitt Review and proposed Flood and Water Management Bill (Also relates to risks 6 and
                                                                                                                                                                                           12)
006/01a   Strategic   Long term environmental and economic effects of            Censure by central Government. Detrimental quality of life for          Ann Gosse                         The starting point is to ensure the LDF is the spatial expression of the Sustainable Community Strategy.
          Risk        climate change.                                            stakeholders. Less attractive community. Long term issues for                                             This will be achieved through the LDF Core Strategy and subsequent Development Plan Documents. The
                                                                                 future generations.                                                                                       Council will also carry out its leading role through the Sustainability Partnership of the LSP. This will ensure
                      Local authorities have a key role in leading their         Failure to manage Carbon Reduction Commitments leading to                                                 delivery of NI 186 (Reduction of CO2 emissions across the Borough) and NI 188 Adapting to Climate
                      communities to tackle climate change. The Local            additional costs in region of £500K, possible fines and jail                                              Change. Coordinated Action Plans across the Council will be created to deliver this. (S Moralee) Also
                      Government White Paper published in October 2006           sentances                                                                                                 there is a performance clinic meeting in September to monitor progress against NI 186 and NI 188. (S
                      explores the role that all local authorities can play in                                                                                                             Moralee)
                      tackling climate change, reinforced by the Local                                                                                                                     Exploiting synergies between tackling climate change and disadvantage, for example using energy
                      Government - Public Invovement in Health Act 2007.                                                                                                                   efficiency improvements in homes to reduce fuel poverty and mitigate the effects of rising fuel prices for
                      The Council and its partners also has a carbon                                                                                                                       those on low incomes.(Steve Jagger);
                      emissions target in the LAA.                                                                                                                         1        2      Working with energy service supply companies to develop innovative mechanisms to improve energy
                                                                                                                                                                                           efficiency in housing, for example through council tax rebate schemes.(Steve Jagger);
                                                                                                                                                                                           Extend the criteria for private sector energy interventions (S Jagger)
                                                                                                                                                                                           Bid for ERDF resources for private housing stock (S Jagger)
                                                                                                                                                                                           Implementation of Sustainable Communities Strategy. (Phil Coppard);
                                                                                                                                                                                           Ensure a coordinated approach with partners to reduce carbon emissions (Ann Gosse);
                                                                                                                                                                                           Supporting environmental partnership and providing a leadership role for reducing CO2 emissions
                                                                                                                                                                                           (Stephen Moralee);
                                                                                                                                                                                           Initiative to promote Dearne as an exemplar low carbon area (Steve Jagger)




                                                                                                                                                                                                                                                                                                              1
          BMBC Strategic Risk Register

             Risk                                                                                                                                                          Current   Target
Risk No                                      Risk Title                                                  Risk Consequences                                Risk Manager                                                                 Risk Mitigation Action
            Group                                                                                                                                                           Score    Score
007/01b   Strategic   Failure to have Financial Control in respect of external   Benefits process must work within strict guidelines. Failure to          Steve Pick                          Annual Review of AGS arrangements / Compliance / Assurance checks 09/10 (Steve Pick);
          Risk        funding issues                                             maximise any external Grants or funding oppotunities, particularly                                           Ongoing work undertaken by Grants Review Team - acting as a controlling mind (09/10) (Frances Foster);
                                                                                 for sections or depts that rely on external funding.                                                         Annual SFP process requests grant fallout details service by service (09/10) (Frances Foster);
                      External funding issues such as Benefits, Grants etc.                                                                                                   1        2      Monthly monitoring of FSM-s (Frances Foster)
                      Objective One, YF. ERDF, SRB6



