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BMBC Strategic Risk Register

Risk No 001/01d Risk Group Strategic Risk Risk Title Failure of Political Control Instability in Political Control (ie ability to take necessary political decisions) and quality of decisionmaking. Risk Consequences Risk Manager Current Score Target Score Risk Mitigation Action Clear strategic framework and implementation plans to deliver agreed priorities via SCS, LAA and Corporate Plan to minimise potential instability (Shaun Jones); Member working policy to plan and oversee progress (Andrew Frosdick); Review and update of Constitution 09/10 (Andrew Frosdick); Review compliance with Member Development Accreditation (Andrew Frosdick) Develop protocols for operating without overall political control (Andrew Frosdick) Briefings for Opposition Group on key issues Greater clarityof Member / officer roles(PJC) Promote greater awareness of Codes of Conduct for 09/10 for Members and Officers(Andrew Frosdick); Review compliance with Member Development Accreditation (Alan Maher); Take appropriate action in the case of breach.(Andrew Frosdick) Standards Committee to undertake Risk assessment of high risk areas (AF)

Lack of decision making leading to organisational paralysis. Loss or Phil Coppard failure of key policy initiatives. Failure or reduction in quality of service delivery. Failure to agree priority areas and allocation of resources. Failure to set budget. Government intervention. Failure of the new Neighbourhoods Framework


Strategic Risk

Poor standards of Member and Officer Conduct. Breach of Member or Officer Code of Conduct or related inappropriate behaviour. Breakdown of member officer relations.

Lack of robustness/quality of decision making. Legality of decision Andrew making due to bias or challenges to Council decisions nationally Frosdick and locally. Damage to public reputation/image of the Authority. Adverse CAA judgement. Public Interest report by External Auditor. Difficulty in implementing the new Neighbourhoods Framework Displacement of existing local policy priorities. Unanticipated budgetary pressure not included in SFP. Government initiatives in conflict with BMBC interests. Failure to deliver specific services as required by statute. Failure to comply with prescribed statutory requirements as to manner in which services are delivered. Censure by Central Government. Financial Penalties. Claims from Third Parties. Reputational Damage. Andrew Frosdick


Strategic Risk

Failure to conform with Legislation, Regulation or Government Policy Failure to plan adequately for new legislation and Government initiatives.Issues such as failing to meet Equalities and Diversity Guidelines. Health and Safety Act. Local Government Act.Environmental Acts. Planning Statute.

Formalise Horizon Scanning activites (Shaun Jones); Plan implementation of compliance with new Laws and Regs and Legislation (Shaun Jones) 1 3


Strategic Risk

Failure to implement New Technology solutions within BMBC Lack of horizon scanning of technological advances that could aid/hinder staff in service delivery. IT Systems do no support council activity. Change Management regarding Bull/ICT Partnership Stage II.

Impact on technical architecture and infrastructure within BMBC and Ken Rutt partnering organisations. Failure of systems leading to breakdown in service delivery and communications and transforming services. Impact on partners suppliers contractors. New initiatives/projects change management. Failure to deliver efficiency savings and meet IEG targets. Additional costs and loss of personal details linked to IT systems. Non adherence to CoCo.

