What Are the Benefits of Project Management by zbe36955

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									                                                                                                                                                                                                                                  Agenda Item No: 12 Appendix E




                                                                        RISK REGISTER
                                                                Customers and Community Services                                                                                                                                 Version Date: Sep 2008, V1


                                                                                                                                             Residual
              Details of Risk                       Inherent Risk                                                                                                                                                Actions
                                                                                                                                               Risk




                                                                                                                                                                                                                                                                 Action Status
                                                                                                                                                                                                                                                   Target Date
                                                                                                      Key Controls
                                      Probability




                                                                                                                                          Probability


                                                                                                                                                                 Residual
Risk No.




                                                     Impact




                                                                                                                                                        Impact
                                                                        Owner
                                                              Score




                                                                                                                                                                  Score
                Risk Description                                                                                                                                                                 Actions                       Action Owner




A          CUSTOMERS (including councillors, citizens, regulators etc.)

                                                                                1. EfoC Programme Operating Board monitors delivery                                         1. Customer Service Strategy to be revised           Head of       Oct-08
                                                                                monthly                                                                                                                                        Customer &
                                                                                                                                                                                                                             Cultural services
                                                                                2. EfoC Operating Board focuses on delivery of customer                                     2. Customer profiling work using Mosaic              CDCCS          Nov-08
                                                                                benefits monthly                                                                            profiling tool being undertaken
                                                                                3. Corporate customer outcomes map have been                                                3. implementation of Microsoft CRM4 to             Head of IT       Nov-08
               The EfoC Change                                                  developed.                                                                                  enable effective integration of front and back
             Programme does not                                                                                                                                             office systems
A1
            deliver improvements in
                                      H H                     9       CDCCS
                                                                                4. Customer Service Strategy
                                                                                                                                          L H                      6

                customer service
                                                                                5. Programme Management office monitors benefits
                                                                                realisation and project progress
                                                                                6. Reporting to Enterprise Scrutiny Cttee on quarterly
                                                                                basis.
                                                                                7. Network of Customer Service Champions across the
                                                                                Council


                                                                                                      DEVELOPING AND MAINTAINING CAPABILITY

 B         PROCESSES AND SYSTEMS

                                                                                1. IT Strategy                                                                              1. Martini rollout                               Head of IT         Nov-08

                                                                                2. IT Service Plan
   The Council is not provided                                                  3. Data Security Policy
     with efficient, effective,
                                                                      Head of 4. IT Board
B1    resilient and secure            H H                     9
                                                                        IT    5. Performance management arrangements                      L H                      6
     electronic information
             systems.                                                         6. ITiL accreditation
                                                                                7. Business Continuity Plan
                                                                                8. Training and awareness programme operating in IT
                                                                                Services
                                                                                                                                                                                                                           Agenda Item No: 12 Appendix E




                                                                           RISK REGISTER
                                                                   Customers and Community Services                                                                                                                       Version Date: Sep 2008, V1


                                                                                                                                      Residual
              Details of Risk                          Inherent Risk                                                                                                                                       Actions
                                                                                                                                        Risk




                                                                                                                                                                                                                                                          Action Status
                                                                                                                                                                                                                                            Target Date
                                                                                                         Key Controls
                                         Probability




                                                                                                                                   Probability


                                                                                                                                                          Residual
Risk No.




                                                        Impact




                                                                                                                                                 Impact
                                                                         Owner
                                                                 Score




                                                                                                                                                           Score
                 Risk Description                                                                                                                                                         Actions                       Action Owner



                                                                                 1. Mgt of the establishment policy                                                  1. Conversion of policies into SORPs             Head of SS&P         Dec-08

