"Implementation of Strategic Business Unit - Excel"
APPENDIX D - CRAVEN DISTRICT COUNCIL - RISK REGISTER - STRATEGIC RISKS Operati Raw Score Risk Risk Total Score - Potential Risks and Risk Likelihood Do Risk Control Measures Additional Measures that could planned onal/str Risk Impact 1- as Risk Control Measures Likelihood Impact 1-5 Taking account Resource Officer No. Service Unit Sub-unit Consequences Hazards What are the causes? 1-5 where 1 is currently in place reduce the be implemented to reduce the implementation ategic/b 5 where 1 is low identified in currently in place 1-5 where 1 where 1 is of current control Requirement responsible What Might Happen? low Risk sufficiently Risk further/Progress date usiness CRAM is low low measures Lack of Business Continuity Planning Poor emergency planning IT security procedures/backup Business Continuity Plan has now budget provision Major service disruption: inadequate staff training arrangements been approved by Members and final made in current year eg physical loss of IT capability poor security/prevention Risk assessments document and Urgent Services of £15K +£30K year virus/hacker - loss/theft poor IT procedures Fire safety distributed to CMT and SMT. The after but unlikely to data Loss/damage to poor systems procedures/measures staff Business Continuity exercise took be adequate to council property eg fire Major inadequate fire training place 15.12.06 - raised no. of issues - provide full DR/BCP failure in service provision (fire at refuse protection lack of incident response scheme Heads of services to reappraise response. depot) disaster recovery and business support from NYCC what urgent services would be Adverse PR etc continuity planning draft suspect packages plan required ( within 48 hrs), action plan Corporate Loss of reputation drawn up to be drawn up, written procedures - 189 S Strategic 4 5 20 Emergency 3 5 15 No reporting back to CMT Feb 2007 ongoing Priority 5 Failure to meet duties imposed by Civil Contingencies Bill Planning have met with directors Community Risk Register to be and CX re business continuity. produced Key areas identified To carry out a 2nd exercise of Training has been given to CMT the revised plan. and Heads of Service. Business Continuity plan produced and urgent services Head of identified. Environment al Health Not meeting the corporate goals Ineffective housing investment Housing Strategy 2004-07 Next Housing Strategy 2007/10 Extensive in the Corporate Plan in relation programme. (formerly HIP Strategy) currently being written - GOYH aim funding/budget to local housing needs within Insufficient resources Monitoring of Housing strategy to sign off Housing Strategy and details contained in Revised Corporate Priorities. Craven , leading to increased Craven Housing Agreement action plan by July 2007. Looking to action plan. homelessness and non for delivery of Homelessness service. adopt SPD by April 2007. A new compliance with legislation. Planning Policy measure identified is to survey and Implementation produce a strategy for bringing empty of CPA improvement plan - securing homes back into use. Contractor has affordable housing Affordable Housing Officer in post Dec 2004 to Dec produced an action plan which is 2007 being implemented. Empty Houses Established effective partnerships with Strategy to be produced by April RSLs . Regular development forums, 2007. Resources available form update meetings . Regional Housing Board. Funding Allocations/nominations meetings for the Rural Housing Enabler post various see Strategic Corporate to ensure housing nominations from 202 S Strategic 4 5 20 CDC and CH waiting list maximised. 4 3 12 No has now been resolved for 07/08. specific action Housing Priority 3 Identified sites for afffordable Negotiations in progress with CH re plans Manager housing. Rural Housing Enabler in Agency agreement - no agreement post. Craven Housing needs yet reached. Assessment. inclusion of Councillor as Port folio holder for Asset .Further details of the management. Re- various measures being taken can establishment of asset management be found on the detailed action plan. and & Capital review working group. Restructure of housing services. 4/8/2011c2b38cba-8ddc-42c3-bfbc-130afc60bfbb.xls Operati Raw Score Risk Risk Total Score - Potential Risks and Risk Likelihood Do Risk Control Measures Additional Measures that could planned onal/str Risk Impact 1- as Risk Control Measures Likelihood Impact 1-5 Taking account Resource Officer No. Service Unit Sub-unit Consequences Hazards What are the causes? 