Gloucestershire Joint Waste Commitee
Strategic Risk Register (JWC Version 130731)
Last Reviewed March 2013
v.Lo =
Lo =
Med =
Hi =
v.Hi =
Read with Risk Appetite Matrix (see Appendix 3B)
Ref
Area
Risk
Effect
Impact (threats)
Negligible
Minor
Moderate
Major
Catastrophic
Raw Score
Impact (opportunities)
Negligible
Minor benefit
Moderate benefit
Major benefit
Groundbreaking benefit
Mitigation planned
Impact prob. score
1
increased workload for remaining staff
Key staff decide to leave at a critical time and potential to set back delivery of key
actions
Hi
Med
2
Lack of cohesion in new JWMU due to
virtual set up
Frustration and potential for confusion as
to accountability and roles
Hi
With very few staff already, focus
remains on operational issues
Operations continue in silos, reduced
probability of partnership succeeding
with strategic objectives
Hi
Lo
Hi
Support for staff through communication
inc meetings, effective line management
and team building
Hi
Med
Hi
Hi
JWMU Management Team to take
responsibility for Strategic development
with guidance from SMG
3
Members and influential officers continue Conflicted priorities and interests for
to regard individuals as "X" Council's
staff, undermining ability to manage
staff.
JWMU agreed priorities
Hi
Hi
4
Temporary appointment increases
uncertainty regarding leadership and
direction
Relationships at time of major change
are overshadowed by uncertainty which
may impact on trust and motivation
Hi
V.Hi
Part time appointment provides
insufficient time to fulfil main aspects of
role and build stakeholder relationships
Frustration and potential for confusion as
to accountability and roles, burn out.
5
6
Opportunity: to share resource and
experience with Somerset Waste
Partnership
7
8
9
Obtain advice from and work jointly with
SWP across various aspects where
there is common benefit.
change implemented piece-meal and
Reputational damage, low morale
inefficiently.
Management of
Opportunity: To identify, harmonise and
Change
Builds trust and confidence in the unit
embed good practice in the new Joint
Waste Management Unit
10
11
Opportunity: To bring in experience and
Builds trust / provides confidence about
impartiality at low cost, retaining flexibility
equality of partnership at implementation.
and increasing resilience for the future.
Administering
Authority
12
Poor or partial support to partnership
from Administering Authority (AA)
Lack of clarity about role of
Administering Authority within GCC
Lack of clarity about role of
Administering Authority within other
partners
Med
Hi
+ve
In time consider moving JWMU staff to
HQ and fully integrate team base
Med Lo
Med Med
Undertake a structural review in first year
of operations to identify roles and deploy
resources accordingly
Med Lo
Clear expectations and lines of
communication understood by all
members and officers
Med Med
Likely to diminish once trust is
established but may require
reinforcement from time to time
Med Lo
Provide HoS with clear and realistic
objectives for the initial setting up phase
and communicate these widely and often
Med V.Hi
Support from SMG and clear lines of
accountability within JWMU, promote
recognition from stakeholders that the
role is an overseeing not an operational
one
Med V.Hi
Longer term approach to be clarified
Hi
v.Hi +ve
Shared Head of service approach on an
interim basis
Hi
Hi
+ve
Potential to look at further areas for
sharing expertise within recycling and
waste management functions of both
partnerships
Hi
V.Hi +ve
Hi
Involve staff and develop culture and
processes to promote good practice
Hi
Lo
Med Med +ve
Involve staff and develop culture and
processes to promote good practice
Hi
Med Med +ve
Hi
Hi
Med
Hi
Hi
Set clear goals and pathway to reach
them via Business plan
Hi
Med
JWC members may not be comfortable
with taking decisions to meet another
authoritys' savings targets.