                                                                                 2. Procurement policy                                                               2. 'O' day turn offs of old processes - Mgt of   Head of OD&HR        Oct-08
                                                                   Heads                                                                                             establishment
             Failure to realise ERP
                                                                      of   3. ERP board                                                                              3. Development of Discoverer reports for         Head of SS&P         Dec-08
            benefits from procure to
                                                                   Shared                                                                                            Business intelligence
B2          pay and management of        M H                     7
                                                                   Service
                                                                                                                                   L H                      6
               the establishment                                                                                                                                                                                                           Nov-08
                                                                    s and 4. ERP training                                                                            4. ERP road map being updated in partnership CDCCS
                   processes                                                                                                                                         with Cambridgeshire CC.
                                                                   OD&HR
                                                                           5. ERP process maps (electronic & paper)
                                                                                 6. Organisational hierarchy on Oracle HR
                                                                                 1. Policies and Procedures incl risk assessment
           Litigation from non-
                                                                                 management system
           compliance with legislation
B3         (H&S, DPA, FOI, E&D,          H H                     9       CFO     2. Staff Training                                  L            H          6
           Employment Legislation)                                               3. Defects monitoring
           (Fire and Rescue)

                                                                                 1. National Guidance                                                                1. Review BCM approach                           Head of EP        Mar-09
                                                                                 2. Emergency Planning Business Plan monitored                                       2. Training to be developed.                     Head of EP        Mar-09
           The requirements of the
           civil contingencies act are                                           3. Partnerships with districts                                                      3. Complete preparation of key service           Head of EP        Sep-09
B4         not met/ including business   H H                     9       CFO                                                        L            H          6        grouping BCPs
           continuity plans not being
                                                                                 4. EP officers appointed at district levels
           maintained reviewed
                                                                                 5. Testing of emergency plans
                                                                                                                                                                                                                                         Agenda Item No: 12 Appendix E




                                                                              RISK REGISTER
                                                                      Customers and Community Services                                                                                                                                  Version Date: Sep 2008, V1


                                                                                                                                                       Residual
              Details of Risk                             Inherent Risk                                                                                                                                                  Actions
                                                                                                                                                         Risk




                                                                                                                                                                                                                                                                        Action Status
                                                                                                                                                                                                                                                          Target Date
                                                                                                             Key Controls
                                            Probability




                                                                                                                                                    Probability


                                                                                                                                                                           Residual
Risk No.




                                                           Impact




                                                                                                                                                                  Impact
                                                                              Owner
                                                                    Score




                                                                                                                                                                            Score
                 Risk Description                                                                                                                                                                        Actions                      Action Owner




 C         PEOPLE AND LEARNING

                                                                                      1. 3 year 'Living Wall' prepared to provide a single record
                                                                                      of the key activities expected to be faced by the Council
                                                                                      over the next 3 years.
                                                                                      2. Project mgt arrangements in place incl the
    Achievement of corporate                                                          management of risks associated with the project.
     and service priorities is                                                    3 . Head of OD&HR to oversee the Effective Leadership
   inhibited by the Leadership                                                    Review
   Review process, i.e. loss of
C1                                          H H                     9       CDCCS 4. Interim management arrangements.                               L H                      6
   corporate knowledge, high
          vacancy/interim                                                             5. Recruitment consultants enlisted to fill vacancies on a
     arrangements at senior                                                           timely basis.
       management level.                                                              6. Cross service Board for T3&4 of Effective Leadership                                         1. Induction programme for new managers incl Head of OD&HR Oct-08
                                                                                      Review                                                                                          interims
                                                                                      7. Management briefings via '99' and '33' fora.
                                                                                      8. Regular supervision arrangements for interims

