Corporate Risk Register March 2012
Corporate Risk Register March 2012, updated following Performance and Risk Management Board 16 March 2012
Number
1213/01
1. Cause of risk
2. Description of risk or
potential event
3. Consequence of risk
happening
Existing Controls
Score
(with
controls)
Impact x
Likelihood
= Total
Action (to achieve target
score) and Date for
action to be completed
Target Score
Impact x
Likelihood =
Total
Corporate
Objective
/ Service
Priority
The maintenance of
sound technical
competence.
5x4=20
Fully resourced training
budgets to support
vocational and technical
training at the highest
level.
4x3=12
Delivering
the Vision
Officer
External Changes:
It is clear that there is a new
urgency about change in local
government driven by the current
financial pressures and the
ambition to ignite community
engagement. In such an
atmosphere there is an even
greater need to ensure that
vision and action are fully
supported by sound assessment
and solid understanding of policy
implications at national and local
level.
Previous incremental change is
being replaced by a more
wholesale restructuring of local
government and its place in local
service delivery. The response to
“Open Public Services” and the
Localism Act requirements. The
risks are that in moving to a new
agenda so quickly there is no
basic framework within which the
new arrangements can be
undertaken.
The development of
networks to underpin
the policy direction
Strategies at political
and officer levels.
Maintenance and
commitment to national
learning and policy
initiatives.
Encouraging commitment
to high level policy forums
at political and officer
levels.
Identify a dedicated officer
to keep on top of this area
with periodic reports to the
P&RMB on new legislation
and consultation.
Corporate Risk Register, March 2012, Sheet 1 of 15
Corporate Risk Register March 2012
Number
1. Cause of risk
2. Description of risk or
potential event
3. Consequence of risk
happening
Existing Controls
Localism Act:
Working party
established with
Member involvement to
investigate the best
way forward in taking
advantage of the
opportunities offered by
the legislation
This new act contains a number of
new initiatives which will be
implemented over the medium
term. The “general power of
competence” provides the Council
with certain freedoms but issues
such as charging, commercial
service companies, standards,
annual pay policy, are combined
with Council Tax referenda
requirements. In planning the Act
introduces the “Community Right
to Build” and the Community
Infrastructure Levy. For housing
services requirements include the
ability to offer private tenancies to
homeless people and a
complaints procedure focused on
the Independent Housing
Ombudsman.
Score
(with
controls)
Impact x
Likelihood
= Total
Action (to achieve target
score) and Date for
action to be completed
Target Score
Impact x
Likelihood =
Total
Corporate
Objective
/ Service
Priority
4x4=16
Best practice will develop.
Initial solutions should be
flexible and capable of
change. It is important that
the immediate
requirements of the Act are
in place by 31/03/2012.
3x3=9
Delivering
the Vision
Officer
Without detailed preparation the
initiatives in this legislation will be
ill considered and piecemeal. The
whole offer needs to be
understood and alternative models
of implementation assessed.
The Open Public Services White
Corporate Risk Register, March 2012, Sheet 2 of 15
Corporate Risk Register March 2012
Number
1. Cause of risk
2. Description of risk or
potential event
3. Consequence of risk
happening
Existing Controls
Score
(with
controls)
Impact x
Likelihood
= Total
Action (to achieve target
score) and Date for
action to be completed
Target Score
Impact x
Likelihood =
Total
Corporate
Objective
/ Service
Priority
Officer
Coast,
Countrysid
e and Built
Heritage
Brian
Farrow
Paper (July 2011) puts the
Localism Act into a wider context
and longer time frame
1213/02
Coastal Defences:
Lack of Coalition Government
funding to maintain coast
defences and / or to support local
compensation claims results in
coastal erosion and blight of
coastal settlements through loss
of public and private infrastructure
and assets.
Increased coastal erosion through
loss of defences presents a
reputational risk to the authority in
the eyes of local communities and
direct loss of Council owned
assets / infrastructure which are
fundamental to the district’s
tourism offer and therefore the
economic well-being of the district.
Loss of confidence in respect of
business investment and
residential property market; blight
of properties in erosion zone;
direct loss of tourism assets and
infrastructure promenades, beach
The Pathfinder Project
has stimulated actions
in Coastal
Management which the
conventional funding
streams did not
facilitate.
As Pathfinder draws to
its conclusion the
Council is preparing a
review of its impact for
the Coalition
Government.
Completion of all
accepted offers on
properties by
November 2011.
On-going work to
secure planning
consent for
replacement dwellings
5x4=20
Continued work through
the revenue budget with
repairs and maintenance
programme.