Keeping abreast of developments in new technology09/10 (Ken Rutt); Identify consortium of other Local Authorities that could seek protection as a group (Ken Rutt); Future Proof Partnership Agreement (Ken Rutt); Develop Phase 2 of Partnership with Bull TCL (Ken Rutt); Improve project management procedures and skills on new initiatives.(Ken Rutt); Scope change requirements and identify wider impact at earlier stage.(Ken Rutt); Greater focus on service delivery requirements (Ken Rutt); Develop IT Resilience Plan (BMBC) (Ken Rutt); Develop IT Resilience Plan (BULL) (Ken Rutt); Develop IT Resilience Plan (TCL) (Ken Rutt) Establish Innovation and Challenge Group. SMT formal review of learning and action plans - post incidents. (Shaun Jones); H and S to be included as quarterly item on SMT work programme (Doug Cartwright); Fatal Accident Protocol being rolled out (exemplar for LGA) (Julia Bell); CEX briefings with Head of H-S (Julia Bell) Action Plan for improving fleet risk (Darren Richardson) Action Plan for improving grey fleet risk (Julia Bell) Ensure responsibilities as Social Landlord are discharged (Steve Jagger) Ensure Statutory Food Standard requirements are met (Ken Eastwood) Assess impact of Pitt Review and proposed Flood and Water Management Bill (Also relates to risks 6 and 12) The starting point is to ensure the LDF is the spatial expression of the Sustainable Community Strategy. This will be achieved through the LDF Core Strategy and subsequent Development Plan Documents. The Council will also carry out its leading role through the Sustainability Partnership of the LSP. This will ensure delivery of NI 186 (Reduction of CO2 emissions across the Borough) and NI 188 Adapting to Climate Change. Coordinated Action Plans across the Council will be created to deliver this. (S Moralee) Also there is a performance clinic meeting in September to monitor progress against NI 186 and NI 188. (S Moralee) Exploiting synergies between tackling climate change and disadvantage, for example using energy efficiency improvements in homes to reduce fuel poverty and mitigate the effects of rising fuel prices for those on low incomes.(Steve Jagger); Working with energy service supply companies to develop innovative mechanisms to improve energy efficiency in housing, for example through council tax rebate schemes.(Steve Jagger); Extend the criteria for private sector energy interventions (S Jagger) Bid for ERDF resources for private housing stock (S Jagger) Implementation of Sustainable Communities Strategy. (Phil Coppard); Ensure a coordinated approach with partners to reduce carbon emissions (Ann Gosse); Supporting environmental partnership and providing a leadership role for reducing CO2 emissions (Stephen Moralee); Initiative to promote Dearne as an exemplar low carbon area (Steve Jagger)


Strategic Risk

Failure to manage the Health and Safety of Public and Death or injury resulting in compensation claims. Major delays to Employees capital projects or disruption of service delivery. Prosecution, fines and penalties, litigation or claims for damages arising from Failing to keep workforce and public safe from harm. negligence. Insurance claims costs. Insurance Premium costs. Damage to property. Financial Cost. Bad Publicity. Loss of Confidence in the Council.Exposure to Corporate Manslaughter prosecution.

Julia Bell


Strategic Risk

Long term environmental and economic effects of climate change. Local authorities have a key role in leading their communities to tackle climate change. The Local Government White Paper published in October 2006 explores the role that all local authorities can play in tackling climate change, reinforced by the Local Government - Public Invovement in Health Act 2007. The Council and its partners also has a carbon emissions target in the LAA.

Censure by central Government. Detrimental quality of life for stakeholders. Less attractive community. Long term issues for future generations. Failure to manage Carbon Reduction Commitments leading to additional costs in region of 500K, possible fines and jail sentances

Ann Gosse

BMBC Strategic Risk Register

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


Mutual Risk

Failure to Achieve a Balanced Budget Failure to produce a deliverable and sustainable balanced budget which allows the successful delivery of priorities.

Unplanned, significant overspend, budget overspend, adverse effect on Council reserves falling below minimum working balance levels. Failure to maintain net spending within overall budget aopprovals. Impact on service delivery/Council policies, adverse External Audit report (Annual Audit and Inspection Letter), Government intervention, impact on and reputation, - negative publicity. Increase in potential liabilities arising from exclusion in insurance cover relating to medical procedures carried out by employees Production of Balanced budget is a legal requirement

Steve Pick

Review level of Balances / Reserves within the council's S & F P process during 09/10 (Steve Pick); Ongoing update and review of assumptions, based on MTFS - Identification of ongoing inflationary items 09/10 (Frances Foster); Seek agreement from Members on Annual MTFS 09/10 (Frances Foster); Delivery of timely efficiency savings 09/10(Phil Coppard); Seek agreement from Members regarding Council Tax increases 09/10 (Steve Pick) Develop a range of potential options to enable the Authority to plan for future public spending scenarios (Steve Pick) Establish extent of, and risk associated with, medical procedures carried out by employees and consider how to provide imdemnity


Mutual Risk

Not maintaining statutory, regulatory or managerial responsibilities. Failure to ensure effective processes and service delivery. Failure to spend on the right priorities. General detrimental damage on Authority.

Impact upon BCPs. Employee retention problems, loss of skill, de- Steve Pick/ skilling jobs, training needs to cover skills gaps, Effect upon Phil Coppard governance arrangements, Effect upon RM ability to maintain controls, or addressing over control (risk aversion)- Service Delivery options - outsourcing. Non achivement of Balanced Budget. Corporate Capacity Review. Finance Directorate will have to reconsider budgets for affected departments.