1-5 where 1 is currently in place reduce the be implemented to reduce the implementation ategic/b 5 where 1 is low identified in currently in place 1-5 where 1 where 1 is of current control Requirement responsible What Might Happen? low Risk sufficiently Risk further/Progress date usiness CRAM is low low measures Failure of Skipton Developments Poor project management. Expert lead advisors in place at present Revised prospectus has now been project leading to financial loss, loss of Inadequate appraisal/evaluation. but see addtional measure. published and Council is advertising for a reputation, public objections, Ineffective communciation/publicity. Detailed procurement process. strategic partner. investment risk. Project Management. Brochures and pre- qualification Project Meetings questionnaire have been sent to a number Financial/contract PR. of interested parties - responses due 26 Partner selection on hold February. Shortlist of potential partners is pending further decisions. expected to be selected by April 2007 - Bidding process. final selection expected December 2007. legal agreement PR/communication Re new Council advisors. Approved budget, offices at Gargrave Road site to provide Council approved additional £90,000. accommodation for CDC and SBS . Public Outline Planning application approved for Consultation/feedback. Internal submission to Secretary of State . Head of systems for expenditure approval now Economic & 215 S Strategic 4 5 20 3 5 15 no ongoing improved. Forward communications Comm plan with key dates now devised, Developt strong budget checks and clear communication to project team now being undertaken and have as set agenda item on SD meetings. Loss of all IT services due to loss Loss of Craven server room - Offsite backups taken and stored Generate Corporate DR and Resources required of server room, leading to act of god, in fire-proof safe, however time to business continuity plans. for DR provision service area without core (back malicious damage, re-build probably unacceptable. Generate an IS £40,000 in capital office) computer systems for accident security, disaster recovery plan. budget some time ( no. weeks). power surge/spike IT and physical Prioritise areas for System rebuild may take time, fire alarms and extinghuishers. system restorations in event of data would be reloaded but out of Authentication & limited disaster. IS disaster date at that point. access for users recovery plan to be completed 2007 . New backup Linked to risk 189 business system that will provide faster continuity,. Currently investigating server restoration off site virtual machines technology , Information storage companies invited to investigate our 167 S 3 5 15 ability to rebuild network at 2 5 10 No needs and provide costings. A needs 2007 S Duthie Services Granville St following loss of assessment has been completed server at town hall . and costs indicated in region of improved service availability £100,000 to implement. Analysis and if the link between TH and GS is review now required to determine the unavailable. Improved surge way forward. protection in place for server room power supply. 4/8/2011c2b38cba-8ddc-42c3-bfbc-130afc60bfbb.xls Operati Raw Score Risk Risk Total Score - Potential Risks and Risk Likelihood Do Risk Control Measures Additional Measures that could planned onal/str Risk Impact 1- as Risk Control Measures Likelihood Impact 1-5 Taking account Resource Officer No. Service Unit Sub-unit Consequences Hazards What are the causes? 1-5 where 1 is currently in place reduce the be implemented to reduce the implementation ategic/b 5 where 1 is low identified in currently in place 1-5 where 1 where 1 is of current control Requirement responsible What Might Happen? low Risk sufficiently Risk further/Progress date usiness CRAM is low low measures Linked to Risk 215 Skipton BS made formal approach Continual monitoring of building . to CDC to consider a joint Head of Condition survey partnership approach to develop Leisure & Continuing structural Remedial measures Gargrave Road site to provide Comm deterioration of Granville Street Identified serious structural where possible, reactive accommodation for CDC and SBS - Facilities & Leisure & offices leading to potential defects limiting the life of the maintenance budget in place. joint project team to be established. Dir 240 S Comm closure of building on safety building to 5 years (condition 4 5 20 3 5 15 No ongoing Extensive consultation has taken Community Facilities grounds and relocation of staff, survey carried out 1999 giving 5 Inclusion in Skipton place. Outline Planning application Services in inability to provide full services or year lifespan) Developments programme which approved for submission to relation to potential for reduced services. includes possible sale of land and Secretary of State . Plans for Skipton delivery of new edge of town site. relocation is a central part of the Devlpts Business Continuity Plan. Internet and wide area networking Insolvency of provider Currently tendering for new Move to an new supplier - once provider - ceases trading leading supplier. contract is awarded put in place a to migration plan. - Unavailability of our corporate Invest more in the infrastructure to website and online transactions. include delivery via multiple service - Unavailability of internet access providers. from within all council offices Perform normal credit checks on - Unavailability of external email potential new providers to ensure Head of Information 232 S (either send or receive) 3 4 12 3 4 12 no stability. 