008/01a   Mutual      Failure to Achieve a Balanced Budget                       Unplanned, significant overspend, budget overspend, adverse              Steve Pick                          Review level of Balances / Reserves within the council's S & F P process during 09/10 (Steve Pick);
          Risk                                                                   effect on Council reserves falling below minimum working balance                                             Ongoing update and review of assumptions, based on MTFS - Identification of ongoing inflationary items
                      Failure to produce a deliverable and sustainable           levels. Failure to maintain net spending within overall budget                                               09/10 (Frances Foster);
                      balanced budget which allows the successful delivery       aopprovals. Impact on service delivery/Council policies, adverse                                             Seek agreement from Members on Annual MTFS 09/10 (Frances Foster);
                      of priorities.                                             External Audit report (Annual Audit and Inspection Letter),                                                  Delivery of timely efficiency savings 09/10(Phil Coppard);
                                                                                 Government intervention, impact on and reputation, - negative                                                Seek agreement from Members regarding Council Tax increases 09/10 (Steve Pick)
                                                                                 publicity.                                                                                                   Develop a range of potential options to enable the Authority to plan for future public spending scenarios
                                                                                 Increase in potential liabilities arising from exclusion in insurance                                        (Steve Pick)
                                                                                 cover relating to medical procedures carried out by employees                                1        2      Establish extent of, and risk associated with, medical procedures carried out by employees and consider
                                                                                 Production of Balanced budget is a legal requirement                                                         how to provide imdemnity




009/01b   Mutual      Not maintaining statutory, regulatory or managerial        Impact upon BCPs. Employee retention problems, loss of skill, de- Steve Pick/                                Active monitoring of impacts against existing BCPs (Doug Cartwright);
          Risk        responsibilities.                                          skilling jobs, training needs to cover skills gaps, Effect upon        Phil Coppard                          Monitoring of key Risk Indicators to inform Management of Trigger events (Rob Winter);
                                                                                 governance arrangements, Effect upon RM – ability to maintain                                                Ensure Services Resilience Plans take into account outcomes of ZBAR (Doug Cartwright);
                      Failure to ensure effective processes and service          controls, or addressing over control (risk aversion)- Service Delivery                                       SMT considering process and delivery options (Phil Coppard);
                      delivery. Failure to spend on the right priorities.        options - outsourcing. Non achivement of Balanced Budget.                                    1        2      Continuing to ensure spending is allocated to appropriate areas (Steve Pick);
                      General detrimental damage on Authority.                   Corporate Capacity Review. Finance Directorate will have to re-                                              District Audit review of ZBAR, draft report recieved, final to go to Audit Committeee November 09. Action
                                                                                 consider budgets for affected departments.                                                                   plan monitored through Audit Committee (S Pick)



011/01c   Strategic   Failure to engage and communicate effectively with         Loss of confidence in Council's ability to deliver services or respond   Kate Roe /                          Develop a comprehensive framework to respond to the Duty to Involve, covering inform, consult and
          Risk        stakeholders                                               to problems. Lack of community support which prevents/hinders            Shaun Jones /                       engage (Kate Roe / Shaun Jones / Joe Micheli)
                                                                                 improvement or effective implementation of change.                       Bob Williams /                      Develop a more systematic approach via the work of CCCIG to receive, evaluate and respond to customer
                      Non ability to explain Councils position/public relations. Failure of the new Neighbourhoods Framework                              Andrew                              intelligence and consultation activities (Kate Roe / Shaun Jones)
                      Failure to communicate effectively with                                                                                             Frosdick /                          Programme of mystery shopping and focus groups to help understand customer experience and reputation
                      community/stakeholders. Lack of proper engagement                                                                                   Diane Tweedie                       (Kate Roe / Shaun Jones)
                                                                                                                                                                              1        2
                      with stakeholders, at the right level, and at the right                                                                                                                 Review of Community Engagement Strategy (Joe Micheli)
                      time.                                                                                                                                                                   Third Sector Review Project (Joe Micheli)
                                                                                                                                                                                              Review of complaints procedures (Derrick Taylor)
                                                                                                                                                                                              Communications Strategy (Bob Williams)
                                                                                                                                                                                              Specific Action for One Barnsley