                                                                                      1. Recruitment and selection policy and processes.                                              1. Organisation Development role to be         Head of OD&HR Apr-09
                                                                                                                                                                                      developed within HR.
                                                                                      2. Identification and delivery of training needs through                                        2. Developing Employee Capability              Head of OD&HR Mar-09
                                                                                      PADP and routine supervision                                                                    Programme incl a competency scheme for all
           Recruitment and Retention                                                                                                                                                  staff outside of the leadership group.
                                                                            Head of
C2         of staff with the right skills   H H                     9
                                                                            OD&HR 3. Leadership competency scheme
                                                                                                                                                    L H                      6        3. Oracle learning management module to be     Head of OD&HR 2009/10
               across the Council.                                                                                                                                                    introduced
                                                                                      4. Pay and Rewards Strategy
                                                                                      5. Exit interviews
                                                                                      6. OD Culture & change programme (jigsaw enabler)
   Failure to implement equal                                                         1 Pay and Benefits Project management arrangements.
       pay and benefits in
   accordance with regulatory                                                         2. effective negotiation principles agreed with Trade                                           2. P&B Strategy implementation (negotiations      CDCCS          Dec-09
C3
     requirements with the
                                            H H                     9       CDCCS
                                                                                      Unions
                                                                                                                                                    L H                      6
                                                                                                                                                                                      are ongoing)
       consequent risk of                                                             3. Negotiation Strategy has been developed.
           prosecution
                                                                                                                                                                                                             Agenda Item No: 12 Appendix E




                                                                    RISK REGISTER
                                                            Customers and Community Services                                                                                                                 Version Date: Sep 2008, V1


                                                                                                                             Residual
            Details of Risk                     Inherent Risk                                                                                                                                  Actions
                                                                                                                               Risk




                                                                                                                                                                                                                                            Action Status
                                                                                                                                                                                                                              Target Date
                                                                                                   Key Controls
                                  Probability




                                                                                                                          Probability


                                                                                                                                                 Residual
 Risk No.




                                                 Impact




                                                                                                                                        Impact
                                                                    Owner
                                                          Score




                                                                                                                                                  Score
              Risk Description                                                                                                                                                 Actions                     Action Owner



                                                                            1. Consultation with the Unions.
        Industrial action in
                                                                            2. Negotiation Strategy has been developed.                                     2. P&B Strategy implementation (negotiations     CDCCS         Dec-09
   response to the outcome of
C4
       the Pay and Benefit
                                  H H                     9       CDCCS                                                   L H                      6        are ongoing)
             review.

                                                                            1. Operational Competency Framework
                                                                            2. PADP
   Staff training is inadequate
                                                                            3. IPDS
   and staff do not have the
C5 skills to deliver their        H              H        9       DCFO 4. Operational Assurance                            L            H          6
   objectives (Fire and                                                     5. Annual Training Programme
   Rescue)
                                                                            6. MTP
                                                                            7. Specific training with new policies
                                                                                                                                                            1. Implement the attendance management           CDCCS          TBC
                                                                            1. PADPs and 1:1s                                                               facility of HR Oracle
   Failure to manage staff                                                  2. Flexible working
   attendance such that staff
   absences are minimised                                                   3. Absence reduction targets for services
C6 and staff attendance at        M H                     7       CDCCS 4. Attendance mgt policy                           L            H          6
   work is in accordance with
                                                                            5. Occupational health service
   staff contracts/
   employment                                                               6. Stress management policy
                                                                            7. Employee counselling
                                                                            8. Mgt reporting to CMT
                                                                                                                                                                                                                                         Agenda Item No: 12 Appendix E




                                                                            RISK REGISTER
                                                                    Customers and Community Services                                                                                                                                     Version Date: Sep 2008, V1


                                                                                                                                                     Residual
              Details of Risk                           Inherent Risk                                                                                                                                                    Actions
                                                                                                                                                       Risk




                                                                                                                                                                                                                                                                        Action Status
                                                                                                                                                                                                                                                          Target Date
                                                                                                            Key Controls
                                          Probability




                                                                                                                                                  Probability


                                                                                                                                                                         Residual
Risk No.