2007 Information Services - no electronic payment capability Revised tender process now Services eg. Bacstel IP undertaken - one potential supplier identified Further discussions to take place early February 2007 prior to implementation. 4/8/2011c2b38cba-8ddc-42c3-bfbc-130afc60bfbb.xls CRAVEN DISTRICT COUNCIL - RISK REGISTER - OPERATIONAL RISKS Operati Raw Score Risk Total Score - Potential Risks and Risk Risk Impact Risk Do Risk Control Measures Additional Measures that could be planned onal/str Hazards What are the as Risk Control Measures Impact 1-5 Taking account Resource Officer No. Service Unit Sub-unit Consequences Likelihood 1-5 1-5 where 1 Likelihood 1-5 currently in place reduce the implemented to reduce the Risk implementation ategic/b causes? identified currently in place where 1 is of current Requirement responsible What Might Happen? where 1 is low is low where 1 is low Risk sufficiently further/Progress update date usiness in CRAM low control measures Failure to identify and remediate Lack of technical expertise Officer in place specialising in Preliminary Risk Assessments are continuing . Additional staffing ongoing in 2007 contaminated land leading to Inadequate funding available contaminated land Officer All of Skipton has now been risk rated and large resources potential health implications for training provided Contingency part of South Craven incl Crosshills, Glusburn residents and legal and financial funding provided for 5 year strategy and Sutton. Areas currently being looked are Lothersdale, Cononley and Farnhill. Officers to implications both for property owners continue to carry out preliminary Risk and the Council. Assessments on the remaining potentially contaminated sites Review of Contaminated Land Stategy currently being undertaken. Reorganisation of Environmental Envirnonme 94 O 4 4 16 3 4 12 No Protection team to increase capacity to deal with ntal Health contaminated land. Lindsey Quinn Deteriorating state of repair of pot holes, sunken Re-active repairs carried out Re Waltonwrays - Worst affected Part of PPM cemeteries (Open & Closed) and drainage, moss algae, tree when reported areas are cordoned off.Planned programme Crematorium - Slips, trips and roots Tree survey preventative maintenance programme falls Deteriorating foothpaths. No Maintenance Plan completed 2005 - action plan in has been adjusted to prioritise urgent Collapse of boundary walls and place , currently awaiting plan. repairs. Work has commenced on falling trees leading to fatality, Work to be carried out flower display area - Work to the spires injury and property damage. May/June and sound proofing work scheduled to Planned Preventative be carried out March/April 2007. Leisure and Bereavement Bereaveme Maintenance Programme in Tender for work to go out Feb 2007 154 O Community 5 3 15 4 3 12 No ongoing Services nt Service place which includes Worst affected paths to be Facilities Manager crematorium repaired early in new financial year Resource requirements to be confirmed Notification expected very soon formally designating Craven as Planning Standards Authority . Representations not made to DCLG as looking for 3 years consistent improvement.Urban Prioritisation of resources and Vision action/improvement plan workloads to ensure timely approved by Members and being submission of reports. implemented. Planning Advisory Major improvements in Service has carried out additional Failure to implement meeting the Pendleton Criteria in diagnostic work and produced further improvement/action plans arising Not meeting set 2005 Statement of action plan - potential to obtain further from CDC being named performance criteria in Community Consultation drawn resources from PAS Further education Planning Standards Authority development control. up as part of LDF and training of Members - training on Planning 223 O leading to Govt intervention, Annual monitoring report 4 4 16 4 3 12 no enforcement to take place . Ongoing ASAP S Watson Services further involvement of Planning not submitted in time. External contractor engaged as training programme on planning issues Advisory Service, failure to Pendleton Criteria interim measure to provide a to take place all year round. secure Planning Delivery Grant not met diagnostic adn improvement Development Control Manager post in 2008/09 plan prior to any currently being advertised (this is a announcements by ODPM. redesignation of the Area Planning Manager post) Urban Vision now Further education and training of engaged on 2 major planning Members taken place in Autumn applications. External Planning Consultant engaged to help boost performance Continuing long term sickness of Head of Service presents a challenge to continued performance improvement. 