012/01    Strategic   Failure to plan for and manage the occurrence of an        Loss of life. Loss of property. Poor planning will result in a poor Doug                                     Continual review and update of BIA registers (Doug Cartwright);
          Risk        Emergency Event                                            response to the event, leading to public dissatisfaction, wasted    Cartwright                               Testing of Recovery Plans (Doug Cartwright);
                                                                                 resources, duplicated efforts. Impact on service BCPs. Imapct on                                             Linking BIA Registers to Service Risk Registers (Doug Cartwright);
                      BMBC has specific,statutory responsibility as a            community in general. Costs to Council regarding Recovery Phase.                                             Continual review of BCPs to ensure they mirror current corporate structures (Doug Cartwright)
                                                                                                                                                                              2        5
                      Category 1 responder under the Civil Contingencies                                                                                                                      Assess impact of Pitt Review and proposed Flood and Water Management Bill (Also relates to risks 6 and
                      Act 2004. This includes both Rising Tide events-                                                                                                                        12)
                      pandemics etc and Big Bang events-bombs, explosions
                      etc.
015/01a   Mutual      ICT Systems do not support council activity             Failure of ICT systems leading to breakdown in service delivery and Ken Rutt                                    Improve project management skills on new initiatives (Ken Rutt);
          Risk                                                                communications, particularly new initiatives (eg                                                                Scope change requirements/wider impact at earlier stage (Ken Rutt);
                      Current systems not sufficiently robust, or do not have SAP/CIS/Hyperwave). IEG targets not met. Loss of suppliers,                                                     Greater focus on service delivery requirements (Ken Rutt);
                      capacity or functionality required.                     contractors, impact on partners, loss of income, failure to deliver                             1        1      Develop IT Disaster Recovery Plan in liasion with Partners (Ken Rutt);
                                                                              efficiency savings (eg workstyle), additional costs.                                                            Project planning procedures (Ken Rutt);
                                                                                                                                                                                              Develop Phase 2 of Partnership (Ken Rutt)


017/01    Mutual      Breakdown in Corporate Governance Arrangements             Breach of internal control arrangements leading to financial loss,      Andrew                               Additional awareness and training from staff and members (Andrew Frosdick);
          Risk                                                                   loss of income, property and other assets, fraudulent claims,           Frosdick                             Audit plan for corporate governance delivered (Rob Winter);
                      Financial impropriety or maladministration. Breaches       irregularities etc. Breach of Officer/Member Code of Conduct                                                 Further develop links with outside agencies (Andrew Frosdick);
                                                                                                                                                                              1        2
                      within Statutory roles - Monitoring Officer, S151 Officer, leading to challenge to Council decisions (locally/nationally). Loss of                                      Review AGS question set - completed as part of 2008/09 AGS. Review annually (Rob Winter)
                      Head of Paid Service.                                      public confidence in service/damage to credibility/adverse publicity.
                                                                                 Adverse CPA impact.
019/01    Mutual      Loss or inneficiency arising from the failure to manage Loss of use of asset (e.g.consequence of fire damage), Loss of             Steve Pick                           Continue to review and develop the Asset Management Plan 09/10 (Steve Pick);
          Risk        assets and property                                        income from leased/rented assets, H - S issues, Implications of                                              Testing and evaluation of Resilience Plans and BCPs 09/10 (Doug Cartwright);
                                                                                 DDA 1995, Maintenance implications, Valuation issues (Balance                                                Review budget provision for annual maintenance 09/10 (Steve Pick)
                                                                                                                                                                              1        2
                      Assets and Property of the Authority not managed or        Sheet), Asset Management Plan (VFM)                                                                          Review budget provision for annual maintenance 10/11.
                      maintained to appropriate standards.                                                                                                                                    Community Buildings Review (Derrick Taylor).