Tension between partners
V.Hi
+ve
tension between partners
14
Lo
Hi
Med
Reputational damage, loss of support
from householders leading to reduced
commitment to recycling
V.Hi
SMG to review position frequently and
consider a more permanent arrangement
after experience of early months
Hi
Hi
Pressure to reduce services to save
money
Lo
Aim
Interim arrangement in place
tension between partners
Reputational damage, loss of support
from partners, disincentive to other
partners to join.
Financial
pressures on
partners
V.Hi
Target Score
Impact Prob.
Med Lo
Hi
Failure to deliver savings in longer term
15
Hi
Future Actions
Recruit replacement staff or share
resources.
undermines confidence in JWMU and
project overall
13
Mitigated Score
Impact Prob. score
Support for staff, through
communication, effective team building
JWMU Staff
Shared
Management
Arrangement
with Somerset
Waste
Partnership
v.Lo =
Lo =
Med =
Hi =
v.Hi =
Appendix 3A
Probability
Not foreseeable
Unlikely
Possible
Likely
Almost certain
Med
Ensure all partners (especially GCC)
understand role of AA and principles
within the Inter Authority Agreement.
HoS and GCC Director relationship is
key. SMG to deal with any issues arising
as a priority.
Med +ve
design change management protocols
for adoption
Med Lo
design change management protocols
for adoption
v.Hi
Hi
Lo
Lo
Lo
Lo
Lo
Lo
Review frequently and be prepared to set
new objectives as required
Hi
Lo
Consider potential savings early in the
MTFP process and engage with
members on implications
Lo
Hi
encourage partners to identify savings
requirements as early as possible in the
process
Lo
Lo
Med Lo
Med Lo
Med Lo
Hi
Med
Hi
Ensure that key implications of changes
are identified in advance and reported
with recommendations. Work closely
with contractors to identify all possible
options
Med
Hi
Hi
Develop a strong strategic and corporate
mentality within the JWC.
Med Lo
SMG to review arrangements and
support from time to time. SMG
members to act corporately in support of
JWMU.
+ve
Financial
pressures on
partners
16
Councils are penalised by DCLG for not
collecting refuse weekly
Creation of tension within councils and
with some householders.
17
Opportunity: Joint decision making
promotes rational savings decsion
18
19
Brief members on how to engage with
DCLG to demonstate performance and
continuing cost benefits of current
systems
Hi
Lo
Consider options that have least impact
or avoid changes to public facing
services
Med
Hi
Use community survey data where
possible to demonstrate satisfaction with
system
Hi
Med
JWC gives opportunity for services to be
looked at from holistic perspective both
vertically (collection-disposal) and
horizontally (collection- collection).
Med
Hi
Qualitative and/or quantitative reduction
in contractor's management team
Deterioration in service, higher
complaints, reduced satisfaction with
service, more pressure on client, lack of
capacity to innovate.
Hi
Hi
Frequent programmed engagement with
Senior Management Teams of all main
contractors.
Hi
Med
Seek to find further economies of scale /
resource sharing arrangements which
benefit both client and contractor.
Med Lo
Qualitative and/or quantitative reduction
in front line service
Deterioration in service, higher
complaints, reduced satisfaction with
service, more pressure on client and
partners.
Hi
Hi
Frequent programmed engagement with
local Managers of both contractors.
Client Team sign off significant changes
to rounds etc.
Hi
Med
Continue to improve quality of monitoring
and response to any recurring problems
areas. Use of liquidated damages where
appropriate (Ops Team)
Med Lo
20
Contractor defaults or fails
Potential short term delivery implications,
requirement for service review /
procurement with associated costs of
process and potential higher cost of
delivering the service.
Med
Awareness of financial state of
companies through regular contact with
Senior Managers, networking with wider
industry to understand / give early
warning of trends and pressures
Med
Hi
Respond quickly to any relevant
intelligence obtained, assess risks that
ensue and act accordingly.
Med Lo
21
Opportunity to improve efficiency at
client/contractor interface.