Active monitoring of impacts against existing BCPs (Doug Cartwright); Monitoring of key Risk Indicators to inform Management of Trigger events (Rob Winter); Ensure Services Resilience Plans take into account outcomes of ZBAR (Doug Cartwright); SMT considering process and delivery options (Phil Coppard); Continuing to ensure spending is allocated to appropriate areas (Steve Pick); District Audit review of ZBAR, draft report recieved, final to go to Audit Committeee November 09. Action plan monitored through Audit Committee (S Pick)


Strategic Risk

Failure to engage and communicate effectively with stakeholders

Loss of confidence in Council's ability to deliver services or respond to problems. Lack of community support which prevents/hinders improvement or effective implementation of change. Non ability to explain Councils position/public relations. Failure of the new Neighbourhoods Framework Failure to communicate effectively with community/stakeholders. Lack of proper engagement with stakeholders, at the right level, and at the right time.

Kate Roe / Shaun Jones / Bob Williams / Andrew Frosdick / Diane Tweedie

Develop a comprehensive framework to respond to the Duty to Involve, covering inform, consult and engage (Kate Roe / Shaun Jones / Joe Micheli) Develop a more systematic approach via the work of CCCIG to receive, evaluate and respond to customer intelligence and consultation activities (Kate Roe / Shaun Jones) Programme of mystery shopping and focus groups to help understand customer experience and reputation (Kate Roe / Shaun Jones) Review of Community Engagement Strategy (Joe Micheli) Third Sector Review Project (Joe Micheli) Review of complaints procedures (Derrick Taylor) Communications Strategy (Bob Williams) Specific Action for One Barnsley Continual review and update of BIA registers (Doug Cartwright); Testing of Recovery Plans (Doug Cartwright); Linking BIA Registers to Service Risk Registers (Doug Cartwright); Continual review of BCPs to ensure they mirror current corporate structures (Doug Cartwright) Assess impact of Pitt Review and proposed Flood and Water Management Bill (Also relates to risks 6 and 12)


Strategic Risk

Failure to plan for and manage the occurrence of an Emergency Event


Mutual Risk

BMBC has specific,statutory responsibility as a Category 1 responder under the Civil Contingencies Act 2004. This includes both Rising Tide eventspandemics etc and Big Bang events-bombs, explosions etc. ICT Systems do not support council activity Failure of ICT systems leading to breakdown in service delivery and Ken Rutt communications, particularly new initiatives (eg Current systems not sufficiently robust, or do not have SAP/CIS/Hyperwave). IEG targets not met. Loss of suppliers, capacity or functionality required. contractors, impact on partners, loss of income, failure to deliver efficiency savings (eg workstyle), additional costs.

Loss of life. Loss of property. Poor planning will result in a poor Doug response to the event, leading to public dissatisfaction, wasted Cartwright resources, duplicated efforts. Impact on service BCPs. Imapct on community in general. Costs to Council regarding Recovery Phase.

Improve project management skills on new initiatives (Ken Rutt); Scope change requirements/wider impact at earlier stage (Ken Rutt); Greater focus on service delivery requirements (Ken Rutt); Develop IT Disaster Recovery Plan in liasion with Partners (Ken Rutt); Project planning procedures (Ken Rutt); Develop Phase 2 of Partnership (Ken Rutt) Additional awareness and training from staff and members (Andrew Frosdick); Audit plan for corporate governance delivered (Rob Winter); Further develop links with outside agencies (Andrew Frosdick); Review AGS question set - completed as part of 2008/09 AGS. Review annually (Rob Winter)


Mutual Risk

Breakdown in Corporate Governance Arrangements


Mutual Risk

Breach of internal control arrangements leading to financial loss, Andrew loss of income, property and other assets, fraudulent claims, Frosdick Financial impropriety or maladministration. Breaches irregularities etc. Breach of Officer/Member Code of Conduct within Statutory roles - Monitoring Officer, S151 Officer, leading to challenge to Council decisions (locally/nationally). Loss of Head of Paid Service. public confidence in service/damage to credibility/adverse publicity. Adverse CPA impact. Loss or inneficiency arising from the failure to manage Loss of use of asset (e.g.consequence of fire damage), Loss of Steve Pick assets and property income from leased/rented assets, H - S issues, Implications of DDA 1995, Maintenance implications, Valuation issues (Balance Assets and Property of the Authority not managed or Sheet), Asset Management Plan (VFM) maintained to appropriate standards.

Continue to review and develop the Asset Management Plan 09/10 (Steve Pick); Testing and evaluation of Resilience Plans and BCPs 09/10 (Doug Cartwright); Review budget provision for annual maintenance 09/10 (Steve Pick) Review budget provision for annual maintenance 10/11. Community Buildings Review (Derrick Taylor).