                                                                                                                                                                                                                                                                                                          2
          BMBC Strategic Risk Register

             Risk                                                                                                                                                     Current   Target
Risk No                                      Risk Title                                                Risk Consequences                               Risk Manager                                                                 Risk Mitigation Action
            Group                                                                                                                                                      Score    Score
020/01    Mutual      Failure to Retain / Recruit / Maintain / Build Morale and Unable to deliver services effectively. Additional costs of temporary Julia Bell                         Emphasise positive side of Public Sector employment (Julia Bell);
          Risk        productivity of Workforce                                 outsourcing or recruitment of interim staff. Retention of staff                                          Employee Relations Forum with Unions (Julia Bell);
                                                                                becomes problematic. Falling quality and volume of the service                                           Develop Contribution and Competency Framework (Julia Bell);
                      Failure of Authority to function effectively and          being delivered to public, rising absenteeism. Loss of intellectual                                      Develop Well Being Programme (Doug Cartwright)
                      efficiently.                                              property/knowledge. Skills gaps. Potential for mistakes to be made.                                      Employee Survey communications and action plan
                                                                                                                                                                         1        2
                                                                                                                                                                                         Investors in People
                                                                                                                                                                                         Build morale of workforce
                                                                                                                                                                                         Specific action around developing internal communications to Improve internal communications (Bob
                                                                                                                                                                                         Williams)

023/01b   Mutual      Impact of Markets Project on BMBC                        Lack of overall control regarding Remaking agenda leading to        Ann Gosse                             Regular reports to Cabinet 09/10 (Chris Wyatt);
          Risk                                                                 disillusionment amongst stakeholders. Financial burden on council                                         Liaison with Funders 09/10 (Ann Gosse);
                      Ineffective or delayed redevelopment of the existing     increasing in 2009, with commencement of BSFprogramme in                                                  Fortnightly Partner Meetings 09/10 (Carol Cooper-Smith); Employment of joint funded Retail Project
                      Market. (The key Remaking Barnsley project)              2009. Around £180M investment in project. Effects on Town Centre                                          Manager (CW); Reinvigorate and update project Risk Register (CW) Regular review of Project Risk
                                                                               generally. Impact on MTFS and other remaking Barnsley projects.                                           Register 09/10 (CW)
                                                                               Collateral damage, conflict and problems unrelated to the program                         1        1      Lobby Government to ensure effects of economic downturn do not impact upon project (Ann Gosse)
                                                                               could manifest. The Compulsory Purchases have been done; a new
                                                                               risk consequence is that the Authority will in effect have more/new
                                                                               assets, and therefore have increased costs in terms of maintaining
                                                                               these properties.


024/01a   Mutual      Impact of the BSF programme on BMBC.                     Not achieving the desired outcomes and aspirations of the           Edna Sutton                           Ensure risk register is fit for purpose and review 08/09 (Edna Sutton);
          Risk                                                                 Remaking Learning programmes, failure to build the right buildings,                                       Regular review of project, risks and effectiveness of controls. (Edna Sutton)
                                                                               failure to achieve the required approvals, the programme becoming                                         Completion of financial closure of phase 2 and phase 3 (Edna Sutton).
                                                                               uncontrolled in terms of costs or timing, and collateral problems                                         Lobby Government to ensure effects of economic downturn do not impact upon project (Edna Sutton)
                                                                               unrelated to the aims of the programme itself. Overall these risks                        1        2
                                                                               concern the effects the overall scheme may have on public
                                                                               perception and the delivery of educational services (see existing
                                                                               Project Register). Impact upon financial position of the Council.