Opportunity to explore further efficiencies
Med
Hi
Further review of functions around client
/ contractor roles
Med v.Hi +ve
22
Due to fuel costs -increase in material in Heavy material goes in kerbside bins not
kerbside bins rather than recycling
to Recycling Centres. Impacts on district
centres
recycling rate (not to County overall).
Directed Messages about how to use
services sustainably. Promote cost
effective disposal routes for business
waste.
Med
Hi
Promotion using variety of media as
described in the Communication Plan
Lo
Hi
Positive promotion of the scheme.
Med
Hi
Promotion using variety of media
Lo
Hi
Directed Communications campaign,
proposals in business plan for reuse
centres
Med Med +ve
Promotion using variety of media as
described in the Communication Plan
(Comms Team)
Hi
Hi
Financial
pressure on
Contractors
23
Financial
Pressure on
Householders
Loss of income while costs remain fixed
Opportunity to encourage householders
Waste reduction and improved
to save money individually by waste
participation and capture rates.
reduction and collectively via recycling
24
Ref
Reduction in existing or new garden
waste customers
Area
Risk
Effect
Hi
+ve
Med Med +ve
Hi
V.Hi
Med V.Hi
Lo
Lo
+ve
Raw Score
Mitigation planned
Impact prob. score
Loss of shared vision
Difficulty in agreeing priorities, impact on
reputation of partners, partners consider
leaving which could destabilise the
partnership
26
Loss of Trust between partners
Focus becomes on managing negative
relationships, not the business, partners
consider leaving which could destabilise
the partnership
27
Unrealistic expectations of short term
savings potential from JWC
arrangements
Loss of patience or confidence in
partnership to make savings,
reputational damage, disincentive to
other partners to join
28
Concerns by members not on GJWC
about loss of control of the services
Potential loss of confidence within
partners about benefits, pressure on
SMT to react to non strategic issues and
fight fires
25
29
We are a
multiple partner
organisation
working in a
Lack of member engagement and/ or
political
frequent member turnover.
environment
Potential failure within partners to
understand basis and benefits of JWC.
Diversion of attention to managing
relationships not the business
+ve
+ve
Mitigated Score
Note that majority of cost saving
opportunities lie with service delivery and
seek opportunities to derive economies
of scale across borders
Future Actions
Impact Prob. score
Med Lo
Hi
Hi
Involve all partners in the business plan
process.
Hi
Lo
Maintain awareness of partner pressures
and aspirations via the GJWC, SMG and
formal/informal contact with all partners
Hi
v.Lo
Hi
Med
Involve all partners in the business plan
process and continue to promote early
dialogue about issues via SMG group
and with individual partners as
appropriate
Hi
Lo
Maintain awareness of partner pressures
& aspirations via the JWC, SMG and
frequent direct formal/informal contact
with all partners
Hi
v.Lo
Hi
Hi
Clarity of short and long term objectives
within the business plan
Hi
Med
Engage members on opportunities for
savings and implications early in MTFP
process
Med Lo
Hi
Head of service and officer Team to
engagage with partner members through
attendance at meetings and ensuring
that they have information about who to
contact
Hi
Med
Ensure that Scrutiny Committees or
other reviwing bodies are consulted on
plans etc
Med Lo
Med
Induction Training for new members,
involve all partners in the business plan
process, monthly member briefings,
continue to attend and inform scrutiny
committees and other local bodies
including TCs/PCs
Hi
Lo
Hi
Hi
Encourage continuity and support
partners' Scrutiny processes
+ve
Target Score
Impact Prob.
Med
Hi
+ve
Hi
v.Lo
Aim
We are a
multiple partner
organisation
working in a
political
environment
30
External agencies fail to understand us
and penalise effective joint working.
31
Inefficiencies due to IT and customer
More staff required to do same job,
relations systems not accessible or being
slower response to customers
joined up
32
With 3 DCs outside of GJWP, lost
opportunity to align strategic objectives
Sub optimal operation across county
33
Opportunity: GJWP enables partners to
tackle new and emerging issues from
an holistic and mutually supportive
perspective
Economies of scale in analysis, planning
and managing responses to new
legislation or Govt policy or other
changes in the operating environment.
