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Procurement Risk Register Report

Entity: Procurement (including children), Risk Assessment open, Current Risk version, Risk is open

Total
Service Residual Residual
Risk Description Potential Causes Potential Impacts Current Controls Residual
Area Likelihood Impact
Risk Score

Colin Killeen (Procurement Manager) Items in Group: 8

Procurement P1 Lack of Purchasing Lack of resources; Resistance Unable to commitment account; Manual system in place with appropriate 4 3 12
and Eprocurement to change; Inadequate software Unable to meet legislation; controls
Software System solution; Lack of knowledge or Credibility; Impact on service
expertise delivery Review ongoing of existing Procurement
systems
Implementation of CPD E-Tendering
System ongoing
Agresso system upgrade ongoing with
procurement module identified as a
priority
Procurement P8 Unavailability or Lack of knowledge/awareness; Information unavailable for Council Documentation Retention Policy 3 4 12
inconsistency of Unclear policies & procedures audit purposes; Loss of includes requirements for procurement
procurement regarding document retention credibility; Inability to deal with documentation
documentation across procurement challenges;
Council Depts Potential financial implications Designated staff within each Directorate
with procurement responsibilities
Training to Directors, Heads of Service
and all designated staff
Procurement File Contents Checklist
Reference number assigned to all
procurement files and oversight by
Procurement Manager
Standard documentation/templates
available on Council Intranet

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Total
Service Residual Residual
Risk Description Potential Causes Potential Impacts Current Controls Residual
Area Likelihood Impact
Risk Score
Procurement P9 Non-Adherence to Lack of awareness; Lack of Inappropriate procurement Documented Procedures issued to all 3 4 12
agreed Procurement knowledge/expertise; decisions; Procurement staff
Policies Resistance to change; Unclear challenges;
roles and responsibilities; Lack Inappropriate/unbudgeted Training
of accountability tendering activity; Failure to Advice from Procurement Manager
achieve Value for Money;
Financial cost; Litigation; Procurement Manager involvement in
Credibility; Inconsistent procurement procedures for tenders with
communication to Tenderers a value in excess of £10,000
Designated staff within each Directorate
with procurement responsibilities
Procurement Checklists
Reference number assigned to all
procurement files and oversight by
Procurement Manager
Tender Specifications & Budgets
approved by Head of Service
Appropriate Tender Evaluation Panels
and agreed Evaluation criteria and
scoring methods
Procurement P2 Non tendered buying / Goods not covered under Purchased at higher cost than if Annual tenders communicated to all 2 4 8
Off tender buying current tender / Goods tendered, missed opportunity Depts
purchased from party not for tender / loss of credibility of
awarded tender Council, loss of credibility of Off-Tender (Authorisation from Head of
tendering system. No Service)
control/channelling of spend The Procurement Manager is involved in
procurement procedures for tenders with
a value over £10,000
Procurement Manager maintains record
of all tenders awarded
Register of Decisions reviewed
periodically by Procurement Manager
Procurement P11 Inappropriate use of Lack of knowledge/awareness; Financial cost; Quality Documented Procedures issued to all 2 4 8
Single Tender Actions Expediency; Lack of planning implications; Procurement staff
challenges; Litigation;
Reputation Training
Requirement for all STAs to be approved
at Director level or above
Register of Decisions/STA Log

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Total
Service Residual Residual
Risk Description Potential Causes Potential Impacts Current Controls Residual
Area Likelihood Impact
Risk Score
Procurement P5 Inadequate goods and services procured T&Cs / contracts in favour of Communication with Legal Services re. 2 3 6
Contracts /T & Cs under supplier T&C's / supplier rather than DCC. individual contracts
Contracts
Standard terms & conditions incorporated
into Council contracts & tenders
Procurement P3 Lack of awareness of Lack of consultation; Lack of Loss of credibility; Public Annual Meet the Buyer Event 2 3 6
supplier needs strategy; Lack of awareness of disengagement.
local economy (Purchasing & Experience/awareness of staff
SMEs) Attendance of Procurement Manager at
public awareness events
Procurement P6 Failure to safeguard Lack of policies/procedures; Financial cost; Impact on Standard terms & conditions incorporated 1 4 4
against bribery Lack of awareness service delivery; Reputation into Council contracts & tenders
The Procurement Manager is involved in
procurement procedures for tenders with
a value over £10,000
Tendering procedures
Annual tenders communicated to all
Depts
Standard Forms of Tender
Standardised Tenders
Purchase Orders assigned ownership