4x3=12
Capital schemes continue
to be identified and
submitted as bids to
DEFRA/Environment
Agency.
Work on SMP continues
Monitoring of the coast
Cromer sea defence works
Control of coastal
management schemes
through procurement and
health and safety
checking/monitoring
Corporate Risk Register, March 2012, Sheet 3 of 15
Corporate Risk Register March 2012
Number
1. Cause of risk
2. Description of risk or
potential event
3. Consequence of risk
happening
Existing Controls
chalets, cafés, public toilets, car
parks etc.; loss of tourism income
/ employment.
in Happisburgh
The Council has devoted
significant resources to pursuing
sustainable answers to coastal
management issues. There is a
considerable Health and Safety
context here which serves to
increase the reputational risk for
the Council at the same time.
1213/03
Replacement of Council Tax
Benefit:
The current Local Government
Finance Bill going through
parliament seeks to reform
Council Tax Benefit with a local
system of rebates rather than a
national approach. Fundamentally
this will shift the risk from national
to Local Government. Each billing
authority will develop a scheme for
its area.
The detailed parameters of the
scheme are not available from
Central Government. The
commencement date is currently
01/04/2013. The time frame for
Score
(with
controls)
Impact x
Likelihood
= Total
Action (to achieve target
score) and Date for
action to be completed
Target Score
Impact x
Likelihood =
Total
Corporate
Objective
/ Service
Priority
Officer
5x4=20
Networking, training staff,
publication of the model
scheme.
5x3=15
Delivering
the Vision
Louise
Wolsey
However, there is little
sign of significant
change in the
conventional approach
to funding coastal
defence work.
Early contact with
software providers.
Discussions at a
County /Police about
common areas of the
scheme and
coordination of
implementation.
Working groups at local
and county level
established
Corporate Risk Register, March 2012, Sheet 4 of 15
Corporate Risk Register March 2012
Number
1. Cause of risk
2. Description of risk or
potential event
3. Consequence of risk
happening
Existing Controls
Score
(with
controls)
Impact x
Likelihood
= Total
Action (to achieve target
score) and Date for
action to be completed
Target Score
Impact x
Likelihood =
Total
Corporate
Objective
/ Service
Priority
Officer
Regular progress
reports, transparent
advice from HR,
members full
engagement.
4x4=16
Individual staff supports
(training/ mentoring).
4x3=12
Delivering
the Vision
CLT
producing a local scheme is very
compressed. The development,
testing and implementation of IT
systems will have to be completed
in a short timescale. Funding
locally means that demands on
the “rebate” would financially
impact on the other services that
the Council provides. Protection
for pensioner claimants will
probably mean that the 10%
saving target is recovered over
only 50% of current recipients = a
20% reduction in their
benefit/rebate.
Failure to provide a
comprehensive scheme will
disadvantage vulnerable members
of the community. Adverse
publicity will focus on the Council.
1213/04
Organisational Restructuring:
Following the changes at
strategic level and the
emergence of the new Corporate
Leadership Team there are
further structural changes that
need to be undertaken within the
Team building
Corporate Risk Register, March 2012, Sheet 5 of 15
Corporate Risk Register March 2012
Number
1. Cause of risk
2. Description of risk or
potential event
3. Consequence of risk
happening
Council. These could lead to
further instability and reduced
morale.
Lack of understanding of
proposals, impact on recruitment
and retention, ambiguity and
disruption while services
realigned. Loss of continuity with
past actions (loss of experience),
low staff morale. May be timing
issues if appropriate
appointments cannot be made.
1213/05
Existing Controls
Score
(with
controls)
Impact x
Likelihood
= Total
Action (to achieve target
score) and Date for
action to be completed
Target Score
Impact x
Likelihood =
Total
Corporate
Objective
/ Service
Priority
4x3=12
Delivering
the Vision
Officer
Cultural changes
reinforced by
communications strategy.
Regular updates in
“The Bulletin”.
Appraisal process.
Impact on staffing below
Director level to be
monitored.
Central Government Funding:
There is increased uncertainty
about the Council receiving
adequate funding from central
government through the Formula
Grant and/or other targeted
funding stream that the Council
can access. This level of
uncertainty makes it very difficult
to plan for the 2013/14 transitional
year.
Corporate Planning /
Service Planning
The freezing of Council Tax
increases has meant a focus on
Medium Term Financial
Strategy
Continue to focus central
government mind on
needs of local authorities
and maintain high
standards.
Policy work.
Achieve Corporate Plan.
Budget Monitoring
4 year Budget Forecasting.