BMBC Strategic Risk Register

Risk No 020/01 Risk Group Mutual Risk Risk Title Risk Consequences Risk Manager Current Score Target Score Risk Mitigation Action Emphasise positive side of Public Sector employment (Julia Bell); Employee Relations Forum with Unions (Julia Bell); Develop Contribution and Competency Framework (Julia Bell); Develop Well Being Programme (Doug Cartwright) Employee Survey communications and action plan Investors in People Build morale of workforce Specific action around developing internal communications to Improve internal communications (Bob Williams) Regular reports to Cabinet 09/10 (Chris Wyatt); Liaison with Funders 09/10 (Ann Gosse); Fortnightly Partner Meetings 09/10 (Carol Cooper-Smith); Employment of joint funded Retail Project Manager (CW); Reinvigorate and update project Risk Register (CW) Regular review of Project Risk Register 09/10 (CW) Lobby Government to ensure effects of economic downturn do not impact upon project (Ann Gosse)

Failure to Retain / Recruit / Maintain / Build Morale and Unable to deliver services effectively. Additional costs of temporary Julia Bell productivity of Workforce outsourcing or recruitment of interim staff. Retention of staff becomes problematic. Falling quality and volume of the service Failure of Authority to function effectively and being delivered to public, rising absenteeism. Loss of intellectual efficiently. property/knowledge. Skills gaps. Potential for mistakes to be made.


Mutual Risk

Impact of Markets Project on BMBC Ineffective or delayed redevelopment of the existing Market. (The key Remaking Barnsley project)

Lack of overall control regarding Remaking agenda leading to Ann Gosse disillusionment amongst stakeholders. Financial burden on council increasing in 2009, with commencement of BSFprogramme in 2009. Around 180M investment in project. Effects on Town Centre generally. Impact on MTFS and other remaking Barnsley projects. Collateral damage, conflict and problems unrelated to the program could manifest. The Compulsory Purchases have been done; a new risk consequence is that the Authority will in effect have more/new assets, and therefore have increased costs in terms of maintaining these properties. Not achieving the desired outcomes and aspirations of the Edna Sutton Remaking Learning programmes, failure to build the right buildings, failure to achieve the required approvals, the programme becoming uncontrolled in terms of costs or timing, and collateral problems unrelated to the aims of the programme itself. Overall these risks concern the effects the overall scheme may have on public perception and the delivery of educational services (see existing Project Register). Impact upon financial position of the Council. Wasted investment from external funders and partnering SY Authorities. Non implementation of new technology to update existing unreliable infrastructure. BT or another competitor could sieze missed opportunity. Could be lack of demand from Service Providers and Residential and Business Users (revenue). Use of new and possibly untested technology. Challenge from either Govt Regulator or issues via procurement. Possibility of Government Challenge or censure.BMBC as lead authority makes reputational risks greater for BMBC than partnering authorities. Phil Coppard


Mutual Risk

Impact of the BSF programme on BMBC.

Ensure risk register is fit for purpose and review 08/09 (Edna Sutton); Regular review of project, risks and effectiveness of controls. (Edna Sutton) Completion of financial closure of phase 2 and phase 3 (Edna Sutton). Lobby Government to ensure effects of economic downturn do not impact upon project (Edna Sutton) 1 2


Strategic Risk

Failure of Digital Region Project

Market Testing re demand (Ken Rutt); Conservative Business Modelling (Ken Rutt); Surveying of existing infrastructure (Ken Rutt); Consider exit strategy within partnership agreements (Ken Rutt) Continued and early identification of financial position (Ken Rutt) Establish Client Steering Group


Mutual Risk

Delivery of Waste Management and the Waste Management PFI project-

Without the benefit of a long term contract and the cost efficiencies Ann Gosse that generates, extensive costs for treatment and disposal would be incurred without a centralised transfer station, Household and Commercial Waste uncollected and left stored at premises and accumulating. Considerable inconvenience to the public and if sustained a resultant potential health problem.