026/01    Strategic   Failure of Digital Region Project                        Wasted investment from external funders and partnering SY              Phil Coppard                       Market Testing re demand (Ken Rutt);
          Risk                                                                 Authorities. Non implementation of new technology to update                                               Conservative Business Modelling (Ken Rutt);
                                                                               existing unreliable infrastructure. BT or another competitor could                                        Surveying of existing infrastructure (Ken Rutt);
                                                                               sieze missed opportunity. Could be lack of demand from Service                                            Consider exit strategy within partnership agreements (Ken Rutt)
                                                                               Providers and Residential and Business Users (revenue). Use of                                            Continued and early identification of financial position (Ken Rutt)
                                                                               new and possibly untested technology. Challenge from either Govt                          2        5      Establish Client Steering Group
                                                                               Regulator or issues via procurement. Possibility of Government
                                                                               Challenge or censure.BMBC as lead authority makes reputational
                                                                               risks greater for BMBC than partnering authorities.


027/01    Mutual      Delivery of Waste Management and the Waste               Without the benefit of a long term contract and the cost efficiencies Ann Gosse                           Progress evaluation and procurement through Competitive Dialogue of a 25 year disposal contract (Ann
          Risk        Management PFI project-                                  that generates, extensive costs for treatment and disposal would be                                       Gosse);
                                                                               incurred without a centralised transfer station, Household and                                            Progress and finalise interim (7 year) contractual arrangements for HWRC, Landfill, Treatment, Transfer
                                                                               Commercial Waste uncollected and left stored at premises and                                              station and composting (Ann Gosse);
                                                                               accumulating. Considerable inconvenience to the public and if                             1        4      Scope form of contractual arrangements for diversion of kitchen waste to meet the overall 50% recycling
                                                                               sustained a resultant potential health problem.                                                           commitment within OBC (Ann Gosse)
                                                                                                                                                                                         Ensure Partners do not withdraw from project at contract break points (14/12/09)


028/01b   Mutual      Failure of partnership working to deliver necessary      Adverse CAA Area Assessment 2009. No focus or direction within         Andrew                             Ensure periodic reports are sent to Cabinet (Andrew Frosdick);
          Risk        outcomes.                                                Partnership- No controlling mind- no assurance as to Governance        Frosdick                           Undertake periodic review of One Barnsley Framework (Andrew Frosdick);
                                                                               arrangements. Failure of partnerships will have financial impact in                                       Inclusion of Partnerships Risks in appropriate risk register (Rob Winter);
                                                                               terms of wasted time/costs and potential fire fighting to ensure                                          Develop role of partnership lead officers to include assessment and evaluation questionnaire (Andrew
                                                                               objectives are still delivered.                                                                           Frosdick);
                                                                               Failure of new Neighbourhoods Framework                                                                   Issue Partnership Risk Management guidance - still being developed (50% complete) (Rob Winter);
                                                                                                                                                                                         Ensure Partner risks are identified and managed approprity, through a joint risk register (Rob Winter);
                                                                                                                                                                         1        2      Lead officers to prepare an annual report for each partnership (Andrew Frosdick);
                                                                                                                                                                                         Ensure linkages between relelvant partnerships and SDPs (Andrew Frosdick);
                                                                                                                                                                                         Review AGS to strengthen Partnership questions (Rob Winter);
                                                                                                                                                                                         Ensure effective performance management arrangements in place to deliver LAA in line with statutory
                                                                                                                                                                                         requirements (Shaun Jones)
                                                                                                                                                                                         Ensure the revised LSP themed Partnerships are more focused in delivery of LAA priorities (Andrew
                                                                                                                                                                                         Frosdick/Shaun Jones)