Membership of
Plans for managing
4x4=16
Corporate Risk Register, March 2012, Sheet 6 of 15
Corporate Risk Register March 2012
Number
1. Cause of risk
2. Description of risk or
potential event
3. Consequence of risk
happening
Existing Controls
tax base growth alone.
SPARSE
impact.
Financial forecast
updated October 2011
Work streams agreed and
being progressed to deliver
savings year on year with
longer term target savings
identified for contract
procurement and shared
services.
The Local Government Finance
Act is still passing through its
stages in Parliament and has yet
to become law.
The Corporate Plan is unable to
be delivered to the identified
timescales.
Score
(with
controls)
Impact x
Likelihood
= Total
Regular review of
reserves position with
justification
The level of service currently
provided would be at risk
especially some of the
discretionary service areas.
1213/06
Action (to achieve target
score) and Date for
action to be completed
Target Score
Impact x
Likelihood =
Total
Corporate
Objective
/ Service
Priority
Officer
Housing Delivery – Policies –
grant funding
Challenge over ability to provide
target number of affordable
homes through a combination of
lack of developer confidence
because of recession / weak
financial markets and pressure on
public finances meaning reduced
availability of grant funding for
affordable housing provision
Inability to secure planning
permission for provision of
affordable housing
Use of capital to invest
in development;
Partnership work with
Registered Providers
LDF policies
Service plans
Internal planning
protocol
Local Development
Framework Core
4x4=16
Have clear forward
development plan for
affordable housing
provision across the
district, schemes are
planned across financial
years and ensure an ongoing programme of
schemes. 64 additional
affordable homes expected
to be completed in 2011/12
with a further 82 planned
for delivery in 2012/13
which includes 24 section
4x2=8
Housing
and
infrastructure
Karen
Hill
Corporate Risk Register, March 2012, Sheet 7 of 15
Corporate Risk Register March 2012
Number
1. Cause of risk
2. Description of risk or
potential event
3. Consequence of risk
happening
Existing Controls
Increased housing need and
reputational risk in non-delivery of
key corporate priority.
Strategy and Site
Allocations Documents
Score
(with
controls)
Impact x
Likelihood
= Total
Target Score
Impact x
Likelihood =
Total
Local Investment Plan
adopted by Cabinet
Jan 2011
Delivering
the Vision
Louise
Wolsey
Annual action plan
consultation Mar 2012
Housing Strategy
discussion with Cabinet 29
Feb 2012
Revenues and Benefits:
A detailed plan has
been developed with a
dedicated project
manager working
across both Councils.
Officer
Considering ways to
support Housing
Associations to deliver
more affordable housing to
address issues of lack
of/cost of finance and upfront costs of achieving a
planning consent,
Housing and
Infrastructure as
Corporate Plan priority
The new proposals for shared
working with kings Lynn and West
Norfolk Borough Council require a
comprehensive development and
implementation plan that is fully
resourced and capable of meeting
the identified deadlines for the
successful completion of the
project.
Corporate
Objective
/ Service
Priority
106 agreement dwellings.
Housing Strategy
discussion document
issued for consultation
July 2010
1213/07
Action (to achieve target
score) and Date for
action to be completed
4x4=16
Improved staff briefing with
a web based notice board
on which the agenda and
minutes of project
meetings and other notices
are posted.
4x2=8
A project management
group is in place
The revenues and benefits system
is a key deliverable of the Council.
This will be the first shared service
Corporate Risk Register, March 2012, Sheet 8 of 15
Corporate Risk Register March 2012
Number
1. Cause of risk
2. Description of risk or
potential event
3. Consequence of risk
happening
Existing Controls
Score
(with
controls)
Impact x
Likelihood
= Total
Action (to achieve target
score) and Date for
action to be completed
Target Score
Impact x
Likelihood =
Total
Corporate
Objective
/ Service
Priority
Officer
Delivering
the Vision
Julie
Cooke
undertaken by the Council. The
reputational damage from an
incomplete implementation is
great as the systems touch some
of the most vulnerable members
of the local community. In addition
this project is being undertaken
against a back cloth of the
Coalition Governments intention to
introduce Universal Credit from
2014 and the detailed changes in
the shape and detail of Council
Tax support and the Business
rates retention scheme in the
Local Government Finance Bill
now before Parliament.
1213/08
3x4=12
Pay and Grading:
The implementation of the new job
evaluation scores in the shape of
a revised structure for pay and
grading is to be introduced in
2012-13. While the costs and
savings have been modelled
undoubtedly some staff will appeal
against their new grading and pay.