Progress evaluation and procurement through Competitive Dialogue of a 25 year disposal contract (Ann Gosse); Progress and finalise interim (7 year) contractual arrangements for HWRC, Landfill, Treatment, Transfer station and composting (Ann Gosse); Scope form of contractual arrangements for diversion of kitchen waste to meet the overall 50% recycling commitment within OBC (Ann Gosse) Ensure Partners do not withdraw from project at contract break points (14/12/09) Ensure periodic reports are sent to Cabinet (Andrew Frosdick); Undertake periodic review of One Barnsley Framework (Andrew Frosdick); Inclusion of Partnerships Risks in appropriate risk register (Rob Winter); Develop role of partnership lead officers to include assessment and evaluation questionnaire (Andrew Frosdick); Issue Partnership Risk Management guidance - still being developed (50% complete) (Rob Winter); Ensure Partner risks are identified and managed approprity, through a joint risk register (Rob Winter); Lead officers to prepare an annual report for each partnership (Andrew Frosdick); Ensure linkages between relelvant partnerships and SDPs (Andrew Frosdick); Review AGS to strengthen Partnership questions (Rob Winter); Ensure effective performance management arrangements in place to deliver LAA in line with statutory requirements (Shaun Jones) Ensure the revised LSP themed Partnerships are more focused in delivery of LAA priorities (Andrew Frosdick/Shaun Jones)


Mutual Risk

Failure of partnership working to deliver necessary outcomes.

Adverse CAA Area Assessment 2009. No focus or direction within Partnership- No controlling mind- no assurance as to Governance arrangements. Failure of partnerships will have financial impact in terms of wasted time/costs and potential fire fighting to ensure objectives are still delivered. Failure of new Neighbourhoods Framework

Andrew Frosdick

BMBC Strategic Risk Register

Risk No 029/01a Risk Group Strategic Risk Risk Title Educational Attainment targets Risk Consequences Risk Manager Current Score Target Score Risk Mitigation Action Implementation of allocation of funds through National Strategies to support National Challenge. (Edna Sutton); Continue work of the LA National Strategies teams and National Challenge Advisers to provide support to schools (Edna Sutton); Negotiation and agreement of plans with schools with an emphasis on English and mathematics at Key Stage 4 and further securing gains made at KS2 including recruitment and support of teachers (Edna Sutton); Dissemination of effective strategies through subject leader networks and school to school partnerships (Edna Sutton); Ensuring plans and strategies pay full attention to the needs of the different equalities groups, including boys and children with learning difficulties and disabilities (Edna Sutton); Further consultation with schools through Partnership meetings on ways of ensuring additional improvements (Edna Sutton); Remaking Learning, BSF and Primary Strategy for change programmes (Edna Sutton) Ensure systematic approach to the embedding of data quality across the Authority via audit activity, training, sharing of good practice etc (Shaun Jones) Develop more robust shared data quality arrangements with partners (Shaun Jones/Andrew Frosdick) Ensure that the learning and recommendations from Directorate based data quality audit activit is taken forward (Shaun Jones) Data Quality questions included in 2008/09 AGS, further ongoing review for 2009/10 onwards (Rob Winter) Councils environmental procurement policy to be updated. (Alan White); Staff awarneess will be raised through the groups that support the Sustainability Partnership (S Moralee) See long term Environment and Economical effects of Climate Change box. (S Moralee) Reduction of carbon emissions and further improvements in energy conservation. (Ann Gosse); Implementation of Carbon Management Programme (Ann Gosse); Implementation of Sustainable Community Strategy objectives (Phil Coppard); Consider mandatory roll out of Electronic Payslips (Frances Foster); Introducing Sustainable Code for Homes for new builds (Stephen Moralee); Initiative to promote Dearne as an exemplar low carbon area (Steve Jagger) [ Link to risk 06] The Job Evaluation exercise has now been implemented. Appeals have been heard, with a very small number related to schools to be completed in the new autumn school term. A cabinet report is to be submitted to close the project.

Damage to reputation through poor performance in published Edna Sutton league tables compared to the national average. Reputational damage from press. Potential adverse Annual Performance Rating. Impact on LAA and CAA. Intervention by DCSF. Potential pressure from DCSF for Closure of Schools or transfer to Trust status. 2 3


Strategic Risk

Standard of Data Quality.

Poor quality of information for management and external parties Shaun Jones (Partners, stakeholders, and Inspectors). Poor performance management monitoring. Poor decision making. Adverse critisism from Public. Long term issues regarding poor data quality in terms of long term contracts and awards. Discrepancies regarding data on number of births and effects upon school rolls. Censure by central Government. Failure to meet government standards and targets under its green policies. Litigation. Environmental Agency intervention. Failure to meet quality of life aspirations of the Boroughs inhabitants. Ann Gosse


Strategic Risk

Failure to implement sustainable activity.


Strategic Risk

Implementation of Job Evaluation.