                                                                                                                                                                                                                                                                                                   3
          BMBC Strategic Risk Register

             Risk                                                                                                                                          Current   Target
Risk No                                      Risk Title                                    Risk Consequences                               Risk Manager                                                                 Risk Mitigation Action
            Group                                                                                                                                           Score    Score
029/01a   Strategic   Educational Attainment targets               Damage to reputation through poor performance in published      Edna Sutton                                Implementation of allocation of funds through National Strategies to support National Challenge. (Edna
          Risk                                                     league tables compared to the national average. Reputational                                               Sutton);
                                                                   damage from press. Potential adverse Annual Performance Rating.                                            Continue work of the LA National Strategies teams and National Challenge Advisers to provide support to
                                                                   Impact on LAA and CAA. Intervention by DCSF. Potential pressure                                            schools (Edna Sutton);
                                                                   from DCSF for Closure of Schools or transfer to Trust status.                                              Negotiation and agreement of plans with schools with an emphasis on English and mathematics at Key
                                                                                                                                                                              Stage 4 and further securing gains made at KS2 including recruitment and support of teachers (Edna
                                                                                                                                                                              Sutton);
                                                                                                                                                              2        3
                                                                                                                                                                              Dissemination of effective strategies through subject leader networks and school to school partnerships
                                                                                                                                                                              (Edna Sutton);
                                                                                                                                                                              Ensuring plans and strategies pay full attention to the needs of the different equalities groups, including
                                                                                                                                                                              boys and children with learning difficulties and disabilities (Edna Sutton);
                                                                                                                                                                              Further consultation with schools through Partnership meetings on ways of ensuring additional
                                                                                                                                                                              improvements (Edna Sutton);
                                                                                                                                                                              Remaking Learning, BSF and Primary Strategy for change programmes (Edna Sutton)
030/01b   Strategic   Standard of Data Quality.                    Poor quality of information for management and external parties    Shaun Jones                             Ensure systematic approach to the embedding of data quality across the Authority via audit activity,
          Risk                                                     (Partners, stakeholders, and Inspectors). Poor performance                                                 training, sharing of good practice etc (Shaun Jones)
                                                                   management monitoring. Poor decision making. Adverse critisism                                             Develop more robust shared data quality arrangements with partners (Shaun Jones/Andrew Frosdick)
                                                                   from Public. Long term issues regarding poor data quality in terms                         1        1      Ensure that the learning and recommendations from Directorate based data quality audit activit is taken
                                                                   of long term contracts and awards. Discrepancies regarding data on                                         forward (Shaun Jones)
                                                                   number of births and effects upon school rolls.                                                            Data Quality questions included in 2008/09 AGS, further ongoing review for 2009/10 onwards (Rob Winter)

031/01a   Strategic   Failure to implement sustainable activity.   Censure by central Government. Failure to meet government               Ann Gosse                          Councils environmental procurement policy to be updated. (Alan White);
          Risk                                                     standards and targets under its green policies. Litigation.                                                Staff awarneess will be raised through the groups that support the Sustainability Partnership (S Moralee)
                                                                   Environmental Agency intervention. Failure to meet quality of life                                         See long term Environment and Economical effects of Climate Change box. (S Moralee)
                                                                   aspirations of the Boroughs inhabitants.                                                                   Reduction of carbon emissions and further improvements in energy conservation. (Ann Gosse);
                                                                                                                                                                              Implementation of Carbon Management Programme (Ann Gosse);
                                                                                                                                                              1        2      Implementation of Sustainable Community Strategy objectives (Phil Coppard);
                                                                                                                                                                              Consider mandatory roll out of Electronic Payslips (Frances Foster);
                                                                                                                                                                              Introducing Sustainable Code for Homes for new builds (Stephen Moralee);
                                                                                                                                                                              Initiative to promote Dearne as an exemplar low carbon area (Steve Jagger)
                                                                                                                                                                              [ Link to risk 06]

033/01    Strategic   Implementation of Job Evaluation.            Dissatisfied staff, low morale, recruitment - retention issues,         Julia Bell                         The Job Evaluation exercise has now been implemented. Appeals have been heard, with a very small
          Risk                                                     compensation claims. Potential impact on service delivery.                                                 number related to schools to be completed in the new autumn school term. A cabinet report is to be
                                                                   Communication with staff / affected staff. Appeals procedure                               1        1      submitted to close the project.
                                                                   diverting HR staff time. Possible inequalities leading to recruitment
                                                                   and retention issues.
034/01a   Mutual      Occurence of Fraud and Corruption .          Financial / Budget consequences
                                                                   Financial loss, loss of income, property and other assets.              Steve Pick                         Implementation of the Fraud Risk Action Plan Revised action plan being developed after self assessment
          Risk                                                     Fraudulent claims and other financial impropriety. Police                                                  against revised CIPFA guidance (Rob Winter);
                                                                   involvement / criminal investigation. External Audit Public interest                       1        4      New questionnaire sent to all ADs. Will be analysed to update "hot spots" and future IA coverage and
                                                                   Report. Adverse impact on Corporate Assessment.                                                            guidance.
                                                                                                                                                                              Implementation of Training and Awareness packages in 09/10 (Rob Winter)