                                                         Impact




                                                                                                                                                                Impact
                                                                             Owner
                                                                  Score




                                                                                                                                                                          Score
                 Risk Description                                                                                                                                                                       Actions                        Action Owner




 D         FINANCE AND RESOURCES

                                                                                     1. LGSS governance arrangements incl joint board                                                1. Scoping workshops involving                     HofSS&P          Oct-08
                                                                                     meetings                                                                                       representatives of the relevant services of both
                                                                                2. Joint business model                                                                             councils.
                                                                                                                                                                                    2. Cabinet paper to both cabinets on a shared        CDCCS          Oct-08
            Inability to get agreed
D1          position on LG Shared         M H                     7       CDCCS 3. Single SRO in both organisations                               L H                      6        service.
           Services with Cambs CC.
                                                                                     4. Joint reporting to both council's cabinets
                                                                                     5. Joint Change Manager
                                                                                     1. Pay and Benefits Project Board.                                                             1. Negotiation strategy delivered                    CDCCS         Dec-08
            The cost of the Pay and
                Benefits review                                                      2. Accountant assigned to the project.
D2
            significantly exceeds its     H H                     9       CDCCS                                                                   L H                      6
                                                                                     3. Cost projections fed into the monthly budget monitoring
                    provision.                                                       process.
                                                                                     1. EfoC Programme Operating Board considers the
                                                                                     resource requirements of the Programme on a regular
                                                                                     basis.
            EfoC change programme                                               2. Programme resources allocated to individual activities
D3         is not afforded the capacity   H H                     9       CDCCS on a staged basis.                                                L H                      6
             and capability to deliver
                                                                                     3. dedicated finance officer
                                                                                     4. EfoC resourcing being considered through the Star
                                                                                     Chamber process.
                                                                                     1. MTFP (incl star chamber process)
                                                                                     2. Financial Reporting mechanism
             Failure to manage the
D4         Directorate's spend within     H H                     9       CDCCS 3. Regular budget monitoring incl DMT review                      L H                      6
              the allocated budget                                              4. Budget officers assigned to each budget line
                                                                                     5. Finance support
                                                                    RISK REGISTER - HISTORY
                                                                  Customers and Community Services



       Version                 Date                    Summary             Further Details




D:\Docstoc\Working\pdf\5507ffbf-1713-4600-a58e-5c2c25abc328.xls                                      Page 6 of 8
   The Risk Register provides a complete register of risks and provides an audit trail of risk mitigation and resolution

   For each risk complete:

   Risk No. - Allocate a sequential number
   Risk Description - Describe the risk
   Service Objective l/priority- which service objective or priority does the risk affect
   Type-
   S Strategic Risks that need to be taken into account in judgements about the medium to long term
   goals and objectives of the Council or Service.
   O Operational Risks that managers and staff will encounter in the daily course of their work.
   P People Risks associated with managing employees
   I Information Risks that relate to loss or inaccuracy of data, systems or reported information
   F Financial Risks that relate to losing monetary resources or incurring unacceptable liabilities.

   Impact - The severity of the impact if the risk occurs, High(H), Medium(M) or Low(L) (see below)
   Probability- The probability of the risk occurring High(H), Medium(M) or Low(L) (see below)
   Score – What that makes the overall risk score (1-9) (see below)
   Owner – the owner of the risk
   Key Controls – what controls are in place to mitigate the risk
   Residual Risk Impact – what will the residual impact be with the controls in place
   Residual Risk Probability – what will the residual probability be with the controls in place
   Residual Score – what does that now make the score with the controls in place
   Risk Indicators – what risk indicators are there to monitor likelihood and impact of risk
   Target Score – what is the target score – what score is acceptable to the responsible body
   Actions- what actions or action plan is in place to further mitigate the risk if the controls are not adequate to bring the residual score down to
   the target score
   Action Owner – who is responsible for the actions
   Target date- when will the action/s be completed
   Action Status- are the actions on target? (red/ amber/green rating)




Risk Scoring                                    H   6     7     9
                                         ct




L = Low                                         M   3     5     8
                                       pa
                                     Im




M = Medium                                      L   1     2     4
H = High                                            L     M     H
                                                                y
                                                            ilit
                                                          ab
                                                       ob
                                                     Pr
HH         9
HL         6
HM         8
LH         4
LL         1
LM         2
MH         7
ML         3
MM         5

General
HR
Finance
Legal
Procure
Property
Project
General
.
.
.

								
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