4/8/2011c2b38cba-8ddc-42c3-bfbc-130afc60bfbb.xls Operati Raw Score Risk Total Score - Potential Risks and Risk Risk Impact Risk Do Risk Control Measures Additional Measures that could be planned onal/str Hazards What are the as Risk Control Measures Impact 1-5 Taking account Resource Officer No. Service Unit Sub-unit Consequences Likelihood 1-5 1-5 where 1 Likelihood 1-5 currently in place reduce the implemented to reduce the Risk implementation ategic/b causes? identified currently in place where 1 is of current Requirement responsible What Might Happen? where 1 is low is low where 1 is low Risk sufficiently further/Progress update date usiness in CRAM low control measures Inability of Council to deal with Lack of capacity to Training provided for all additional staff Breaches of The Members investigate following Members and Parish costs Code of Conduct leading to legislation changes passing Councillors. inability to fulfil other service responsibility for all Members and Parish Councillors obligations and reputation of the breaches to be dealt with signed undertaking re Council being diminished. locally. compliance and adherence to Code of Conduct. There continues to be a problem with Other protocols and codes . capacity due to the Monitoring Officer Officer advice working 2 days only per week for available Above measures are Craven. There is still a need to Increase intended to inform Members and capacity within Legal Services to enable Parish Councillors of current investigation of complaints/breaches. protocols. The Council agreed Detailed review to explore, the on 25 May to increase the delivery/procurement options for Legal external representation on the Services has been undertaken which Legal Standards Committee with 2 includes resources required for Head of Legal 238 O 4 3 12 additional Members to bolster 4 3 12 no 2007 Services Monitoring Officer. Further meeting Services capacity and discussions have scheduled February 07 Discussions are also taken place with a taking place with Pendle to provide neighbouring authority in an partnership working and to include effort to share resources so that increased capacity. Standards both organisations can Committee meeting in January discharge their roles in relation resolved that discussions should take to dealing with investigations place with potential external whilst providing advice to the providers/partners to provide training Standards Committee. for Parish Councillors Failure to meet statutory duty under Household Waste and Recycling Act 2003 (to provide Remain in, and work in conjunction to every domestic property in the NYCC fail to provide with the Y & NYW Partnership. district a collection of at least 2 access to co-mingled York and North Yorkshire Waste Maintain good relations with recyclable waste materials by recyclable waste Management Strategy in place. partners. Secure 2010) leading to : processing before 2010 York and Service Level Agreement to meet Cleansing possible legal action from (they have no legal 242 O 3 5 15 North Yorkshire Waste 2 5 10 no Craven's requirements. ongoing NA Services individuals obligation to provide resource Partnership in place. Service Subject to progress, review situation as service being taken over materials recovery facilities implications Level Agreement being drawn necessary and consider alternative loss of reputation only requirement is to currently limited up. methods of meeting requirements of increased costs to provide provide waste treatment unless alternative Act. alternative methods of and or disposal. methods of Apply political pressure as necessary. compliance other than through Y meeting &NYWP eg box schemes and requirements are continued segregated collection. considered necessary in the future. Seek alternative supplier to support SX3 Discussions taken place with 2 alternative Third Party cease trading Skilled Inability of third party supplier to support suppliers- Members have approved proposed and knowledgeable staff leaving Information the Councils SX3 software leading to Third party supplier providing the engagement of Northgate - further meeting to See CMT report 9 243 O third party supplier 4 4 16 3 4 12 no ongoing SD Services the Council being unable to provide a service on a quarter by quarter basis. take place to address technical issues. June 2006 No contingency Revenues and Benefits Service Timescale for transfer to new supplier needs to plans currently in place take account of year end. Risk score likely to reduce at the next quarter. 4/8/2011c2b38cba-8ddc-42c3-bfbc-130afc60bfbb.xls