035/01a   Strategic   Adverse external Inspection finding          Poor CAA Scoring, reputational damage, intervention by Inspectors, Phil Coppard                            Corporate performance monitoring via LPRP (Shaun Jones);
          Risk                                                     Special Measures precautions. Regular inspection activity triggered                                        Establishment of new Partnership Performance Clinic within the LSP (Shaun Jones/Andrew Frosdick);
                                                                   under CAA if assessment not positive. CAA will act as umbrella                                             Ensure ongoing proactive dialogue with Audit Commission and other regulators on a 'no surprises' basis
                                                                   assessment going forward for others to feed into triggering                                                (Shaun Jones);
                                                                   inspections on a risk basis.                                                               2        5      Strong approach to self assessment and self evaluation to embed a continous cycle of challenge and
                                                                                                                                                                              improvement to minimise need for external inspection and regulation (Shaun Jones);
                                                                                                                                                                              Ensure a proactive response and programme management, within and outside of the Council, in terms of
                                                                                                                                                                              follow-up to the first round of CAA assessments (Shaun Jones)

036/01a   Strategic   Failure to acheive LAA Targets               Loss of engagement by community, partners, stakeholders.               Phil Coppard /                      Scrutiny closer focus on customer engagement (Shaun Jones);
          Risk                                                     Increased level of complaints. Ombudsman intervention. Adverse         Edna Sutton /                       Greater understanding of minority interests through an identification of communities of interest as well as
                                                                   publicity. Loss of confidence by community with Council. Adverse       Martin Farran                       geography (Shaun Jones);
                                                                   perceptions, views and a lack of satisfaction. Adverse CAA                                                 Linking designated and non designated PIs to SDPs as part of an embedded approach to Service and
                                                                   assessment and resulting inspection/government support and                                                 Financial Planning of the LAA (Shaun Jones)
                                                                   intervention. Implications for a wide range of audit, risk, governance                     1        3      Ensuring a strong focus between work at corporate level and neighbourhood level to help ensure delivery
                                                                   and data quality issues. Failure to meet designated indicators to                                          of LAA targets (Shaun Jones/Kate Roe)
                                                                   detail how well BMBC is delivering its objectives to stakeholders in
                                                                   a variety of areas.