34
Opportunity: New partners can join in
future.
Inceased scope for efficiencies and
holistic improvements
Hi
Lo
35
Reduction in the availability of recyclate
(eg declining newspaper readership)
Recycling rate drops, impact on
contractor income and viability
Hi
36
Impact of austerity means recycling is a
lower priority for householders
Recycling capture rate drops increasing
disposal costs and reducing recycling
rate
Hi
37
Lose control of situation resulting in high
Lack of preparedness or poor response
call loads; Loss of customer confidence
to service disruption events eg weather /
and reputation; Loss of partner
flooding
confidence in JWMU
Socio-economic
impacts
Unexpected costs on the partnership (eg
loss of partial VAT exemption)
Reputational issues if public interest and
Service
Delays or set backs in EfW infrastructure
expectations are raised but delays
disruption due to project
ensue, continued reliance on landfill tax
things outside of
Impact on contractor bottom line and
our control
39
Drop in value of recyclate
viability of contracts; Loss of public
confidence in recycling
38
40
41
42
Opportunity: Increase in value of
material or energy
Issues inherent
in working at Risk of serious injury or death to staff
roadside and/or
with heavy
vehicles
manoeuvring in
Risk of serious injury or death to member
confined
of the public
working areas.
Potential for income share with both
contractors
Med
Hi
Joint approach to briefing and lobbying at
appropriate level.
Med Med
Act quickly and in a concerted way to any
new threats (SMG)
Med
Hi
Ensure that all JWMU staff have access
to appropriate systems
Med Med
Undertake review of IT requirements
once established
Med Lo
Hi
Hi
need to enegage all GWP authorities on
big picture opportunities
Hi
Med
Seek ways of incentivising involvement
Med Lo
Estabish the JWC
Hi
Hi
Need to engage all GWP authorities on
big picture opportunities
Hi
Med +ve
Med
Not within control of JWC or JWMU
Hi
Med
Med
Promote link between higher recycling
and lower costs to community
Hi
Lo
explore further incentives to increase
capture
Med Lo
Business Continuity Plans (BCPs) in
place for GJWC and contractors. Draw
previous experience of severe weather
events. Agree clear communications and
"catch up" strategy
Hi
Lo
Review BCP arrangements regularly
Med Lo
Med Med +ve
Hi
+ve
Hi
+ve
Develop a culture of innovation with
support from JWC. Seek / bid for
external funding where possible.
Not within control of JWC or JWMU
Lo
Hi
Lo
v.Hi +ve
v.Hi
Hi
Hi
Med
Med Med
Regular, open operational meetings with
provider and briefings for the JWC
Med Lo
Devise fall back communications
strategy
Lo
Med
Maintain emphasis on quality which
provides the best buffer for this risk.
Med Lo
Provide reassuring messages to the
public in the event of further price drops
Lo Med
Continue to lobby govt for challenging
packaging recovery targets and lobby
industry for quality to be reflected in
higher prices
Med Med +ve
Evaluate potential for risk/reward share
in current and all future ventures
including infrastructure and collection
system developments
Med
Hi
v.Hi Med
Annual report to GJWC on internal and
contractor performance to maintain a
high profile
Hi
Med
v.Hi
Level of accidents to public on sites are
very low and generally self-inflicted.
v.Hi
Lo
Hi
Lo Med +ve
Personal impacts; Potential fines, legal
claims; intervention by HSE etc. Loss of
reputation
v.Hi
Personal impacts; Potential fines, legal
claims; intervention by HSE etc. Loss of
reputation
v.Hi Med
Hi
Health & Safety has a high profile within
service and with contractors. Internal
H&S advisory Group and input to WISH
group. Implement HSE requirements for
monitoring crews. On public sites
separate users from heavy plant
movements.
Lo
+ve
Lo
+ve