Delay in implementation will
increase the costs and reduce the
savings in the first year of
Detailed work with staff
and trades Union
representatives to
inform the project and
report progress on
developing the new
scheme.
Publication of the appeals
process and parameters to
Trades Unions and staff.
3x3=9
Revisiting job Evaluation
scores for comparison
across the organisation.
Cabinet interaction to
Resources made available
Corporate Risk Register, March 2012, Sheet 9 of 15
Corporate Risk Register March 2012
Number
1. Cause of risk
2. Description of risk or
potential event
3. Consequence of risk
happening
Existing Controls
introduction. With regard to
appeals there are risks associated
with the capacity to deal with the
potential appellants and the cost
of successful appeals.
provide Member input.
There may potentially be a
significant impact on staff morale
as a result of this process (which
may lead to staff losses. The key
driver is a fair, equitable and
transparent pay structure that
removes the risk of any legal
challenge on the basis of equal
pay.
1213/09
Score
(with
controls)
Impact x
Likelihood
= Total
Action (to achieve target
score) and Date for
action to be completed
Target Score
Impact x
Likelihood =
Total
Corporate
Objective
/ Service
Priority
Officer
2x3=6
Delivering
the Vision
Duncan
Ellis
to deal with appeals and to
fund any additional costs.
Professional and legal
advice regarding the
scheme
Partnership Working:
3x4=12
Key stakeholder / partner
organisations fail to engage
appropriately / commit resources
(staff, finances, actions) to key
partnership structures.
Failure of partnerships to deliver
stated objectives / outcomes
Non-delivery of key outcomes
leading to reputational risk to
Council.
Revised Partnership
Framework redefines
partnerships and
provides for graded
governance
arrangements related
to involvement and
risk.
Monitoring through the
Audit Committee and
Annual Governance
Statement.
Implement new partnership
profile(s) to complete a
comprehensive partnership
register.
Review partnership
operation at least annually
and more frequently for
major partnerships.
Clarify Members roles
when on “Outside Bodies”
Corporate Risk Register, March 2012, Sheet 10 of 15
Corporate Risk Register March 2012
Number
1213/10
1. Cause of risk
2. Description of risk or
potential event
3. Consequence of risk
happening
Asset Management:
A lack of investment and sound
decision-making in Asset
Management leads to a loss of
revenue and possible legal
liability.
The Council’s assets continue to
deteriorate and the Council does
not achieve value for money from
its investment and/or possible
legal liabilities either directly or
through its leasing arrangements.
This scenario is detrimental to the
local tourism economy as well as
damaging to local communities
contributing to a lack of
community pride and possible
increase in vandalism. The capital
tied up in assets cannot be
released to support wider Council
initiatives and income streams are
not maximised.
1213/11
Business Continuity Plan:
The lack of a Business Continuity
Plan (including IT Disaster
Existing Controls
Score
(with
controls)
Impact x
Likelihood
= Total
Asset Management
Plan in place overseen
by Asset Management
Board.
4x3=12
Action (to achieve target
score) and Date for
action to be completed
Target Score
Impact x
Likelihood =
Total
Corporate
Objective
/ Service
Priority
3x2=6
Delivering
the Vision
3x2=6
Delivering
the Vision
On-going work on the
repair and maintenance
schedules will strengthen
the Council’s approach to
pro-active management
and maintenance of
assets.
Team resourced but
still serious under
resourcing of team to
take forward significant
programme of
disposals, particularly
in the light of Localism
Act requirements for
community asset
transfer and the
creation of a
community asset
register/ community
right to buy.
Officer
Implementation of
Concerto asset
management system will
ensure better estate and
asset management.
Introduction of a robust
inspection regime with
associated risk
assessment and
prioritisation of works.
Latest Asset
Management Plan
approved by Council
February 2011.
Risk Management
Board;
Corporate Business
Continuity Plan in
3x3=9
Within risk tolerance. Low
level risk test carried out
on 30/11/2011 used to
Steve
Hems/
Richard
Corporate Risk Register, March 2012, Sheet 11 of 15
Corporate Risk Register March 2012
Number
1. Cause of risk
2. Description of risk or
potential event
3. Consequence of risk
happening
Existing Controls
Recovery plans)
place;
Business service failure; also a
breach of statutory duty
Capture of issues from
events here and in
other organisations to
enable learning;
Reputational risk as result of audit
/ VFM failure.
Score
(with
controls)
Impact x
Likelihood
= Total
Action (to achieve target
score) and Date for
action to be completed
highlight need for
individual team plans.