                                                                                                                                                                                                                                                                                            4
           BMBC Strategic Risk Register

              Risk                                                                                                                                                     Current   Target
Risk No                                        Risk Title                                                  Risk Consequences                           Risk Manager                                                                  Risk Mitigation Action
             Group                                                                                                                                                      Score    Score
037/01a    Mutual      Failure to safeguard Service Users                       Harm to individuals: children or vulnerable adults Increased           Phil Coppard                       Monitoring of complaints/reputational impacts upon BMBC (Shaun Jones / Kate Roe);
           Risk                                                                 dissatisfaction and damage to reputation of Council. Legal action                                         Monitoring of LAA targets - in order to demonstrate the Authority's Safeguarding abilities (Shaun Jones);
                                                                                and financial penalties. Chief Executive and Directors of children-s                                      Development of ContactPoint Database within Authority (CYPF Leading) (Edna Sutton);
                                                                                and adults services prosecuted.Impact on LAA, more complaints.                                            Robust review of tribunal and ombudsman judgements relating to safeguarding (Andrew Frosdick);
                                                                                Increased scrutiny from external agencies.                                                                AED Safeguarding - Welfare working to ensure that safeguarding is well embedded and people are well
                                                                                                                                                                                          trained. (Edna Sutton);
                                                                                                                                                                                          All agencies required to submit audit data to Safeguarding Board. (Edna Sutton);
                                                                                                                                                                                          Improve support to children and young people at risk of harm at home through delivery of reshaping social
                                                                                                                                                                          1        1      care (Edna Sutton);
                                                                                                                                                                                          CAF, CIS and Solution Focused working training undertaken (Edna Sutton);
                                                                                                                                                                                          Actively promote and implement the Safeguarding Children Board’s business plan (Edna Sutton);
                                                                                                                                                                                          Detailed analysis re-registrations (Edna Sutton);
                                                                                                                                                                                          Ensure appropriate thresholds operating between services (Edna Sutton);
                                                                                                                                                                                          Improve support through integrated wellbeing services at local level to work with all vulnerable young
                                                                                                                                                                                          people (Edna Sutton);
                                                                                                                                                                                          Deliver the parenting and family support strategy (Edna Sutton)

038/01a    Mutual      Failure to safeguard information assets of the Authority. ICO financial penalties. Loss of public confidence in Council. Loss Ken Rutt                             CIGG Action Plan for improved information governance. (Ken Rutt);
                                                                                 of reputation. Public reluctance to utilise electronic self-service (to                                  Compliance with CoCo requirements - Government protocol re: secure communications channels. (Ken
                       The risk associated with not adequately controlling the reduce total operating costs). Loss of personal details linked to ICT                      1        2      Rutt)
                       use of personal and confidential information.             systems leading to a failure to protect employees and vunerable                                          Achieve Government Connects standards for transfer of data (Ken Rutt)
                                                                                 children and adults.                                                                                     Ensure schools comply with policy and procedure (Ken Rutt)

39         Strategic   Changing Demographic                                     Budgetary pressures, Service Delivery not aligned to requirements      To be                              To be allocated
New risk   Risk                                                                                                                                        allocated
                       The effects of changes in, or the profile of the
                       population
40       Mutual        Failure to safeguard Vulnerable Adults                   Harm to vulnerable adults. Increased dissatisfaction and damage to To be                                  To be allocated
New Risk Risk                                                                   reputation of Council. Legal action and financial penalties. Chief allocated
                                                                                Executive and Director of Adults Social Services prosecuted.
                                                                                Impact on LAA, more complaints. Increased scrutiny from external
                                                                                agencies.

41       Mutual        Project Management                                       Projects not deliered on time and to budget. Right outcomes not        To be                              Ensure all project managers are PRINCE 2 accredited
New Risk Risk                                                                   achieved.                                                              allocated                          PRINCE 2 training to be provided
                       Inconsistent approach to, or poor quality of, project    Project risk registers not on corportate system                                                           Ensure projects objectives are clearly identified from outset
                       management



                                                                                Annex 1 Category Scoring Matrix



                                                                                                      VH       5          3            2           1               1


                                                                                                      H        5          4            2           1               1
                                                                                        PROBABILITY




                                                                                                      M        5          5            4           2               1


                                                                                                      L        6          5            5           3               2


                                                                                                      VL       6          6            5           5               5

                                                                                                               VL         L           M            H           VH


                                                                                                                              IMPACT

                                                                               The category score is calculated by plotting the probability score and the highest
                                                                               Impact score for each risk as shown on the Probability Impact Grid (PIG) above

                                                                               The category assigned to the risk will be 1 – 6 based on the traffic light colour
                                                                               system. Category 1 and 2 risks(red) are the most significant risks, followed by
                                                                               category 3 and 4 risks (amber), and category 5 and 6 risks ( green).



                                                                                                                                                                                                                                                                                                      5

				
DOCUMENT INFO
Description: Risk Management Plan School Laws Area document sample