Mutual Risk

Occurence of Fraud and Corruption .

Dissatisfied staff, low morale, recruitment - retention issues, compensation claims. Potential impact on service delivery. Communication with staff / affected staff. Appeals procedure diverting HR staff time. Possible inequalities leading to recruitment and retention issues. Financial Budget Financial / loss, lossconsequences of income, property and other assets. Fraudulent claims and other financial impropriety. Police involvement / criminal investigation. External Audit Public interest Report. Adverse impact on Corporate Assessment.

Julia Bell 1 1

Steve Pick 1 4

Implementation of the Fraud Risk Action Plan Revised action plan being developed after self assessment against revised CIPFA guidance (Rob Winter); New questionnaire sent to all ADs. Will be analysed to update "hot spots" and future IA coverage and guidance. Implementation of Training and Awareness packages in 09/10 (Rob Winter) Corporate performance monitoring via LPRP (Shaun Jones); Establishment of new Partnership Performance Clinic within the LSP (Shaun Jones/Andrew Frosdick); Ensure ongoing proactive dialogue with Audit Commission and other regulators on a 'no surprises' basis (Shaun Jones); Strong approach to self assessment and self evaluation to embed a continous cycle of challenge and improvement to minimise need for external inspection and regulation (Shaun Jones); Ensure a proactive response and programme management, within and outside of the Council, in terms of follow-up to the first round of CAA assessments (Shaun Jones) Scrutiny closer focus on customer engagement (Shaun Jones); Greater understanding of minority interests through an identification of communities of interest as well as geography (Shaun Jones); Linking designated and non designated PIs to SDPs as part of an embedded approach to Service and Financial Planning of the LAA (Shaun Jones) Ensuring a strong focus between work at corporate level and neighbourhood level to help ensure delivery of LAA targets (Shaun Jones/Kate Roe)


Strategic Risk

Adverse external Inspection finding

Poor CAA Scoring, reputational damage, intervention by Inspectors, Phil Coppard Special Measures precautions. Regular inspection activity triggered under CAA if assessment not positive. CAA will act as umbrella assessment going forward for others to feed into triggering inspections on a risk basis.


Strategic Risk

Failure to acheive LAA Targets

Loss of engagement by community, partners, stakeholders. Phil Coppard / Increased level of complaints. Ombudsman intervention. Adverse Edna Sutton / publicity. Loss of confidence by community with Council. Adverse Martin Farran perceptions, views and a lack of satisfaction. Adverse CAA assessment and resulting inspection/government support and intervention. Implications for a wide range of audit, risk, governance and data quality issues. Failure to meet designated indicators to detail how well BMBC is delivering its objectives to stakeholders in a variety of areas.

BMBC Strategic Risk Register

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



Failure to safeguard information assets of the Authority. ICO financial penalties. Loss of public confidence in Council. Loss Ken Rutt of reputation. Public reluctance to utilise electronic self-service (to The risk associated with not adequately controlling the reduce total operating costs). Loss of personal details linked to ICT use of personal and confidential information. systems leading to a failure to protect employees and vunerable children and adults. Changing Demographic The effects of changes in, or the profile of the population Budgetary pressures, Service Delivery not aligned to requirements To be allocated

39 New risk

Strategic Risk

40 Mutual New Risk Risk

Failure to safeguard Vulnerable Adults

Harm to vulnerable adults. Increased dissatisfaction and damage to To be reputation of Council. Legal action and financial penalties. Chief allocated Executive and Director of Adults Social Services prosecuted. Impact on LAA, more complaints. Increased scrutiny from external agencies. Projects not deliered on time and to budget. Right outcomes not achieved. Project risk registers not on corportate system To be allocated

To be allocated

41 Mutual New Risk Risk

Project Management Inconsistent approach to, or poor quality of, project management

Ensure all project managers are PRINCE 2 accredited PRINCE 2 training to be provided Ensure projects objectives are clearly identified from outset

Annex 1 Category Scoring Matrix


5 5 5 6 6 VL

3 4 5 5 6 L

2 2 4 5 5 M IMPACT

1 1 2 3 5 H

1 1 1 2 5 VH



The category score is calculated by plotting the probability score and the highest Impact score for each risk as shown on the Probability Impact Grid (PIG) above The category assigned to the risk will be 1 6 based on the traffic light colour system. Category 1 and 2 risks(red) are the most significant risks, followed by category 3 and 4 risks (amber), and category 5 and 6 risks ( green).