Target Score
Impact x
Likelihood =
Total
Corporate
Objective
/ Service
Priority
Officer
Cook
BCWG to help embed BC
into working culture
Training for key staff
Planned
testing/exercising;
Business Continuity
Working Group in place
Back-up power
generation for whole
building.
Mutual aid
arrangements
Disaster Recovery
(DR) and WAR site
contract;
Develop DR and
continuity plans and
test
Business Continuity
Working Group
Corporate Risk Register, March 2012, Sheet 12 of 15
Corporate Risk Register March 2012
Number
1213/12
1. Cause of risk
2. Description of risk or
potential event
3. Consequence of risk
happening
Score
(with
controls)
Impact x
Likelihood
= Total
Action (to achieve target
score) and Date for
action to be completed
Target Score
Impact x
Likelihood =
Total
Corporate
Objective
/ Service
Priority
Officer
During the temporary
re-arrangement of
duties a joint
procurement protocol
has been established
with Kings Lynn and
West Norfolk Borough
Council to maintain a
watching brief.
3x3=9
In the light of the reduced
resources within the
Finance function it may be
necessary to re-evaluate
the current procurement
arrangements, strengthen
the procurement tool kit
and provide a greater
degree of self-service.
3x1=3
Delivering
the Vision
Duncan
Ellis
4x2=8
All critical services need to
complete team BCP
4x2=8
Delivering
the Vision
Steve
Hems/
Richard
Cooke
Procurement:
Following the development of the
procurement toolkit and the large
scale exercise re Waste
procurement it is important that
the Council continues to obtain
VFM in procuring the goods and
services it uses.
The reduced focus in this area
during the maternity leave of the
Financial Services Manager has
increased the risks in this area.
Value for Money in procurement is
vital. The current financial climate
makes this even more critical. The
absence of a focus for this work
over the past 9 months and the
reduction in the available
accountancy resources going
forward increases the risk in this
area. This is an important role in
developing new service models.
1213/13
Existing Controls
The Procurement
Strategy and Guidance
Notes are available on
the intranet.
Procurement advice is
available to external
suppliers on the
internet.
Significant Disruptive Event:
Any event that has a significant
impact on the ability of the Council
to deliver services.
Internal or external event resulting
Corporate Business
Continuity Plans
Some teams have
To be completed by
30/06/2012
Corporate Risk Register, March 2012, Sheet 13 of 15
Corporate Risk Register March 2012
Number
1. Cause of risk
2. Description of risk or
potential event
3. Consequence of risk
happening
Existing Controls
in one or more of the following
impacts:
operational BCP
a) Loss of staff for ‘usual’
service delivery
b) Loss of premises
c) Loss of key
partners/suppliers
d) Loss of infrastructure
services
Both the National and Community
Risk Registers have more
information regarding the risk of
specific events (e.g. Pandemic)
occurring.
1213/14
Score
(with
controls)
Impact x
Likelihood
= Total
Action (to achieve target
score) and Date for
action to be completed
Target Score
Impact x
Likelihood =
Total
Corporate
Objective
/ Service
Priority
Officer
4x1=4
Delivering
the Vision
Helen
Mitchell
Norfolk Resilience
Forum Response &
Recovery Plans
Norfolk Resilience
Forum Pandemic Flue
Plan
Reduction in the ability of the
Council to deliver services,
possibly at a time of increased
demand from the community.
Information and IT Security:
Lax security means that
information may be inappropriately
used.
Information (at whatever security
level) is lost / mislaid / stolen from
the organisation.
Fraud, data corruption, damaged
systems, reputation harmed.
IT Security Policy
Internal Computer
Audit reviews
Monitoring of IT
security by IT.
Information
4x2=8
CoCo compliance and for
the ICT security policy in
order to access the
system.
The Information
Management Strategy is
due for a review to be
Corporate Risk Register, March 2012, Sheet 14 of 15
Corporate Risk Register March 2012
Number
1. Cause of risk
2. Description of risk or
potential event
3. Consequence of risk
happening
Existing Controls
Increased use of mobile
technology such as I Pads etc.
Management Strategy.
Code of Connection
compliance.
ICT are responsible for
ensuring electronic
data is secure (in
conjunction with
system owners who
control access to their
databases),
Score
(with
controls)
Impact x
Likelihood
= Total
Action (to achieve target
score) and Date for
action to be completed
Target Score
Impact x
Likelihood =
Total
Corporate
Objective
/ Service
Priority
Officer
scheduled for later this
year (Director for
Information).
Also Data protection
training may need to be
refreshed, this is the
responsibility of the Legal
service.
Data security protocols on
mobile devices.
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Corporate Risk Register, March 2012, Sheet 15 of 15